Last 12 months
Inside the activity.
25 purchase rows · 0 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 1 | 0 |
| Dec 2025 | 0 | 0 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 14 | 0 |
| Mar 2026 | 10 | 0 |
| Apr 2026 | 0 | 0 |
| May 2026 | 0 | 0 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 0 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| August 19, 2019 Filed Aug 20, 2019 20:13 UTC |
Grace MelanieGeneral Counsel & CCO
|
GrantRestricted Stock Units | 1,501 | $12.74 | $19,122.74 |
DisclosureSEC source: 0001437749-19-017184 · rdgdoc.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,816 F1 · shares: Includes additional Dividend Shares relating to deemed reinvested dividend equivalent rights that accrued on Restricted Stock Units (RSUs) previously granted. Such additional Dividend Shares are in the form of additional RSUs vest and are settled at the same time as the RSUs in respect of which the dividend equivalent rights accrued. Each such additional Dividend Share RSU is the economic equivalent of one share of Hercules Capital, Inc. common stock. Read SEC document |
| August 19, 2019 Filed Aug 20, 2019 20:14 UTC |
Fallon Thomas JDirector
|
GrantCommon Stock | 117 | $12.74 | $1,490.58 |
DisclosureSEC source: 0001437749-19-017185 · rdgdoc.xml · nonDerivative · entry 1 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,179 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| August 19, 2019 Filed Aug 20, 2019 20:12 UTC |
Bluestein ScottChief Executive Officer & Pres
|
GrantRestricted Stock Units | 13,929 | $12.74 | $177,455.46 |
DisclosureSEC source: 0001437749-19-017183 · rdgdoc.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer & Pres 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 535,912 F1 · shares: Includes additional Dividend Shares relating to deemed reinvested dividend equivalent rights that accrued on Restricted Stock Units (RSUs) previously granted. Such additional Dividend Shares are in the form of additional RSUs vest and are settled at the same time as the RSUs in respect of which the dividend equivalent rights accrued. Each such additional Dividend Share RSU is the economic equivalent of one share of Hercules Capital, Inc. common stock. Read SEC document |
| July 17, 2019 Filed Jul 18, 2019 20:11 UTC |
Bluestein ScottChief Executive Officer & Pres
|
GrantCommon Stock | 76,923 | $13.00 | $999,999.00 |
DisclosureSEC source: 0001437749-19-014229 · rdgdoc.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer & Pres 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 340,545 F1 · shares: Restricted stock issued as a grant pursuant to the Amended and Restated Equity Incentive Plan and subject to forfeiture restrictions of one-third vesting on July 17, 2020 followed by quarterly vesting over the following 24 months. Read SEC document |
| July 09, 2019 Filed Jul 11, 2019 20:07 UTC |
Bluestein ScottInterim Chief Executive Off
|
Disposition to issuerCommon Stock | 3,406 | $12.91 | $43,971.46 |
DisclosureSEC source: 0001437749-19-013850 · rdgdoc.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Interim Chief Executive Off 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 263,622 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on July 9, 2019. Read SEC document |
| July 09, 2019 Filed Jul 11, 2019 20:05 UTC |
Grace MelanieGeneral Counsel & CCO
|
Disposition to issuerCommon Stock | 410 | $12.91 | $5,293.10 |
DisclosureSEC source: 0001437749-19-013849 · rdgdoc.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,121 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on July 9, 2019. Read SEC document |
| May 30, 2019 Filed Jul 5, 2019 16:14 UTC |
Hoffman Joseph FDirector
|
GrantCommon Stock | 4,604 | $13.03 | $59,990.12 |
DisclosureSEC source: 0001437749-19-013597 · rdgdoc.xml · nonDerivative · entry 1 Hoffman Joseph F · CIK 0001638817 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,986 F1 · shares: Restricted Stock issued as an automatic grant upon re-election to the board of directors pursuant to the Non-Employee Director Plan and subject to forfeiture restrictions. One-third vests on the anniversary of the grant over three years. Read SEC document |
| May 30, 2019 Filed Jul 5, 2019 16:15 UTC |
Ho Doreen WooDirector
|
GrantCommon Stock | 4,604 | $13.03 | $59,990.12 |
DisclosureSEC source: 0001437749-19-013598 · rdgdoc.xml · nonDerivative · entry 1 Ho Doreen Woo · CIK 0001453474 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,934 F1 · shares: Restricted Stock issued as an automatic grant upon re-election to the board of directors pursuant to the Non-Employee Director Plan and subject to forfeiture restrictions. One-third vests on the anniversary of the grant over three years. Read SEC document |
| May 20, 2019 Filed May 22, 2019 16:21 UTC |
Foster Carol LDirector
|
GrantCommon Stock | 86 | $13.13 | $1,129.18 |
DisclosureSEC source: 0001437749-19-010703 · rdgdoc.xml · nonDerivative · entry 1 Foster Carol L · CIK 0001765339 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,532 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| May 20, 2019 Filed May 22, 2019 16:18 UTC |
Ho Doreen WooDirector
|
GrantCommon Stock | 100 | $13.13 | $1,313.00 |
DisclosureSEC source: 0001437749-19-010698 · rdgdoc.xml · nonDerivative · entry 1 Ho Doreen Woo · CIK 0001453474 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,330 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| May 20, 2019 Filed May 22, 2019 20:20 UTC |
CROWELL GAYLE ADirector
|
GrantCommon Stock | 108 | $13.13 | $1,418.04 |
DisclosureSEC source: 0001437749-19-010701 · rdgdoc.xml · nonDerivative · entry 1 CROWELL GAYLE A · CIK 0001250893 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,423 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| May 20, 2019 Filed May 22, 2019 20:19 UTC |
Titinger JorgeDirector
|
GrantCommon Stock | 100 | $13.13 | $1,313.00 |
DisclosureSEC source: 0001437749-19-010700 · rdgdoc.xml · nonDerivative · entry 1 Titinger Jorge · CIK 0001385162 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,094 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| May 20, 2019 Filed May 22, 2019 20:19 UTC |
Koenig Bradford C.Director
|
GrantCommon Stock | 98 | $13.13 | $1,286.74 |
DisclosureSEC source: 0001437749-19-010699 · rdgdoc.xml · nonDerivative · entry 1 Koenig Bradford C. · CIK 0001634656 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,647 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| May 20, 2019 Filed May 22, 2019 20:17 UTC |
Fallon Thomas JDirector
|
GrantCommon Stock | 107 | $13.13 | $1,404.91 |
DisclosureSEC source: 0001437749-19-010697 · rdgdoc.xml · nonDerivative · entry 1 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,062 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| May 20, 2019 Filed May 22, 2019 20:16 UTC |
BADAVAS ROBERT PDirector
|
GrantCommon Stock | 3,753 | $13.13 | $49,276.89 |
DisclosureSEC source: 0001437749-19-010696 · rdgdoc.xml · nonDerivative · entry 1 BADAVAS ROBERT P · CIK 0001207407 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 155,554 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| May 20, 2019 Filed May 22, 2019 20:15 UTC |
Henriquez Manuel ADirector
|
GrantRestricted Stock Units | 32,138 | $13.13 | $421,971.94 |
DisclosureSEC source: 0001437749-19-010695 · rdgdoc.xml · nonDerivative · entry 1 Henriquez Manuel A · CIK 0001329390 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,310,898 F1 · balance_after: Includes additional Dividend Shares relating to deemed reinvested dividend equivalent rights that accrued on Restricted Stock Units (RSUs) previously granted. Such additional Dividend Shares are in the form of additional RSUs vest and are settled at the same time as the RSUs in respect of which the dividend equivalent rights accrued. Each such additional Dividend Share RSU is the economic equivalent of one share of Hercules Capital, Inc. common stock. Read SEC document |
| May 20, 2019 Filed May 22, 2019 20:14 UTC |
Grace MelanieGeneral Counsel & CCO
|
GrantRestricted Stock Units | 1,379 | $13.13 | $18,106.27 |
DisclosureSEC source: 0001437749-19-010693 · rdgdoc.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,315 F1 · balance_after: Includes additional Dividend Shares relating to deemed reinvested dividend equivalent rights that accrued on Restricted Stock Units (RSUs) previously granted. Such additional Dividend Shares are in the form of additional RSUs vest and are settled at the same time as the RSUs in respect of which the dividend equivalent rights accrued. Each such additional Dividend Share RSU is the economic equivalent of one share of Hercules Capital, Inc. common stock. Read SEC document |
| May 20, 2019 Filed May 22, 2019 20:13 UTC |
Bluestein ScottInterim Chief Executive Off
|
GrantRestricted Stock Units | 12,796 | $13.13 | $168,011.48 |
DisclosureSEC source: 0001437749-19-010692 · rdgdoc.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Interim Chief Executive Off 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 521,983 F1 · balance_after: Includes additional Dividend Shares relating to deemed reinvested dividend equivalent rights that accrued on Restricted Stock Units (RSUs) previously granted. Such additional Dividend Shares are in the form of additional RSUs vest and are settled at the same time as the RSUs in respect of which the dividend equivalent rights accrued. Each such additional Dividend Share RSU is the economic equivalent of one share of Hercules Capital, Inc. common stock. Read SEC document |
| April 09, 2019 Filed Apr 11, 2019 20:08 UTC |
Grace MelanieGeneral Counsel & CCO
|
Disposition to issuerCommon Stock | 409 | $12.64 | $5,169.76 |
DisclosureSEC source: 0001437749-19-006983 · rdgdoc.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,531 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on April 9, 2019. Read SEC document |
| April 09, 2019 Filed Apr 11, 2019 20:07 UTC |
Henriquez Manuel ADirector
|
Disposition to issuerCommon Stock | 9,509 | $12.64 | $120,193.76 |
DisclosureSEC source: 0001437749-19-006982 · rdgdoc.xml · nonDerivative · entry 1 Henriquez Manuel A · CIK 0001329390 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,972,708 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on April 9, 2019. Read SEC document |
| April 09, 2019 Filed Apr 11, 2019 20:06 UTC |
Bluestein ScottInterim Chief Executive Off
|
Disposition to issuerCommon Stock | 3,410 | $12.64 | $43,102.40 |
DisclosureSEC source: 0001437749-19-006981 · rdgdoc.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Interim Chief Executive Off 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 267,028 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on April 9, 2019. Read SEC document |
| March 27, 2019 Filed Mar 28, 2019 18:54 UTC |
Foster Carol LDirector
|
GrantCommon Stock | 3,446 | $12.44 | $42,868.24 |
DisclosureSEC source: 0001437749-19-005949 · rdgdoc.xml · nonDerivative · entry 1 Foster Carol L · CIK 0001765339 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,446 F1 · shares: Restricted stock granted as an automatic grant upon election to the board of directors pursuant to the 2018 Non-employee Director Plan Read SEC document |
| March 27, 2019 Filed Mar 28, 2019 22:55 UTC |
CROWELL GAYLE ADirector
|
GrantCommon Stock | 4,315 | $12.44 | $53,678.60 |
DisclosureSEC source: 0001437749-19-005950 · rdgdoc.xml · nonDerivative · entry 1 CROWELL GAYLE A · CIK 0001250893 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,315 F1 · shares: Restricted stock granted as an automatic grant upon election to the board of directors pursuant to the 2018 Non-employee Director Plan. Read SEC document |
| March 14, 2019 Filed Mar 21, 2019 20:02 UTC |
Meyer Seth HChief Financial Officer
|
GrantCommon Stock | 40,355 | $12.39 | $499,998.45 |
DisclosureSEC source: 0001437749-19-005418 · rdgdoc.xml · nonDerivative · entry 1 Meyer Seth H · CIK 0001768773 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,355 F1 · shares: Restricted stock issued as a grant pursuant to the Amended and Restated Equity Incentive Plan and subject to forfeiture restrictions of one-third vesting on March 14, 2020 followed by quarterly vesting over the following 24 months. Read SEC document |
| March 11, 2019 Filed Mar 13, 2019 16:33 UTC |
Ho Doreen WooDirector
|
GrantCommon Stock | 90 | $13.47 | $1,212.30 |
DisclosureSEC source: 0001437749-19-004792 · rdgdoc.xml · nonDerivative · entry 1 Ho Doreen Woo · CIK 0001453474 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,230 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| March 11, 2019 Filed Mar 13, 2019 20:35 UTC |
Titinger JorgeDirector
|
GrantCommon Stock | 90 | $13.47 | $1,212.30 |
DisclosureSEC source: 0001437749-19-004794 · rdgdoc.xml · nonDerivative · entry 1 Titinger Jorge · CIK 0001385162 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,994 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| March 11, 2019 Filed Mar 13, 2019 20:34 UTC |
Koenig Bradford C.Director
|
GrantCommon Stock | 238 | $13.47 | $3,205.86 |
DisclosureSEC source: 0001437749-19-004793 · rdgdoc.xml · nonDerivative · entry 1 Koenig Bradford C. · CIK 0001634656 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,549 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| March 11, 2019 Filed Mar 13, 2019 20:32 UTC |
Fallon Thomas JDirector
|
GrantCommon Stock | 96 | $13.47 | $1,293.12 |
DisclosureSEC source: 0001437749-19-004791 · rdgdoc.xml · nonDerivative · entry 1 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,955 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| March 11, 2019 Filed Mar 13, 2019 20:32 UTC |
BADAVAS ROBERT PDirector
|
GrantCommon Stock | 3,469 | $13.47 | $46,727.43 |
DisclosureSEC source: 0001437749-19-004788 · rdgdoc.xml · nonDerivative · entry 1 BADAVAS ROBERT P · CIK 0001207407 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 151,801 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| March 11, 2019 Filed Mar 13, 2019 20:31 UTC |
Henriquez Manuel ADirector · Chairman & CEO
|
GrantRestricted Stock Units | 28,766 | $13.47 | $387,478.02 |
DisclosureSEC source: 0001437749-19-004787 · rdgdoc.xml · nonDerivative · entry 1 Henriquez Manuel A · CIK 0001329390 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,278,760 F1 · balance_after: Includes additional Dividend Shares relating to deemed reinvested dividend equivalent rights that accrued on Restricted Stock Units (RSUs) previously granted. Such additional Dividend Shares are in the form of additional RSUs vest and are settled at the same time as the RSUs in respect of which the dividend equivalent rights accrued. Each such additional Dividend Share RSU is the economic equivalent of one share of Hercules Capital, Inc. common stock. Read SEC document |
| March 11, 2019 Filed Mar 13, 2019 20:30 UTC |
Grace MelanieGeneral Counsel & CCO
|
GrantRestricted Stock Units | 1,234 | $13.47 | $16,621.98 |
DisclosureSEC source: 0001437749-19-004785 · rdgdoc.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,936 F1 · balance_after: Includes additional Dividend Shares relating to deemed reinvested dividend equivalent rights that accrued on Restricted Stock Units (RSUs) previously granted. Such additional Dividend Shares are in the form of additional RSUs vest and are settled at the same time as the RSUs in respect of which the dividend equivalent rights accrued. Each such additional Dividend Share RSU is the economic equivalent of one share of Hercules Capital, Inc. common stock. Read SEC document |
| March 11, 2019 Filed Mar 13, 2019 20:28 UTC |
Bluestein ScottChief Investment Officer
|
GrantRestricted Stock Units | 11,454 | $13.47 | $154,285.38 |
DisclosureSEC source: 0001437749-19-004782 · rdgdoc.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 509,187 F1 · balance_after: Includes additional Dividend Shares relating to deemed reinvested dividend equivalent rights that accrued on Restricted Stock Units (RSUs) previously granted. Such additional Dividend Shares are in the form of additional RSUs vest and are settled at the same time as the RSUs in respect of which the dividend equivalent rights accrued. Each such additional Dividend Share RSU is the economic equivalent of one share of Hercules Capital, Inc. common stock. Read SEC document |
| January 31, 2019 Filed Feb 4, 2019 21:37 UTC |
Bluestein ScottChief Investment Officer
|
GrantRestricted Stock Units | 247,336 | $13.14 | $3,249,995.04 |
DisclosureSEC source: 0001437749-19-001787 · rdgdoc.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 497,733 F1 · shares: Each restricted stock unit represents a contingent right to receive one share of Hercules Capital, Inc. stock. F2 · shares: The restricted stock units vest one-third on January 31, 2020 and the remaining two-thirds vest quarterly in equal amounts over the following two years. Read SEC document |
| January 31, 2019 Filed Feb 4, 2019 21:38 UTC |
Henriquez Manuel ADirector · Chairman & CEO
|
GrantRestricted Stock Units | 570,776 | $13.14 | $7,499,996.64 |
DisclosureSEC source: 0001437749-19-001788 · rdgdoc.xml · nonDerivative · entry 1 Henriquez Manuel A · CIK 0001329390 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,249,994 F1 · shares: Each restricted stock unit represents a contingent right to receive one share of Hercules Capital, Inc. stock. F2 · shares: The restricted stock units vest one-third on January 31, 2020 and the remaining two-thirds vest quarterly in equal amounts over the following two years. Read SEC document |
| January 31, 2019 Filed Feb 4, 2019 21:36 UTC |
Grace MelanieGeneral Counsel & CCO
|
GrantRestricted Stock Units | 14,018 | $13.14 | $184,196.52 |
DisclosureSEC source: 0001437749-19-001786 · rdgdoc.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,702 F1 · shares: Each restricted stock unit represents a contingent right to receive one share of Hercules Capital, Inc. stock. F2 · shares: The restricted stock units vest one-third on January 31, 2020 and the remaining two-thirds vest quarterly in equal amounts over the following two years. Read SEC document |
| January 10, 2019 Filed Jan 11, 2019 22:15 UTC |
Bluestein ScottChief Investment Officer
|
Tax withholdingCommon Stock | 3,013 | $12.14 | $36,577.82 |
DisclosureSEC source: 0001437749-19-000752 · rdgdoc.xml · nonDerivative · entry 2 Bluestein Scott · CIK 0001505910 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 270,438 F2 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on January 10, 2019. Read SEC document |
| January 10, 2019 Filed Jan 11, 2019 22:14 UTC |
Grace MelanieGeneral Counsel & CCO
|
Tax withholdingCommon Stock | 343 | $12.14 | $4,164.02 |
DisclosureSEC source: 0001437749-19-000751 · rdgdoc.xml · nonDerivative · entry 2 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,940 F2 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on January 10, 2019. Read SEC document |
| January 10, 2019 Filed Jan 11, 2019 22:13 UTC |
Henriquez Manuel ADirector · Chairman & CEO
|
Tax withholdingCommon Stock | 10,057 | $12.14 | $122,091.98 |
DisclosureSEC source: 0001437749-19-000750 · rdgdoc.xml · nonDerivative · entry 2 Henriquez Manuel A · CIK 0001329390 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,982,217 F2 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on January 10, 2019. Read SEC document |
| January 09, 2019 Filed Jan 11, 2019 22:15 UTC |
Bluestein ScottChief Investment Officer
|
Tax withholdingCommon Stock | 9,014 | $12.03 | $108,438.42 |
DisclosureSEC source: 0001437749-19-000752 · rdgdoc.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 273,451 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on January 9, 2019. Read SEC document |
| January 09, 2019 Filed Jan 11, 2019 22:14 UTC |
Grace MelanieGeneral Counsel & CCO
|
Tax withholdingCommon Stock | 1,869 | $12.03 | $22,484.07 |
DisclosureSEC source: 0001437749-19-000751 · rdgdoc.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,283 F1 · price: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on January 9, 2019. Read SEC document |
| January 09, 2019 Filed Jan 11, 2019 22:13 UTC |
Henriquez Manuel ADirector · Chairman & CEO
|
Tax withholdingCommon Stock | 29,808 | $12.03 | $358,590.24 |
DisclosureSEC source: 0001437749-19-000750 · rdgdoc.xml · nonDerivative · entry 1 Henriquez Manuel A · CIK 0001329390 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,992,274 F1 · price: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on January 9, 2019. Read SEC document |
| December 20, 2018 Filed Feb 4, 2019 16:39 UTC |
Ho Doreen WooDirector
|
GrantCommon Stock | 500 | $10.78 | $5,390.00 |
DisclosureSEC source: 0001437749-19-001790 · rdgdoc.xml · nonDerivative · entry 2 Ho Doreen Woo · CIK 0001453474 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,140 Read SEC document |
| November 19, 2018 Filed Nov 21, 2018 21:31 UTC |
Henriquez Manuel ADirector · Chairman & CEO
|
GrantRestricted Stock Units | 17,773 | $12.28 | $218,252.44 |
DisclosureSEC source: 0001437749-18-021205 · rdgdoc.xml · nonDerivative · entry 1 Henriquez Manuel A · CIK 0001329390 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 679,218 F1 · balance_after: Includes additional Dividend Shares relating to deemed reinvested dividend equivalent rights that accrued on Restricted Stock Units (RSUs) previously granted. Such additional Dividend Shares are in the form of additional RSUs vest and are settled at the same time as the RSUs in respect of which the dividend equivalent rights accrued. Each such additional Dividend Share RSU is the economic equivalent of one share of Hercules Capital, Inc. common stock. Read SEC document |
| November 19, 2018 Filed Nov 21, 2018 21:29 UTC |
BADAVAS ROBERT PDirector
|
GrantCommon Stock | 3,627 | $12.28 | $44,539.56 |
DisclosureSEC source: 0001437749-18-021200 · rdgdoc.xml · nonDerivative · entry 1 BADAVAS ROBERT P · CIK 0001207407 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 147,998 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| November 19, 2018 Filed Nov 21, 2018 21:30 UTC |
Grace MelanieGeneral Counsel & CCO
|
GrantRestricted Stock Units | 1,037 | $12.28 | $12,734.36 |
DisclosureSEC source: 0001437749-18-021203 · rdgdoc.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,684 F1 · balance_after: Includes additional Dividend Shares relating to deemed reinvested dividend equivalent rights that accrued on Restricted Stock Units (RSUs) previously granted. Such additional Dividend Shares are in the form of additional RSUs vest and are settled at the same time as the RSUs in respect of which the dividend equivalent rights accrued. Each such additional Dividend Share RSU is the economic equivalent of one share of Hercules Capital, Inc. common stock. Read SEC document |
| November 19, 2018 Filed Nov 21, 2018 21:29 UTC |
Bluestein ScottChief Investment Officer
|
GrantRestricted Stock Units | 6,552 | $12.28 | $80,458.56 |
DisclosureSEC source: 0001437749-18-021201 · rdgdoc.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 250,397 F1 · balance_after: Includes additional Dividend Shares relating to deemed reinvested dividend equivalent rights that accrued on Restricted Stock Units (RSUs) previously granted. Such additional Dividend Shares are in the form of additional RSUs vest and are settled at the same time as the RSUs in respect of which the dividend equivalent rights accrued. Each such additional Dividend Share RSU is the economic equivalent of one share of Hercules Capital, Inc. common stock. Read SEC document |
| November 19, 2018 Filed Dec 10, 2018 16:19 UTC |
Hoffman Joseph FDirector
|
GrantCommon Stock | 102 | $12.28 | $1,252.56 |
DisclosureSEC source: 0001437749-18-021825 · rdgdoc.xml · nonDerivative · entry 1 Hoffman Joseph F · CIK 0001638817 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,382 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| November 19, 2018 Filed Dec 10, 2018 16:17 UTC |
Ho Doreen WooDirector
|
GrantCommon Stock | 102 | $12.28 | $1,252.56 |
DisclosureSEC source: 0001437749-18-021822 · rdgdoc.xml · nonDerivative · entry 1 Ho Doreen Woo · CIK 0001453474 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,140 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| November 19, 2018 Filed Dec 10, 2018 21:24 UTC |
Fallon Thomas JDirector
|
GrantCommon Stock | 234 | $12.28 | $2,873.52 |
DisclosureSEC source: 0001437749-18-021830 · rdgdoc.xml · nonDerivative · entry 2 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,859 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| November 19, 2018 Filed Dec 10, 2018 21:22 UTC Amendment |
BADAVAS ROBERT PDirector
|
GrantCommon Stock | 3,855 | $12.28 | $47,339.40 |
DisclosureSEC source: 0001437749-18-021827 · rdgdoc.xml · nonDerivative · entry 1 BADAVAS ROBERT P · CIK 0001207407 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 148,332 F1 · shares: Amount of securities originally reported as 3,627. F2 · balance_after: Amount of securities beneficially owned originally reported as 147,998. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.