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 |
|---|---|---|---|---|---|---|
| March 10, 2018 Filed Mar 13, 2018 19:10 UTC |
Bluestein ScottChief Investment Officer
|
Tax withholdingCommon Stock | 1,656 | $12.25 | $20,286.00 |
DisclosureSEC source: 0000899243-18-007236 · doc4.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 294,005 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 |
| January 10, 2018 Filed Jan 12, 2018 18:43 UTC |
Bluestein ScottChief Investment Officer
|
Tax withholdingCommon Stock | 4,139 | $12.93 | $53,517.27 |
DisclosureSEC source: 0001593968-18-000141 · primary_01.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 295,661 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on January 10, 2018. Read SEC document |
| January 10, 2018 Filed Jan 12, 2018 18:44 UTC |
Henriquez Manuel ADirector · Chairman & CEO
|
Tax withholdingCommon Stock | 10,142 | $12.93 | $131,136.06 |
DisclosureSEC source: 0001593968-18-000142 · primary_01.xml · nonDerivative · entry 1 Henriquez Manuel A · CIK 0001329390 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,076,492 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on January 10, 2018. Read SEC document |
| January 10, 2018 Filed Jan 12, 2018 18:42 UTC |
Grace MelanieGeneral Counsel & CCO
|
Tax withholdingCommon Stock | 312 | $12.93 | $4,034.16 |
DisclosureSEC source: 0001593968-18-000140 · primary_01.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,894 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on January 10, 2018. Read SEC document |
| January 09, 2018 Filed Jan 12, 2018 16:59 UTC |
Bluestein ScottChief Investment Officer
|
GrantRestricted Stock Units | 92,024 | $13.04 | $1,199,992.96 |
DisclosureSEC source: 0001593968-18-000138 · primary_01.xml · nonDerivative · entry 2 Bluestein Scott · CIK 0001505910 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 226,799 F2 · shares: Each restricted stock unit represents a contingent right to receive one share of Hercules Capital, Inc. stock. F3 · shares: The restricted stock units vest one-third on January 09, 2019 and the remaining two-thirds vest quarterly in equal amounts over the following two years. Vested shares will be delivered to reporting person as soon as reasonably practicable on the earlier of (a) January 09, 2022 and (b) the date (i) reporting person separates from service from Issuer, (ii) dies or becomes disabled or (iii) there is a change in control of the Issuer. Read SEC document |
| January 09, 2018 Filed Jan 12, 2018 16:59 UTC |
Bluestein ScottChief Investment Officer
|
GrantCommon Stock | 92,025 | $13.04 | $1,200,006.00 |
DisclosureSEC source: 0001593968-18-000138 · primary_01.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 299,800 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 January 9, 2019 followed by quarterly vesting over the following 24 months. Read SEC document |
| January 09, 2018 Filed Jan 12, 2018 17:03 UTC |
Henriquez Manuel ADirector · President & CEO
|
GrantRestricted Stock Units | 230,125 | $13.04 | $3,000,830.00 |
DisclosureSEC source: 0001593968-18-000139 · primary_01.xml · nonDerivative · entry 2 Henriquez Manuel A · CIK 0001329390 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 615,201 F2 · shares: Each restricted stock unit represents a contingent right to receive one share of Hercules Capital, Inc. stock. F3 · shares: The restricted stock units vest one-third on January 09, 2019 and the remaining two-thirds vest quarterly in equal amounts over the following two years. Vested shares will be delivered to reporting person as soon as reasonably practicable on the earlier of (a) January 09, 2022 and (b) the date (i) reporting person separates from service from Issuer, (ii) dies or becomes disabled or (iii) there is a change in control of the Issuer. Read SEC document |
| January 09, 2018 Filed Jan 12, 2018 17:03 UTC |
Henriquez Manuel ADirector · President & CEO
|
GrantCommon Stock | 230,125 | $13.04 | $3,000,830.00 |
DisclosureSEC source: 0001593968-18-000139 · primary_01.xml · nonDerivative · entry 1 Henriquez Manuel A · CIK 0001329390 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,086,634 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 January 9, 2019 followed by quarterly vesting over the following 24 months. Read SEC document |
| January 09, 2018 Filed Jan 12, 2018 16:58 UTC |
Grace MelanieGeneral Counsel & CCO
|
GrantRestricted Stock Units | 12,845 | $13.04 | $167,498.80 |
DisclosureSEC source: 0001593968-18-000137 · primary_01.xml · nonDerivative · entry 2 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,947 F2 · shares: Each restricted stock unit represents a contingent right to receive one share of Hercules Capital, Inc. stock. F3 · shares: The restricted stock units vest one-third on January 09, 2019 and the remaining two-thirds vest quarterly in equal amounts over the following two years. Vested shares will be delivered to reporting person as soon as reasonably practicable on the earlier of (a) January 09, 2022 and (b) the date (i) reporting person separates from service from Issuer, (ii) dies or becomes disabled or (iii) there is a change in control of the Issuer. Read SEC document |
| January 09, 2018 Filed Jan 12, 2018 16:58 UTC |
Grace MelanieGeneral Counsel & CCO
|
GrantCommon Stock | 12,845 | $13.04 | $167,498.80 |
DisclosureSEC source: 0001593968-18-000137 · primary_01.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,206 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 January 9, 2019 followed by quarterly vesting over the following 24 months. Read SEC document |
| January 09, 2018 Filed Jan 16, 2018 21:14 UTC |
Waldt Gerard R Jr.Interim Chief Accounting Off
|
GrantRestricted Stock Units | 7,669 | $13.04 | $100,003.76 |
DisclosureSEC source: 0001593968-18-000147 · 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: 7,669 F1 · shares: The restricted stock units vest one-third on January 09, 2019 and the remaining two-thirds vest quarterly in equal amounts over the following two years. Vested shares will be delivered to reporting person as soon as reasonably practicable on the earlier of (a) January 09, 2022 and (b) the date (i) reporting person separates from service from Issuer, (ii) dies or becomes disabled or (iii) there is a change in control of the Issuer. Read SEC document |
| December 31, 2017 Filed Feb 8, 2018 21:03 UTC |
BADAVAS ROBERT PDirector
|
GrantCommon Stock | 2 | $13.63 | $27.26 |
DisclosureSEC source: 0001593968-18-000314 · primary_01.xml · nonDerivative · entry 1 BADAVAS ROBERT P · CIK 0001207407 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 126,505 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. F2 · price: Average price Read SEC document |
| December 31, 2017 Filed Feb 8, 2018 21:04 UTC |
Woodward Allyn CDirector
|
GrantCommon Stock | 973 | $13.12 | $12,765.76 |
DisclosureSEC source: 0001593968-18-000315 · primary_01.xml · nonDerivative · entry 1 Woodward Allyn C · CIK 0001246094 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 259,357 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. F2 · price: Average price Read SEC document |
| December 17, 2017 Filed Dec 18, 2017 16:34 UTC |
Grace MelanieGeneral Counsel & CCO
|
Tax withholdingCommon Stock | 301 | $12.99 | $3,909.99 |
DisclosureSEC source: 0001593968-17-001362 · primary_01.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,361 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on December 17, 2017. Read SEC document |
| December 10, 2017 Filed Dec 11, 2017 17:38 UTC |
Henriquez Manuel ADirector · President & CEO
|
Tax withholdingCommon Stock | 13,154 | $13.34 | $175,474.36 |
DisclosureSEC source: 0001593968-17-001338 · primary_01.xml · nonDerivative · entry 1 Henriquez Manuel A · CIK 0001329390 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,856,509 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on December 10, 2017. Read SEC document |
| December 10, 2017 Filed Dec 11, 2017 17:37 UTC |
Bluestein ScottChief Investment Officer
|
Tax withholdingCommon Stock | 1,564 | $13.34 | $20,863.76 |
DisclosureSEC source: 0001593968-17-001337 · primary_01.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 207,775 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on December 10, 2017. Read SEC document |
| November 30, 2017 Filed Dec 1, 2017 21:04 UTC |
BADAVAS ROBERT PDirector
|
GiftCommon Stock | 5,000 | $13.43 | $67,150.00 |
DisclosureSEC source: 0001593968-17-001280 · primary_01.xml · nonDerivative · entry 1 BADAVAS ROBERT P · CIK 0001207407 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 126,503 Read SEC document |
| November 20, 2017 Filed Nov 21, 2017 20:11 UTC |
Bluestein ScottChief Investment Officer
|
GrantRestricted Stock Units | 3,038 | $13.44 | $40,830.72 |
DisclosureSEC source: 0001593968-17-001262 · primary_01.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 134,775 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 20, 2017 Filed Nov 21, 2017 20:10 UTC |
Grace MelanieGeneral Counsel & CCO
|
GrantRestricted Stock Units | 520 | $13.44 | $6,988.80 |
DisclosureSEC source: 0001593968-17-001261 · primary_01.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,102 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 20, 2017 Filed Nov 21, 2017 20:07 UTC |
Henriquez Manuel ADirector · President & CEO
|
GrantRestricted Stock Units | 8,681 | $13.44 | $116,672.64 |
DisclosureSEC source: 0001593968-17-001260 · primary_01.xml · nonDerivative · entry 1 Henriquez Manuel A · CIK 0001329390 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 385,076 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 20, 2017 Filed Nov 22, 2017 22:39 UTC |
Woodward Allyn CDirector
|
GrantCommon Stock | 1,279 | $13.44 | $17,189.76 |
DisclosureSEC source: 0001593968-17-001271 · primary_01.xml · nonDerivative · entry 1 Woodward Allyn C · CIK 0001246094 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 258,384 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| November 20, 2017 Filed Nov 22, 2017 22:36 UTC |
BADAVAS ROBERT PDirector
|
GrantCommon Stock | 2,938 | $13.44 | $39,486.72 |
DisclosureSEC source: 0001593968-17-001270 · primary_01.xml · nonDerivative · entry 1 BADAVAS ROBERT P · CIK 0001207407 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 131,503 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| November 20, 2017 Filed Nov 22, 2017 22:35 UTC |
Fallon Thomas JDirector
|
GrantCommon Stock | 38 | $13.44 | $510.72 |
DisclosureSEC source: 0001593968-17-001269 · primary_01.xml · nonDerivative · entry 1 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,874 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| October 10, 2017 Filed Oct 11, 2017 20:13 UTC |
Henriquez Manuel ADirector · President & CEO
|
Tax withholdingCommon Stock | 13,752 | $12.74 | $175,200.48 |
DisclosureSEC source: 0001593968-17-001130 · primary_01.xml · nonDerivative · entry 1 Henriquez Manuel A · CIK 0001329390 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,869,663 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on October 10, 2017. Read SEC document |
| October 10, 2017 Filed Oct 11, 2017 20:10 UTC |
Grace MelanieGeneral Counsel & CCO
|
Tax withholdingCommon Stock | 284 | $12.74 | $3,618.16 |
DisclosureSEC source: 0001593968-17-001129 · primary_01.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,662 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on October 10, 2017. Read SEC document |
| October 10, 2017 Filed Oct 11, 2017 20:09 UTC |
Bluestein ScottChief Investment Officer
|
Tax withholdingCommon Stock | 2,822 | $12.74 | $35,952.28 |
DisclosureSEC source: 0001593968-17-001128 · primary_01.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 209,339 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on October 10, 2017. Read SEC document |
| October 10, 2017 Filed Oct 11, 2017 20:08 UTC |
Harris Mark RChief Financial Officer
|
Tax withholdingCommon Stock | 1,037 | $12.74 | $13,211.38 |
DisclosureSEC source: 0001593968-17-001127 · primary_01.xml · nonDerivative · entry 1 Harris Mark R · CIK 0001650221 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,568 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on October 10, 2017. Read SEC document |
| September 17, 2017 Filed Sep 18, 2017 20:47 UTC |
Grace MelanieGeneral Counsel & CCO
|
Tax withholdingCommon Stock | 301 | $12.40 | $3,732.40 |
DisclosureSEC source: 0001593968-17-001064 · primary_01.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,946 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on September 17, 2017. Read SEC document |
| September 10, 2017 Filed Sep 11, 2017 20:05 UTC |
Bluestein ScottChief Investment Officer
|
Tax withholdingCommon Stock | 1,297 | $12.04 | $15,615.88 |
DisclosureSEC source: 0001593968-17-001060 · primary_01.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 212,161 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on September 10, 2017. Read SEC document |
| September 10, 2017 Filed Sep 11, 2017 20:02 UTC |
Henriquez Manuel ADirector · President & CEO
|
Tax withholdingCommon Stock | 13,154 | $12.04 | $158,374.16 |
DisclosureSEC source: 0001593968-17-001059 · primary_01.xml · nonDerivative · entry 1 Henriquez Manuel A · CIK 0001329390 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,883,415 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on September 10, 2017. Read SEC document |
| August 21, 2017 Filed Aug 22, 2017 20:12 UTC |
Grace MelanieGeneral Counsel & CCO
|
GrantRestricted Stock Units | 529 | $12.92 | $6,834.68 |
DisclosureSEC source: 0001593968-17-001019 · primary_01.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,582 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 21, 2017 Filed Aug 22, 2017 20:11 UTC |
Bluestein ScottChief Investment Officer
|
GrantRestricted Stock Units | 3,086 | $12.92 | $39,871.12 |
DisclosureSEC source: 0001593968-17-001018 · primary_01.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 131,737 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 21, 2017 Filed Aug 22, 2017 20:10 UTC |
Harris Mark RChief Financial Officer
|
GrantRestricted Stock Units | 881 | $12.92 | $11,382.52 |
DisclosureSEC source: 0001593968-17-001017 · primary_01.xml · nonDerivative · entry 1 Harris Mark R · CIK 0001650221 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,638 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 21, 2017 Filed Aug 22, 2017 20:07 UTC |
Fallon Thomas JDirector
|
GrantCommon Stock | 40 | $12.92 | $516.80 |
DisclosureSEC source: 0001593968-17-001016 · primary_01.xml · nonDerivative · entry 1 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,836 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| August 21, 2017 Filed Aug 22, 2017 20:06 UTC |
BADAVAS ROBERT PDirector
|
GrantCommon Stock | 2,936 | $12.92 | $37,933.12 |
DisclosureSEC source: 0001593968-17-001015 · primary_01.xml · nonDerivative · entry 1 BADAVAS ROBERT P · CIK 0001207407 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 128,565 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| August 21, 2017 Filed Aug 22, 2017 20:03 UTC |
Henriquez Manuel ADirector · President & CEO
|
GrantRestricted Stock Units | 8,819 | $12.92 | $113,941.48 |
DisclosureSEC source: 0001593968-17-001013 · primary_01.xml · nonDerivative · entry 1 Henriquez Manuel A · CIK 0001329390 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 376,395 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 21, 2017 Filed Aug 22, 2017 20:04 UTC |
Woodward Allyn CDirector
|
GrantCommon Stock | 466 | $12.92 | $6,020.72 |
DisclosureSEC source: 0001593968-17-001014 · primary_01.xml · nonDerivative · entry 1 Woodward Allyn C · CIK 0001246094 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 257,105 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| August 15, 2017 Filed Aug 16, 2017 18:41 UTC |
Hoffman Joseph FDirector
|
GrantCommon Stock | 3,903 | $12.81 | $49,997.43 |
DisclosureSEC source: 0001593968-17-000999 · primary_01.xml · nonDerivative · entry 1 Hoffman Joseph F · CIK 0001638817 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,478 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 15, 2017 Filed Aug 16, 2017 18:44 UTC |
Ho Doreen WooDirector
|
GrantCommon Stock | 3,903 | $12.81 | $49,997.43 |
DisclosureSEC source: 0001593968-17-001002 · primary_01.xml · nonDerivative · entry 1 Ho Doreen Woo · CIK 0001453474 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,236 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 15, 2017 Filed Aug 16, 2017 22:45 UTC |
BADAVAS ROBERT PDirector
|
GrantCommon Stock | 3,903 | $12.81 | $49,997.43 |
DisclosureSEC source: 0001593968-17-001003 · primary_01.xml · nonDerivative · entry 1 BADAVAS ROBERT P · CIK 0001207407 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 125,629 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 15, 2017 Filed Aug 16, 2017 22:43 UTC |
Fallon Thomas JDirector
|
GrantCommon Stock | 3,903 | $12.81 | $49,997.43 |
DisclosureSEC source: 0001593968-17-001001 · primary_01.xml · nonDerivative · entry 1 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,796 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 15, 2017 Filed Aug 16, 2017 22:42 UTC |
Woodward Allyn CDirector
|
GrantCommon Stock | 3,903 | $12.81 | $49,997.43 |
DisclosureSEC source: 0001593968-17-001000 · primary_01.xml · nonDerivative · entry 1 Woodward Allyn C · CIK 0001246094 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 256,639 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 06, 2017 Filed Aug 7, 2017 16:30 UTC |
Harris Mark RChief Financial Officer
|
Tax withholdingCommon Stock | 1,141 | $12.78 | $14,581.98 |
DisclosureSEC source: 0001593968-17-000965 · primary_01.xml · nonDerivative · entry 1 Harris Mark R · CIK 0001650221 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,605 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on August 6, 2017. Read SEC document |
| July 10, 2017 Filed Jul 11, 2017 18:02 UTC |
Henriquez Manuel ADirector · President & CEO
|
Tax withholdingCommon Stock | 13,752 | $13.43 | $184,689.36 |
DisclosureSEC source: 0001593968-17-000916 · primary_01.xml · nonDerivative · entry 1 Henriquez Manuel A · CIK 0001329390 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,896,569 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on July 10, 2017. Read SEC document |
| July 10, 2017 Filed Jul 11, 2017 18:01 UTC |
Bluestein ScottChief Investment Officer
|
Tax withholdingCommon Stock | 2,805 | $13.43 | $37,671.15 |
DisclosureSEC source: 0001593968-17-000915 · primary_01.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 213,458 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on July 10, 2017. Read SEC document |
| July 10, 2017 Filed Jul 11, 2017 17:58 UTC |
Harris Mark RChief Financial Officer
|
Tax withholdingCommon Stock | 1,034 | $13.43 | $13,886.62 |
DisclosureSEC source: 0001593968-17-000914 · primary_01.xml · nonDerivative · entry 1 Harris Mark R · CIK 0001650221 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,746 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on July 10, 2017. Read SEC document |
| July 10, 2017 Filed Jul 11, 2017 17:57 UTC |
Grace MelanieGeneral Counsel & CCO
|
Tax withholdingCommon Stock | 283 | $13.43 | $3,800.69 |
DisclosureSEC source: 0001593968-17-000913 · primary_01.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,247 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on July 10, 2017. Read SEC document |
| July 10, 2017 Filed Jul 11, 2017 17:55 UTC |
Olson AndrewVP Finance & Sr Controller
|
Tax withholdingCommon Stock | 188 | $13.43 | $2,524.84 |
DisclosureSEC source: 0001593968-17-000912 · primary_01.xml · nonDerivative · entry 1 Olson Andrew · CIK 0001627218 · VP Finance & Sr Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,446 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on July 10, 2017. Read SEC document |
| June 17, 2017 Filed Jun 19, 2017 16:05 UTC |
Grace MelanieGeneral Counsel & CCO
|
Tax withholdingCommon Stock | 302 | $13.28 | $4,010.56 |
DisclosureSEC source: 0001593968-17-000797 · primary_01.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,530 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on June 17, 2017. Read SEC document |
| June 10, 2017 Filed Jun 13, 2017 15:17 UTC |
Bluestein ScottChief Investment Officer
|
Tax withholdingCommon Stock | 1,261 | $13.05 | $16,456.05 |
DisclosureSEC source: 0001593968-17-000781 · primary_01.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 216,263 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on June 10, 2017. 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.