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 |
|---|---|---|---|---|---|---|
| June 10, 2017 Filed Jun 13, 2017 15:20 UTC |
Olson AndrewVP Finance & Sr Controller
|
Tax withholdingCommon Stock | 120 | $13.05 | $1,566.00 |
DisclosureSEC source: 0001593968-17-000783 · primary_01.xml · nonDerivative · entry 1 Olson Andrew · CIK 0001627218 · VP Finance & Sr Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,634 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 |
| June 10, 2017 Filed Jun 13, 2017 15:19 UTC |
Henriquez Manuel ADirector · President & CEO
|
Tax withholdingCommon Stock | 13,226 | $13.05 | $172,599.30 |
DisclosureSEC source: 0001593968-17-000782 · primary_01.xml · nonDerivative · entry 1 Henriquez Manuel A · CIK 0001329390 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,910,321 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 |
| May 22, 2017 Filed May 23, 2017 20:22 UTC |
Olson AndrewVP Finance & Sr Controller
|
GrantRestricted Stock Units | 418 | $13.31 | $5,563.58 |
DisclosureSEC source: 0001593968-17-000707 · primary_01.xml · nonDerivative · entry 1 Olson Andrew · CIK 0001627218 · VP Finance & Sr Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,378 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 22, 2017 Filed May 23, 2017 20:21 UTC |
Harris Mark RChief Financial Officer
|
GrantRestricted Stock Units | 836 | $13.31 | $11,127.16 |
DisclosureSEC source: 0001593968-17-000706 · primary_01.xml · nonDerivative · entry 1 Harris Mark R · CIK 0001650221 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,757 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 22, 2017 Filed May 23, 2017 20:20 UTC |
Grace MelanieGeneral Counsel & CCO
|
GrantRestricted Stock Units | 501 | $13.31 | $6,668.31 |
DisclosureSEC source: 0001593968-17-000705 · primary_01.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,053 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 22, 2017 Filed May 23, 2017 20:18 UTC |
Bluestein ScottChief Investment Officer
|
GrantRestricted Stock Units | 2,928 | $13.31 | $38,971.68 |
DisclosureSEC source: 0001593968-17-000703 · primary_01.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 128,651 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 22, 2017 Filed May 23, 2017 20:19 UTC |
Henriquez Manuel ADirector · President & CEO
|
GrantRestricted Stock Units | 8,366 | $13.31 | $111,351.46 |
DisclosureSEC source: 0001593968-17-000704 · primary_01.xml · nonDerivative · entry 1 Henriquez Manuel A · CIK 0001329390 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 367,576 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 22, 2017 Filed May 24, 2017 20:18 UTC |
Woodward Allyn CDirector
|
GrantCommon Stock | 1,216 | $13.31 | $16,184.96 |
DisclosureSEC source: 0001593968-17-000718 · primary_01.xml · nonDerivative · entry 1 Woodward Allyn C · CIK 0001246094 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 252,736 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| May 22, 2017 Filed May 24, 2017 20:17 UTC |
Fallon Thomas JDirector
|
GrantCommon Stock | 78 | $13.31 | $1,038.18 |
DisclosureSEC source: 0001593968-17-000717 · primary_01.xml · nonDerivative · entry 1 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,893 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| May 22, 2017 Filed May 24, 2017 20:17 UTC |
BADAVAS ROBERT PDirector
|
GrantCommon Stock | 2,795 | $13.31 | $37,201.45 |
DisclosureSEC source: 0001593968-17-000716 · primary_01.xml · nonDerivative · entry 1 BADAVAS ROBERT P · CIK 0001207407 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 121,726 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. F2 · balance_after: The reporting person no longer has a reportable beneficial interest in 3,591 shares of Hercules Capital, Inc. common stock owned by his children and included in the reporting person's prior ownership reports. Read SEC document |
| May 06, 2017 Filed May 9, 2017 14:40 UTC |
Harris Mark RChief Financial Officer
|
Tax withholdingCommon Stock | 1,302 | $13.00 | $16,926.00 |
DisclosureSEC source: 0001593968-17-000673 · primary_01.xml · nonDerivative · entry 1 Harris Mark R · CIK 0001650221 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,780 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on May 6, 2017. Read SEC document |
| April 10, 2017 Filed Apr 11, 2017 20:38 UTC |
Bluestein ScottChief Investment Officer
|
Tax withholdingCommon Stock | 2,822 | $15.08 | $42,555.76 |
DisclosureSEC source: 0001593968-17-000605 · primary_01.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 217,524 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on April 10, 2017. Read SEC document |
| April 10, 2017 Filed Apr 11, 2017 20:39 UTC |
Grace MelanieGeneral Counsel & CCO
|
Tax withholdingCommon Stock | 332 | $15.08 | $5,006.56 |
DisclosureSEC source: 0001593968-17-000606 · primary_01.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,832 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on April 10, 2017. Read SEC document |
| April 10, 2017 Filed Apr 11, 2017 20:37 UTC |
Henriquez Manuel ADirector · President & CEO
|
Tax withholdingCommon Stock | 13,752 | $15.08 | $207,380.16 |
DisclosureSEC source: 0001593968-17-000604 · primary_01.xml · nonDerivative · entry 1 Henriquez Manuel A · CIK 0001329390 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,923,547 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on April 10, 2017. Read SEC document |
| April 10, 2017 Filed Apr 11, 2017 20:36 UTC |
Olson AndrewVP Finance & Sr Controller
|
Tax withholdingCommon Stock | 219 | $15.08 | $3,302.52 |
DisclosureSEC source: 0001593968-17-000603 · primary_01.xml · nonDerivative · entry 1 Olson Andrew · CIK 0001627218 · VP Finance & Sr Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,754 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on April 10, 2017. Read SEC document |
| April 10, 2017 Filed Apr 11, 2017 20:35 UTC |
Harris Mark RChief Financial Officer
|
Tax withholdingCommon Stock | 1,010 | $15.08 | $15,230.80 |
DisclosureSEC source: 0001593968-17-000602 · primary_01.xml · nonDerivative · entry 1 Harris Mark R · CIK 0001650221 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,082 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on April 10, 2017. Read SEC document |
| March 17, 2017 Filed Mar 20, 2017 15:38 UTC |
Grace MelanieGeneral Counsel & CCO
|
Tax withholdingCommon Stock | 353 | $15.09 | $5,326.77 |
DisclosureSEC source: 0001593968-17-000462 · primary_01.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,164 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on March 17, 2017. Read SEC document |
| March 13, 2017 Filed Mar 14, 2017 21:03 UTC |
Olson AndrewVP Finance & Sr Controller
|
GrantRestricted Stock Units | 367 | $14.85 | $5,449.95 |
DisclosureSEC source: 0001593968-17-000433 · primary_01.xml · nonDerivative · entry 1 Olson Andrew · CIK 0001627218 · VP Finance & Sr Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,960 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 13, 2017 Filed Mar 14, 2017 21:02 UTC |
Henriquez Manuel ADirector · President & CEO
|
GrantRestricted Stock Units | 7,345 | $14.85 | $109,073.25 |
DisclosureSEC source: 0001593968-17-000432 · primary_01.xml · nonDerivative · entry 1 Henriquez Manuel A · CIK 0001329390 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 359,210 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 13, 2017 Filed Mar 14, 2017 21:00 UTC |
Harris Mark RChief Financial Officer
|
GrantRestricted Stock Units | 734 | $14.85 | $10,899.90 |
DisclosureSEC source: 0001593968-17-000431 · primary_01.xml · nonDerivative · entry 1 Harris Mark R · CIK 0001650221 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,921 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 13, 2017 Filed Mar 14, 2017 20:59 UTC |
Grace MelanieGeneral Counsel & CCO
|
GrantRestricted Stock Units | 440 | $14.85 | $6,534.00 |
DisclosureSEC source: 0001593968-17-000430 · primary_01.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,661 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 13, 2017 Filed Mar 14, 2017 20:58 UTC |
Bluestein ScottChief Investment Officer
|
GrantRestricted Stock Units | 2,570 | $14.85 | $38,164.50 |
DisclosureSEC source: 0001593968-17-000429 · primary_01.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 125,723 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 13, 2017 Filed Mar 15, 2017 21:19 UTC |
Fallon Thomas JDirector
|
GrantCommon Stock | 70 | $14.85 | $1,039.50 |
DisclosureSEC source: 0001593968-17-000442 · primary_01.xml · nonDerivative · entry 1 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,815 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| March 13, 2017 Filed Mar 15, 2017 21:22 UTC |
Woodward Allyn CDirector
|
GrantCommon Stock | 1,146 | $14.85 | $17,018.10 |
DisclosureSEC source: 0001593968-17-000443 · primary_01.xml · nonDerivative · entry 1 Woodward Allyn C · CIK 0001246094 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 251,520 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| March 13, 2017 Filed Mar 15, 2017 21:18 UTC |
BADAVAS ROBERT PDirector
|
GrantCommon Stock | 2,429 | $14.85 | $36,070.65 |
DisclosureSEC source: 0001593968-17-000441 · primary_01.xml · nonDerivative · entry 1 BADAVAS ROBERT P · CIK 0001207407 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 122,522 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| March 10, 2017 Filed Mar 13, 2017 22:16 UTC |
Olson AndrewVP Finance & Sr Controller
|
Tax withholdingCommon Stock | 139 | $14.69 | $2,041.91 |
DisclosureSEC source: 0001593968-17-000427 · primary_01.xml · nonDerivative · entry 1 Olson Andrew · CIK 0001627218 · VP Finance & Sr Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,973 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on March 10, 2017. Read SEC document |
| March 10, 2017 Filed Mar 13, 2017 22:15 UTC |
Henriquez Manuel ADirector · President & CEO
|
Tax withholdingCommon Stock | 13,154 | $14.69 | $193,232.26 |
DisclosureSEC source: 0001593968-17-000426 · primary_01.xml · nonDerivative · entry 1 Henriquez Manuel A · CIK 0001329390 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,937,299 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on March 10, 2017. Read SEC document |
| March 10, 2017 Filed Mar 13, 2017 22:12 UTC |
Bluestein ScottChief Investment Officer
|
Tax withholdingCommon Stock | 1,297 | $14.69 | $19,052.93 |
DisclosureSEC source: 0001593968-17-000425 · primary_01.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 220,346 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on March 10, 2017. Read SEC document |
| March 04, 2017 Filed Mar 7, 2017 16:43 UTC |
Henriquez Manuel ADirector · President & CEO
|
Tax withholdingCommon Stock | 6,079 | $14.82 | $90,090.78 |
DisclosureSEC source: 0001593968-17-000407 · primary_01.xml · nonDerivative · entry 1 Henriquez Manuel A · CIK 0001329390 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,950,453 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on March 4, 2017. Read SEC document |
| March 04, 2017 Filed Mar 7, 2017 16:41 UTC |
Bluestein ScottChief Investment Officer
|
Tax withholdingCommon Stock | 800 | $14.82 | $11,856.00 |
DisclosureSEC source: 0001593968-17-000406 · primary_01.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 221,643 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on March 4, 2017. Read SEC document |
| February 06, 2017 Filed Feb 16, 2017 20:15 UTC |
Harris Mark RChief Financial Officer
|
Tax withholdingCommon Stock | 1,114 | $14.51 | $16,164.14 |
DisclosureSEC source: 0001593968-17-000299 · primary_01.xml · nonDerivative · entry 1 Harris Mark R · CIK 0001650221 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,092 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on February 6, 2017. Read SEC document |
| January 24, 2017 Filed Jan 26, 2017 21:13 UTC |
Olson AndrewVP Finance & Sr Controller
|
GrantRestricted Stock Units | 17,593 | $0.00 | $0.00 |
DisclosureSEC source: 0001593968-17-000153 · primary_01.xml · nonDerivative · entry 1 Olson Andrew · CIK 0001627218 · VP Finance & Sr Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,593 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 24, 2018 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 24, 2021 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 24, 2017 Filed Jan 26, 2017 21:12 UTC |
Grace MelanieGeneral Counsel & CCO
|
GrantRestricted Stock Units | 21,221 | $0.00 | $0.00 |
DisclosureSEC source: 0001593968-17-000152 · primary_01.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,221 F1 · shares: The restricted stock units vest one-third on January 24, 2018 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 24, 2021 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. F2 · shares: Each restricted stock unit represents a contingent right to receive one share of Hercules Capital, Inc. stock. Read SEC document |
| January 24, 2017 Filed Jan 26, 2017 21:11 UTC |
Harris Mark RChief Financial Officer
|
GrantRestricted Stock Units | 42,224 | $0.00 | $0.00 |
DisclosureSEC source: 0001593968-17-000151 · primary_01.xml · nonDerivative · entry 1 Harris Mark R · CIK 0001650221 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,224 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 24, 2018 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 24, 2021 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 24, 2017 Filed Jan 26, 2017 21:10 UTC |
Henriquez Manuel ADirector · President & CEO
|
GrantRestricted Stock Units | 351,865 | $0.00 | $0.00 |
DisclosureSEC source: 0001593968-17-000150 · primary_01.xml · nonDerivative · entry 1 Henriquez Manuel A · CIK 0001329390 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 351,865 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 24, 2018 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 24, 2021 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 24, 2017 Filed Jan 26, 2017 21:09 UTC |
Bluestein ScottChief Investment Officer
|
GrantRestricted Stock Units | 123,153 | $0.00 | $0.00 |
DisclosureSEC source: 0001593968-17-000149 · primary_01.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 123,153 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 24, 2018 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 24, 2021 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 24, 2017 Filed May 23, 2017 16:43 UTC Amendment |
Grace MelanieGeneral Counsel & CCO
|
GrantRestricted Stock Units | 21,112 | $0.00 | $0.00 |
DisclosureSEC source: 0001593968-17-000702 · primary_01.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,112 F1 · shares: Amount of securities originally reported as 21,221. F1 · balance_after: Amount of securities originally reported as 21,221. Read SEC document |
| January 10, 2017 Filed Jan 12, 2017 18:51 UTC |
Bluestein ScottChief Investment Officer
|
Tax withholdingCommon Stock | 11,680 | $14.21 | $165,972.80 |
DisclosureSEC source: 0001593968-17-000086 · primary_01.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 221,443 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on January 10, 2017. Read SEC document |
| January 10, 2017 Filed Jan 12, 2017 18:48 UTC |
Olson AndrewVP Finance & Sr Controller
|
Tax withholdingCommon Stock | 876 | $14.21 | $12,447.96 |
DisclosureSEC source: 0001593968-17-000085 · primary_01.xml · nonDerivative · entry 1 Olson Andrew · CIK 0001627218 · VP Finance & Sr Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,112 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on January 10, 2017. Read SEC document |
| January 10, 2017 Filed Jan 12, 2017 18:47 UTC |
Harris Mark RChief Financial Officer
|
Tax withholdingCommon Stock | 4,656 | $14.21 | $66,161.76 |
DisclosureSEC source: 0001593968-17-000084 · primary_01.xml · nonDerivative · entry 1 Harris Mark R · CIK 0001650221 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,206 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on January 10, 2017. Read SEC document |
| January 10, 2017 Filed Jan 12, 2017 18:45 UTC |
Henriquez Manuel ADirector · President & CEO
|
Tax withholdingCommon Stock | 47,088 | $14.21 | $669,120.48 |
DisclosureSEC source: 0001593968-17-000082 · primary_01.xml · nonDerivative · entry 1 Henriquez Manuel A · CIK 0001329390 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,956,532 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on January 10, 2017. Read SEC document |
| January 10, 2017 Filed Jan 12, 2017 18:46 UTC |
Grace MelanieGeneral Counsel & CCO
|
Tax withholdingCommon Stock | 1,326 | $14.21 | $18,842.46 |
DisclosureSEC source: 0001593968-17-000083 · primary_01.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,517 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on January 10, 2017. Read SEC document |
| December 31, 2016 Filed Jan 20, 2017 20:35 UTC |
BADAVAS ROBERT PDirector
|
GrantCommon Stock | 168 | $0.00 | $0.00 |
DisclosureSEC source: 0001593968-17-000111 · primary_01.xml · nonDerivative · entry 1 BADAVAS ROBERT P · CIK 0001207407 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 120,093 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. F1 · price: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| December 31, 2016 Filed Jan 20, 2017 20:33 UTC |
Woodward Allyn CDirector
|
GrantCommon Stock | 3,753 | $0.00 | $0.00 |
DisclosureSEC source: 0001593968-17-000109 · primary_01.xml · nonDerivative · entry 1 Woodward Allyn C · CIK 0001246094 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 250,374 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. F1 · price: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| December 31, 2016 Filed Jan 20, 2017 20:32 UTC |
Fallon Thomas JDirector
|
GrantCommon Stock | 337 | $0.00 | $0.00 |
DisclosureSEC source: 0001593968-17-000108 · primary_01.xml · nonDerivative · entry 1 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,745 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. F1 · price: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| December 17, 2016 Filed Dec 19, 2016 20:25 UTC |
Grace MelanieGeneral Counsel & CCO
|
Tax withholdingCommon Stock | 353 | $13.45 | $4,747.85 |
DisclosureSEC source: 0001593968-16-001355 · primary_01.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,843 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on December 17, 2016. Read SEC document |
| December 10, 2016 Filed Dec 12, 2016 22:09 UTC |
Henriquez Manuel ADirector · President & CEO
|
Tax withholdingCommon Stock | 13,154 | $13.67 | $179,815.18 |
DisclosureSEC source: 0001593968-16-001309 · primary_01.xml · nonDerivative · entry 1 Henriquez Manuel A · CIK 0001329390 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,003,620 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on December 10, 2016. Read SEC document |
| December 10, 2016 Filed Dec 12, 2016 22:08 UTC |
Olson AndrewVP Finance & Sr Controller
|
Tax withholdingCommon Stock | 117 | $13.67 | $1,599.39 |
DisclosureSEC source: 0001593968-16-001308 · primary_01.xml · nonDerivative · entry 1 Olson Andrew · CIK 0001627218 · VP Finance & Sr Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,988 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on December 10, 2016. Read SEC document |
| December 10, 2016 Filed Dec 12, 2016 22:07 UTC |
Bluestein ScottChief Investment Officer
|
Tax withholdingCommon Stock | 1,297 | $13.67 | $17,729.99 |
DisclosureSEC source: 0001593968-16-001307 · primary_01.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 233,123 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on December 10, 2016. Read SEC document |
| December 04, 2016 Filed Dec 6, 2016 20:38 UTC |
Bluestein ScottChief Investment Officer
|
Tax withholdingCommon Stock | 800 | $13.55 | $10,840.00 |
DisclosureSEC source: 0001593968-16-001277 · primary_01.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 234,420 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on December 4, 2016. 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.