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 |
|---|---|---|---|---|---|---|
| November 19, 2018 Filed Dec 10, 2018 21:21 UTC |
Koenig Bradford C.Director
|
GrantCommon Stock | 269 | $12.28 | $3,303.32 |
DisclosureSEC source: 0001437749-18-021826 · rdgdoc.xml · nonDerivative · entry 2 Koenig Bradford C. · CIK 0001634656 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,311 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| November 19, 2018 Filed Dec 10, 2018 21:18 UTC |
Titinger JorgeDirector
|
GrantCommon Stock | 102 | $12.28 | $1,252.56 |
DisclosureSEC source: 0001437749-18-021823 · rdgdoc.xml · nonDerivative · entry 1 Titinger Jorge · CIK 0001385162 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,904 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| November 06, 2018 Filed Feb 4, 2019 16:39 UTC |
Ho Doreen WooDirector
|
GrantCommon Stock | 500 | $12.63 | $6,315.00 |
DisclosureSEC source: 0001437749-19-001790 · rdgdoc.xml · nonDerivative · entry 1 Ho Doreen Woo · CIK 0001453474 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,640 Read SEC document |
| October 10, 2018 Filed Oct 15, 2018 17:25 UTC |
Henriquez Manuel ADirector · Chairman & CEO
|
Disposition to issuerCommon Stock | 13,780 | $12.80 | $176,384.00 |
DisclosureSEC source: 0001437749-18-018291 · rdgdoc.xml · nonDerivative · entry 1 Henriquez Manuel A · CIK 0001329390 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,022,082 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on October 10, 2018. Read SEC document |
| October 10, 2018 Filed Oct 15, 2018 17:26 UTC |
Grace MelanieGeneral Counsel & CCO
|
Disposition to issuerCommon Stock | 300 | $12.80 | $3,840.00 |
DisclosureSEC source: 0001437749-18-018293 · rdgdoc.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,152 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on October 17, 2018. Read SEC document |
| October 10, 2018 Filed Oct 15, 2018 17:23 UTC |
Bluestein ScottChief Investment Officer
|
Disposition to issuerCommon Stock | 3,853 | $12.80 | $49,318.40 |
DisclosureSEC source: 0001437749-18-018290 · rdgdoc.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 282,465 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on October 10, 2018. Read SEC document |
| September 17, 2018 Filed Sep 19, 2018 16:55 UTC |
Hoffman Joseph FDirector
|
GrantCommon Stock | 3,802 | $13.15 | $49,996.30 |
DisclosureSEC source: 0001437749-18-017213 · rdgdoc.xml · nonDerivative · entry 1 Hoffman Joseph F · CIK 0001638817 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,280 F1 · shares: Shares issued based on reporting person's election to receive stock in lieu of cash compensation fee otherwise due to reporting person as a director of the Issuer. Read SEC document |
| September 17, 2018 Filed Sep 19, 2018 16:54 UTC |
Ho Doreen WooDirector
|
GrantCommon Stock | 3,802 | $13.15 | $49,996.30 |
DisclosureSEC source: 0001437749-18-017212 · rdgdoc.xml · nonDerivative · entry 1 Ho Doreen Woo · CIK 0001453474 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,038 F1 · shares: Shares issued based on reporting person's election to receive stock in lieu of cash compensation fee otherwise due to reporting person as a director of the Issuer. Read SEC document |
| September 17, 2018 Filed Sep 19, 2018 20:58 UTC |
Grace MelanieGeneral Counsel & CCO
|
Disposition to issuerCommon Stock | 319 | $13.15 | $4,194.85 |
DisclosureSEC source: 0001437749-18-017217 · rdgdoc.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,452 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on September 17, 2018. Read SEC document |
| September 17, 2018 Filed Sep 19, 2018 20:57 UTC |
Koenig Bradford C.Director
|
GrantCommon Stock | 3,802 | $13.15 | $49,996.30 |
DisclosureSEC source: 0001437749-18-017216 · rdgdoc.xml · nonDerivative · entry 1 Koenig Bradford C. · CIK 0001634656 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,901 F1 · shares: Shares issued based on reporting person's election to receive stock in lieu of cash compensation fee otherwise due to reporting person as a director of the Issuer. Read SEC document |
| September 17, 2018 Filed Sep 19, 2018 20:56 UTC |
Titinger JorgeDirector
|
GrantCommon Stock | 3,802 | $13.15 | $49,996.30 |
DisclosureSEC source: 0001437749-18-017214 · rdgdoc.xml · nonDerivative · entry 1 Titinger Jorge · CIK 0001385162 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,802 F1 · shares: Shares issued based on reporting person's election to receive stock in lieu of cash compensation fee otherwise due to reporting person as a director of the Issuer. Read SEC document |
| September 17, 2018 Filed Sep 19, 2018 20:53 UTC |
Fallon Thomas JDirector
|
GrantCommon Stock | 3,802 | $13.15 | $49,996.30 |
DisclosureSEC source: 0001437749-18-017211 · rdgdoc.xml · nonDerivative · entry 1 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,514 F1 · shares: Shares issued based on reporting person's election to receive stock in lieu of cash compensation fee otherwise due to reporting person as a director of the Issuer. Read SEC document |
| September 17, 2018 Filed Sep 19, 2018 20:53 UTC |
BADAVAS ROBERT PDirector
|
GrantCommon Stock | 3,802 | $13.15 | $49,996.30 |
DisclosureSEC source: 0001437749-18-017210 · rdgdoc.xml · nonDerivative · entry 1 BADAVAS ROBERT P · CIK 0001207407 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 144,371 F1 · shares: Shares issued based on reporting person's election to receive stock in lieu of cash compensation fee otherwise due to reporting person as a director of the Issuer. Read SEC document |
| August 20, 2018 Filed Aug 21, 2018 16:53 UTC |
Bluestein ScottChief Investment Officer
|
GrantRestricted Stock Units | 5,497 | $13.44 | $73,879.68 |
DisclosureSEC source: 0001437749-18-015930 · rdgdoc.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 243,838 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 |
| August 20, 2018 Filed Aug 21, 2018 16:52 UTC |
Grace MelanieGeneral Counsel & CCO
|
GrantRestricted Stock Units | 871 | $13.44 | $11,706.24 |
DisclosureSEC source: 0001437749-18-015929 · rdgdoc.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,647 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 |
| August 20, 2018 Filed Aug 21, 2018 16:51 UTC |
Henriquez Manuel ADirector · Chairman & CEO
|
GrantRestricted Stock Units | 14,912 | $13.44 | $200,417.28 |
DisclosureSEC source: 0001437749-18-015928 · rdgdoc.xml · nonDerivative · entry 1 Henriquez Manuel A · CIK 0001329390 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 661,424 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 |
| August 20, 2018 Filed Aug 21, 2018 16:50 UTC |
Waldt Gerard R Jr.Interim Chief Accounting Off
|
GrantRestricted Stock Units | 185 | $13.44 | $2,486.40 |
DisclosureSEC source: 0001437749-18-015926 · rdgdoc.xml · nonDerivative · entry 1 Waldt Gerard R Jr. · CIK 0001721942 · Interim Chief Accounting Off 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,243 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 |
| August 20, 2018 Filed Aug 21, 2018 16:48 UTC |
BADAVAS ROBERT PDirector
|
GrantCommon Stock | 3,027 | $13.44 | $40,682.88 |
DisclosureSEC source: 0001437749-18-015925 · rdgdoc.xml · nonDerivative · entry 1 BADAVAS ROBERT P · CIK 0001207407 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 140,569 F1 · balance_after: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| August 20, 2018 Filed Nov 21, 2018 21:28 UTC Amendment |
Henriquez Manuel ADirector · Chairman & CEO
|
GrantRestricted Stock Units | 14,933 | $13.42 | $200,400.86 |
DisclosureSEC source: 0001437749-18-021199 · rdgdoc.xml · nonDerivative · entry 1 Henriquez Manuel A · CIK 0001329390 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 661,445 F1 · shares: Amount of securities originally reported as 14,912. F2 · price: Price originally reported as $13.44. F3 · balance_after: Amount of securities beneficially owned originally reported as 661,424. Read SEC document |
| August 20, 2018 Filed Nov 21, 2018 21:27 UTC Amendment |
Grace MelanieGeneral Counsel & CCO
|
GrantRestricted Stock Units | 871 | $13.42 | $11,688.82 |
DisclosureSEC source: 0001437749-18-021198 · rdgdoc.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,647 F1 · price: Price originally reported as $13.44. Read SEC document |
| August 20, 2018 Filed Nov 21, 2018 21:25 UTC Amendment |
Bluestein ScottChief Investment Officer
|
GrantRestricted Stock Units | 5,504 | $13.42 | $73,863.68 |
DisclosureSEC source: 0001437749-18-021197 · rdgdoc.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 243,845 F1 · shares: Amount of securities originally reported as 5,497. F2 · price: Price originally reported as $13.44. F3 · balance_after: Amount of securities beneficially owned originally reported as 243,838. Read SEC document |
| August 20, 2018 Filed Dec 10, 2018 21:24 UTC |
Fallon Thomas JDirector
|
GrantCommon Stock | 111 | $13.42 | $1,489.62 |
DisclosureSEC source: 0001437749-18-021830 · rdgdoc.xml · nonDerivative · entry 1 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,625 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| August 20, 2018 Filed Dec 10, 2018 21:23 UTC Amendment |
BADAVAS ROBERT PDirector
|
GrantCommon Stock | 3,133 | $13.42 | $42,044.86 |
DisclosureSEC source: 0001437749-18-021828 · rdgdoc.xml · nonDerivative · entry 1 BADAVAS ROBERT P · CIK 0001207407 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 140,675 F1 · shares: Amount of securities originally reported as 3,027. F2 · price: Price originally reported as $13.44. F3 · balance_after: Amount of securities beneficially owned originally reported as 140,569. Read SEC document |
| August 20, 2018 Filed Dec 10, 2018 21:21 UTC |
Koenig Bradford C.Director
|
GrantCommon Stock | 141 | $13.42 | $1,892.22 |
DisclosureSEC source: 0001437749-18-021826 · rdgdoc.xml · nonDerivative · entry 1 Koenig Bradford C. · CIK 0001634656 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,042 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| July 11, 2018 Filed Jul 12, 2018 17:51 UTC |
BADAVAS ROBERT PDirector
|
GrantCommon | 4,580 | $12.98 | $59,448.40 |
DisclosureSEC source: 0001437749-18-013250 · rdgdoc.xml · nonDerivative · entry 1 BADAVAS ROBERT P · CIK 0001207407 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 137,542 F1 · shares: Shares issued as compensation for reporting person's service to the board of directors. Read SEC document |
| July 11, 2018 Filed Jul 12, 2018 17:50 UTC |
Fallon Thomas JDirector
|
GrantCommon | 4,754 | $12.98 | $61,706.92 |
DisclosureSEC source: 0001437749-18-013249 · rdgdoc.xml · nonDerivative · entry 1 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,712 F1 · shares: Shares issued as compensation for reporting person's service to the board of directors. Read SEC document |
| July 11, 2018 Filed Jul 12, 2018 17:49 UTC |
Koenig Bradford C.Director
|
GrantCommon | 6,099 | $12.98 | $79,165.02 |
DisclosureSEC source: 0001437749-18-013248 · rdgdoc.xml · nonDerivative · entry 1 Koenig Bradford C. · CIK 0001634656 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,099 F1 · shares: Shares issued as compensation for reporting person's service to the board of directors. Read SEC document |
| July 10, 2018 Filed Jul 12, 2018 17:48 UTC |
Bluestein ScottChief Investment Officer
|
Disposition to issuerCommon Stock | 3,853 | $12.93 | $49,819.29 |
DisclosureSEC source: 0001437749-18-013247 · rdgdoc.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 286,318 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on July 10, 2018. Read SEC document |
| July 10, 2018 Filed Jul 12, 2018 17:47 UTC |
Henriquez Manuel ADirector · Chairman & CEO
|
Disposition to issuerCommon Stock | 13,780 | $12.93 | $178,175.40 |
DisclosureSEC source: 0001437749-18-013246 · rdgdoc.xml · nonDerivative · entry 1 Henriquez Manuel A · CIK 0001329390 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,035,862 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on July 10, 2018. Read SEC document |
| July 10, 2018 Filed Jul 12, 2018 17:46 UTC |
Grace MelanieGeneral Counsel & CCO
|
Disposition to issuerCommon Stock | 300 | $12.93 | $3,879.00 |
DisclosureSEC source: 0001437749-18-013244 · rdgdoc.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,771 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on July 10, 2018. Read SEC document |
| June 17, 2018 Filed Jun 18, 2018 21:59 UTC |
Grace MelanieGeneral Counsel & CCO
|
Tax withholdingCommon Stock | 280 | $12.52 | $3,505.60 |
DisclosureSEC source: 0001593968-18-000919 · primary_01.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,071 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on June 17, 2018. Read SEC document |
| May 21, 2018 Filed May 21, 2018 20:23 UTC |
Henriquez Manuel ADirector · Chairman & CEO
|
GrantRestricted Stock Units | 15,768 | $12.40 | $195,523.20 |
DisclosureSEC source: 0001593968-18-000818 · primary_01.xml · nonDerivative · entry 1 Henriquez Manuel A · CIK 0001329390 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 646,512 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 21, 2018 Filed May 21, 2018 20:22 UTC |
Bluestein ScottChief Investment Officer
|
GrantRestricted Stock Units | 5,813 | $12.40 | $72,081.20 |
DisclosureSEC source: 0001593968-18-000817 · primary_01.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 238,341 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 21, 2018 Filed May 21, 2018 20:21 UTC |
Grace MelanieGeneral Counsel & CCO
|
GrantRestricted Stock Units | 921 | $12.40 | $11,420.40 |
DisclosureSEC source: 0001593968-18-000816 · primary_01.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,776 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 21, 2018 Filed May 21, 2018 20:20 UTC |
Waldt Gerard R Jr.Interim Chief Accounting Off
|
GrantRestricted Stock Units | 196 | $12.40 | $2,430.40 |
DisclosureSEC source: 0001593968-18-000815 · primary_01.xml · nonDerivative · entry 1 Waldt Gerard R Jr. · CIK 0001721942 · Interim Chief Accounting Off 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,058 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 21, 2018 Filed May 23, 2018 20:20 UTC |
Woodward Allyn CDirector
|
GrantCommon Stock | 1,485 | $12.40 | $18,414.00 |
DisclosureSEC source: 0001593968-18-000821 · primary_01.xml · nonDerivative · entry 1 Woodward Allyn C · CIK 0001246094 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 262,309 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| May 21, 2018 Filed May 23, 2018 20:19 UTC |
BADAVAS ROBERT PDirector
|
GrantCommon Stock | 3,219 | $12.40 | $39,915.60 |
DisclosureSEC source: 0001593968-18-000820 · primary_01.xml · nonDerivative · entry 1 BADAVAS ROBERT P · CIK 0001207407 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 132,962 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| May 21, 2018 Filed May 23, 2018 20:18 UTC |
Fallon Thomas JDirector
|
GrantCommon Stock | 42 | $12.40 | $520.80 |
DisclosureSEC source: 0001593968-18-000819 · primary_01.xml · nonDerivative · entry 1 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,958 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| April 10, 2018 Filed Apr 12, 2018 20:24 UTC |
Grace MelanieGeneral Counsel & CCO
|
Tax withholdingCommon Stock | 263 | $12.09 | $3,179.67 |
DisclosureSEC source: 0001593968-18-000673 · primary_01.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,351 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on April 10, 2018. Read SEC document |
| April 10, 2018 Filed Apr 12, 2018 20:23 UTC |
Henriquez Manuel ADirector · Chairman & CEO
|
Tax withholdingCommon Stock | 13,780 | $12.09 | $166,600.20 |
DisclosureSEC source: 0001593968-18-000672 · primary_01.xml · nonDerivative · entry 1 Henriquez Manuel A · CIK 0001329390 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,049,642 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on April 10, 2018. Read SEC document |
| April 10, 2018 Filed Apr 12, 2018 20:22 UTC |
Bluestein ScottChief Investment Officer
|
Tax withholdingCommon Stock | 3,834 | $12.09 | $46,353.06 |
DisclosureSEC source: 0001593968-18-000671 · primary_01.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 290,171 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on April 10, 2018. Read SEC document |
| March 17, 2018 Filed Mar 19, 2018 20:37 UTC |
Grace MelanieGeneral Counsel & CCO
|
Tax withholdingCommon Stock | 280 | $12.03 | $3,368.40 |
DisclosureSEC source: 0001593968-18-000589 · primary_01.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,614 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on March 17, 2018. Read SEC document |
| March 12, 2018 Filed Mar 14, 2018 20:33 UTC |
BADAVAS ROBERT PDirector
|
GrantCommon Stock | 3,238 | $12.27 | $39,730.26 |
DisclosureSEC source: 0001593968-18-000556 · primary_01.xml · nonDerivative · entry 1 BADAVAS ROBERT P · CIK 0001207407 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 129,743 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| March 12, 2018 Filed Mar 14, 2018 20:32 UTC |
Bluestein ScottChief Investment Officer
|
GrantRestricted Stock Units | 5,729 | $12.27 | $70,294.83 |
DisclosureSEC source: 0001593968-18-000555 · primary_01.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 232,528 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 12, 2018 Filed Mar 14, 2018 20:31 UTC |
Fallon Thomas JDirector
|
GrantCommon Stock | 42 | $12.27 | $515.34 |
DisclosureSEC source: 0001593968-18-000554 · primary_01.xml · nonDerivative · entry 1 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,916 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| March 12, 2018 Filed Mar 14, 2018 20:30 UTC |
Woodward Allyn CDirector
|
GrantCommon Stock | 1,467 | $12.27 | $18,000.09 |
DisclosureSEC source: 0001593968-18-000553 · primary_01.xml · nonDerivative · entry 1 Woodward Allyn C · CIK 0001246094 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 260,824 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| March 12, 2018 Filed Mar 14, 2018 20:28 UTC |
Grace MelanieGeneral Counsel & CCO
|
GrantRestricted Stock Units | 908 | $12.27 | $11,141.16 |
DisclosureSEC source: 0001593968-18-000552 · primary_01.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,855 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 12, 2018 Filed Mar 14, 2018 20:27 UTC |
Henriquez Manuel ADirector · Chairman & CEO
|
GrantRestricted Stock Units | 15,543 | $12.27 | $190,712.61 |
DisclosureSEC source: 0001593968-18-000551 · primary_01.xml · nonDerivative · entry 1 Henriquez Manuel A · CIK 0001329390 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 630,744 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 12, 2018 Filed Mar 14, 2018 20:24 UTC |
Waldt Gerard R Jr.Interim Chief Accounting Off
|
GrantRestricted Stock Units | 193 | $12.27 | $2,368.11 |
DisclosureSEC source: 0001593968-18-000550 · primary_01.xml · nonDerivative · entry 1 Waldt Gerard R Jr. · CIK 0001721942 · Interim Chief Accounting Off 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,862 Read SEC document |
| March 10, 2018 Filed Mar 13, 2018 19:12 UTC |
Henriquez Manuel ADirector · Chairman & CEO
|
Tax withholdingCommon Stock | 13,070 | $12.25 | $160,107.50 |
DisclosureSEC source: 0000899243-18-007238 · doc4.xml · nonDerivative · entry 1 Henriquez Manuel A · CIK 0001329390 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,063,422 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on March 10, 2018. 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.