Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| AvePoint, Inc.APXTU · Entity 746 | Director · Co-CEO and Director | September 16, 2019 | September 17, 2019 |
| Hercules Capital, Inc.HTGC · Entity 4164 | Director | November 17, 2022 | November 21, 2022 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
AvePoint, Inc.
Report date September 16, 2019 · Filed September 17, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class B Common StockSEC Table II · derivative / convertible security | IndirectSee Footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2019-09-16 · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · Balance Not disclosed F1: As described in the issuer's registration statement on Form S-1 (File No. 333-233299) under the heading "Description of Securities--Founder Shares and Placement Shares", the shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described therein and have no expiration date. F2: Mr. Koenig does not beneficially own any shares of the common stock of the issuer. However, Mr. Koenig has a pecuniary interest in shares of Class B common stock through his ownership of membership interests of Apex Technology Sponsor LLC (the "Sponsor"). He is also one of the three managers of the sponsor. Each manager has one vote, and the approval of two of the three managers is required to approve an action of the Sponsor. No individual manager of the Sponsor exercises voting or dispositive control over any of the securities held by the Sponsor, even those in which he directly holds a pecuniary interest. Accordingly, none of them will be deemed to have or share beneficial ownership of such shares. Mr. Koenig disclaims beneficial ownership over any securities owned by the Sponsor in which he does not have any pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: As described in the issuer's registration statement on Form S-1 (File No. 333-233299) under the heading "Description of Securities--Founder Shares and Placement Shares", the shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described therein and have no expiration date.
F2: Mr. Koenig does not beneficially own any shares of the common stock of the issuer. However, Mr. Koenig has a pecuniary interest in shares of Class B common stock through his ownership of membership interests of Apex Technology Sponsor LLC (the "Sponsor"). He is also one of the three managers of the sponsor. Each manager has one vote, and the approval of two of the three managers is required to approve an action of the Sponsor. No individual manager of the Sponsor exercises voting or dispositive control over any of the securities held by the Sponsor, even those in which he directly holds a pecuniary interest. Accordingly, none of them will be deemed to have or share beneficial ownership of such shares. Mr. Koenig disclaims beneficial ownership over any securities owned by the Sponsor in which he does not have any pecuniary interest.
Hercules Capital, Inc.
Report date November 17, 2022 · Filed November 21, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 6,074 |
Reported balance
After 2022-11-17 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2022-11-17 · Disposition to issuer · Disposed 125 · Balance 6,074 F1: Shares previously reported as directly owned are now being reported as indirectly owned. |
| Common StockSEC Table I · non-derivative | Direct | 6,211 |
Reported balance
After 2022-11-17 transaction · row 2
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 2 · 2022-11-17 · Grant · Acquired 136 · Balance 6,211 F2: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. F3: Due to administrative rounding, the number of shares of common stock beneficially owned by the reporting person was overstated by 1 share. |
| Common StockSEC Table I · non-derivative | IndirectBy Trust | 27,136 |
Reported balance
After 2022-11-17 transaction · row 3
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 3 · 2022-11-17 · Grant · Acquired 125 · Balance 27,136 F1: Shares previously reported as directly owned are now being reported as indirectly owned. F4: Held by the Koenig Family 1994 Trust |
| Common StockSEC Table I · non-derivative | IndirectBy Trust | 27,273 |
Reported balance
After 2022-11-17 transaction · row 4
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 4 · 2022-11-17 · Grant · Acquired 138 · Balance 27,273 F2: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. F3: Due to administrative rounding, the number of shares of common stock beneficially owned by the reporting person was overstated by 1 share. F4: Held by the Koenig Family 1994 Trust |
Filing footnotes · ownership attribution and instrument terms
F1: Shares previously reported as directly owned are now being reported as indirectly owned.
F2: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan.
F3: Due to administrative rounding, the number of shares of common stock beneficially owned by the reporting person was overstated by 1 share.
F4: Held by the Koenig Family 1994 Trust
Transaction history
JSON APIPurchases/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 | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| November 17, 2022 Filed Nov 21, 2022 21:13 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 138 | $14.06 | $1,940.28 |
DisclosureSEC source: 0001562180-22-007796 · primarydocument.xml · nonDerivative · entry 4 Koenig Bradford C. · CIK 0001634656 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 27,273 F2 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. F3 · balance_after: Due to administrative rounding, the number of shares of common stock beneficially owned by the reporting person was overstated by 1 share. F4 · ownership.nature: Held by the Koenig Family 1994 Trust Read SEC document |
| November 17, 2022 Filed Nov 21, 2022 21:13 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 125 | $0.00 | $0.00 |
DisclosureSEC source: 0001562180-22-007796 · primarydocument.xml · nonDerivative · entry 3 Koenig Bradford C. · CIK 0001634656 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 27,136 F1 · shares: Shares previously reported as directly owned are now being reported as indirectly owned. F4 · ownership.nature: Held by the Koenig Family 1994 Trust Read SEC document |
| November 17, 2022 Filed Nov 21, 2022 21:13 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 136 | $14.06 | $1,912.16 |
DisclosureSEC source: 0001562180-22-007796 · primarydocument.xml · nonDerivative · entry 2 Koenig Bradford C. · CIK 0001634656 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,211 F2 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. F3 · balance_after: Due to administrative rounding, the number of shares of common stock beneficially owned by the reporting person was overstated by 1 share. Read SEC document |
| November 17, 2022 Filed Nov 21, 2022 21:13 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Disposition to issuerCommon Stock | 125 | $0.00 | $0.00 |
DisclosureSEC source: 0001562180-22-007796 · primarydocument.xml · nonDerivative · entry 1 Koenig Bradford C. · CIK 0001634656 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,074 F1 · shares: Shares previously reported as directly owned are now being reported as indirectly owned. Read SEC document |
| August 16, 2022 Filed Aug 18, 2022 20:04 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 126 | $15.13 | $1,906.38 |
DisclosureSEC source: 0001562180-22-006212 · primarydocument.xml · nonDerivative · entry 4 Koenig Bradford C. · CIK 0001634656 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 27,011 F2 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. F3 · ownership.nature: Held by the Koenig Family 1994 Trust Read SEC document |
| August 16, 2022 Filed Aug 18, 2022 20:04 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 1,157 | $0.00 | $0.00 |
DisclosureSEC source: 0001562180-22-006212 · primarydocument.xml · nonDerivative · entry 3 Koenig Bradford C. · CIK 0001634656 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 26,885 F1 · shares: Shares previously reported as directly owned are now being reported as indirectly owned. F3 · ownership.nature: Held by the Koenig Family 1994 Trust Read SEC document |
| August 16, 2022 Filed Aug 18, 2022 20:04 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 125 | $15.13 | $1,891.25 |
DisclosureSEC source: 0001562180-22-006212 · primarydocument.xml · nonDerivative · entry 2 Koenig Bradford C. · CIK 0001634656 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,199 F2 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| August 16, 2022 Filed Aug 18, 2022 20:04 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Disposition to issuerCommon Stock | 1,157 | $0.00 | $0.00 |
DisclosureSEC source: 0001562180-22-006212 · primarydocument.xml · nonDerivative · entry 1 Koenig Bradford C. · CIK 0001634656 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,074 F1 · shares: Shares previously reported as directly owned are now being reported as indirectly owned. Read SEC document |
| August 01, 2022 Filed Aug 1, 2022 20:42 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 4,339 | $16.13 | $69,995.88 |
DisclosureSEC source: 0001562180-22-005781 · primarydocument.xml · nonDerivative · entry 3 Koenig Bradford C. · CIK 0001634656 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 25,728 F3 · shares: Shares purchased 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. F2 · ownership.nature: Held by the Koenig Family 1994 Trust Read SEC document |
| August 01, 2022 Filed Aug 1, 2022 20:42 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 120 | $0.00 | $0.00 |
DisclosureSEC source: 0001562180-22-005781 · primarydocument.xml · nonDerivative · entry 2 Koenig Bradford C. · CIK 0001634656 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 21,389 F1 · shares: 120 shares previously reported as directly owned are now being reported as indirectly owned. F2 · ownership.nature: Held by the Koenig Family 1994 Trust Read SEC document |
| August 01, 2022 Filed Aug 1, 2022 20:42 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Disposition to issuerCommon Stock | 120 | $0.00 | $0.00 |
DisclosureSEC source: 0001562180-22-005781 · primarydocument.xml · nonDerivative · entry 1 Koenig Bradford C. · CIK 0001634656 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,231 F1 · shares: 120 shares previously reported as directly owned are now being reported as indirectly owned. Read SEC document |
| May 24, 2022 Filed May 26, 2022 21:27 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 121 | $15.06 | $1,822.26 |
DisclosureSEC source: 0001562180-22-004459 · primarydocument.xml · nonDerivative · entry 4 Koenig Bradford C. · CIK 0001634656 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 21,269 F3 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. F2 · ownership.nature: Held by the Koenig Family 1994 Trust Read SEC document |
| May 24, 2022 Filed May 26, 2022 21:27 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 120 | $15.06 | $1,807.20 |
DisclosureSEC source: 0001562180-22-004459 · primarydocument.xml · nonDerivative · entry 3 Koenig Bradford C. · CIK 0001634656 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,351 F3 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| May 24, 2022 Filed May 26, 2022 21:27 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 21,148 | $0.00 | $0.00 |
DisclosureSEC source: 0001562180-22-004459 · primarydocument.xml · nonDerivative · entry 2 Koenig Bradford C. · CIK 0001634656 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 21,148 F1 · shares: 21,148 shares previously reported as directly owned are now being reported as indirectly owned. F2 · ownership.nature: Held by the Koenig Family 1994 Trust Read SEC document |
| May 24, 2022 Filed May 26, 2022 21:27 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Disposition to issuerCommon Stock | 21,148 | $0.00 | $0.00 |
DisclosureSEC source: 0001562180-22-004459 · primarydocument.xml · nonDerivative · entry 1 Koenig Bradford C. · CIK 0001634656 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,231 F1 · shares: 21,148 shares previously reported as directly owned are now being reported as indirectly owned. Read SEC document |
| March 16, 2022 Filed Mar 18, 2022 20:08 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 214 | $16.99 | $3,635.86 |
DisclosureSEC source: 0001562180-22-002795 · primarydocument.xml · nonDerivative · entry 1 Koenig Bradford C. · CIK 0001634656 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,379 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. F2 · balance_after: Due to administrative rounding, the number of shares of common stock beneficially owned by the reporting person was overstated by 2 shares. Read SEC document |
| November 17, 2021 Filed Nov 19, 2021 21:53 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 176 | $17.33 | $3,050.08 |
DisclosureSEC source: 0001562180-21-007182 · primarydocument.xml · nonDerivative · entry 1 Koenig Bradford C. · CIK 0001634656 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,167 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| August 18, 2021 Filed Aug 19, 2021 20:50 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 172 | $16.98 | $2,920.56 |
DisclosureSEC source: 0001562180-21-005457 · primarydocument.xml · nonDerivative · entry 1 Koenig Bradford C. · CIK 0001634656 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,991 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| August 02, 2021 Filed Aug 2, 2021 21:45 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 4,013 | $17.44 | $69,986.72 |
DisclosureSEC source: 0001562180-21-005106 · primarydocument.xml · nonDerivative · entry 1 Koenig Bradford C. · CIK 0001634656 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,819 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 |
| June 24, 2021 Filed Jun 28, 2021 20:03 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 3,472 | $17.28 | $59,996.16 |
DisclosureSEC source: 0001562180-21-004516 · primarydocument.xml · nonDerivative · entry 1 Koenig Bradford C. · CIK 0001634656 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,806 F1 · shares: Restricted Stock issued as an automatic grant upon re-election to the board of directors pursuant to the 2018 Non-Employee Director Plan and subject to forfeiture restrictions. One-third vests on the anniversary of the grant over three years. Read SEC document |
| May 19, 2021 Filed May 21, 2021 21:19 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 184 | $15.98 | $2,940.32 |
DisclosureSEC source: 0001437749-21-013064 · rdgdoc.xml · nonDerivative · entry 1 Koenig Bradford C. · CIK 0001634656 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,334 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| March 15, 2021 Filed Mar 16, 2021 20:21 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 181 | $16.60 | $3,004.60 |
DisclosureSEC source: 0001437749-21-006168 · rdgdoc.xml · nonDerivative · entry 1 Koenig Bradford C. · CIK 0001634656 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,150 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| November 16, 2020 Filed Nov 18, 2020 22:09 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 224 | $11.49 | $2,573.76 |
DisclosureSEC source: 0001437749-20-024171 · rdgdoc.xml · nonDerivative · entry 1 Koenig Bradford C. · CIK 0001634656 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,969 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. F2 · shares: 113 shares are held in The Koenig Family 1994 Trust Read SEC document |
| November 06, 2020 Filed Nov 10, 2020 21:15 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 4,379 | $11.40 | $49,920.60 |
DisclosureSEC source: 0001437749-20-023373 · rdgdoc.xml · nonDerivative · entry 1 Koenig Bradford C. · CIK 0001634656 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,745 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. F2 · shares: Held in The Koenig Family 1994 Trust Read SEC document |
| August 17, 2020 Filed Aug 19, 2020 21:07 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 202 | $11.93 | $2,409.86 |
DisclosureSEC source: 0001437749-20-018363 · rdgdoc.xml · nonDerivative · entry 1 Koenig Bradford C. · CIK 0001634656 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,363 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| May 21, 2020 Filed May 26, 2020 20:11 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 234 | $10.33 | $2,417.22 |
DisclosureSEC source: 0001437749-20-011734 · rdgdoc.xml · nonDerivative · entry 1 Koenig Bradford C. · CIK 0001634656 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,161 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| March 09, 2020 Filed Mar 11, 2020 20:08 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 214 | $14.08 | $3,013.12 |
DisclosureSEC source: 0001437749-20-004802 · rdgdoc.xml · nonDerivative · entry 1 Koenig Bradford C. · CIK 0001634656 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,927 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| November 18, 2019 Filed Nov 20, 2019 21:07 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 199 | $13.91 | $2,768.09 |
DisclosureSEC source: 0001437749-19-023286 · rdgdoc.xml · nonDerivative · entry 1 Koenig Bradford C. · CIK 0001634656 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,713 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| August 19, 2019 Filed Aug 20, 2019 20:16 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 108 | $12.74 | $1,375.92 |
DisclosureSEC source: 0001437749-19-017187 · rdgdoc.xml · nonDerivative · entry 1 Koenig Bradford C. · CIK 0001634656 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,755 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| May 20, 2019 Filed May 22, 2019 20:19 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 98 | $13.13 | $1,286.74 |
DisclosureSEC source: 0001437749-19-010699 · rdgdoc.xml · nonDerivative · entry 1 Koenig Bradford C. · CIK 0001634656 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,647 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| March 11, 2019 Filed Mar 13, 2019 20:34 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 238 | $13.47 | $3,205.86 |
DisclosureSEC source: 0001437749-19-004793 · rdgdoc.xml · nonDerivative · entry 1 Koenig Bradford C. · CIK 0001634656 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,549 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| November 19, 2018 Filed Dec 10, 2018 21:21 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | 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 |
| September 17, 2018 Filed Sep 19, 2018 20:57 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | 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 |
| August 20, 2018 Filed Dec 10, 2018 21:21 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | 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 17:49 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.