Reported relationships
Latest disclosed role at each company.
No relationships currently tracked through insider filings.
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.
No balances currently tracked through insider filings.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Hercules Capital, Inc.
Report date September 24, 2021 · Filed September 27, 2021
Section 16 reporting ended · disclosed 2021-09-27. Current position is not established by this disclosure.
No balance rows disclosed in this filing.
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 |
|---|---|---|---|---|---|---|
| August 18, 2021 Filed Aug 20, 2021 20:45 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 21 | $16.98 | $356.58 |
DisclosureSEC source: 0001562180-21-005493 · primarydocument.xml · nonDerivative · entry 4 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,106 F4 · shares: Represents Hercules, Inc. common stock withheld to pay taxes applicable to the vesting of dividend equivalent shares on August 18, 2021. Read SEC document |
| August 18, 2021 Filed Aug 20, 2021 20:45 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 64 | $16.98 | $1,086.72 |
DisclosureSEC source: 0001562180-21-005493 · primarydocument.xml · nonDerivative · entry 3 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,127 F3 · shares: Represents Hercules, Inc. common stock received from vested dividend equivalent shares on August 18, 2021. Read SEC document |
| August 18, 2021 Filed Aug 20, 2021 20:45 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Disposition to issuerRestricted Stock Units | 64 | $16.98 | $1,086.72 |
DisclosureSEC source: 0001562180-21-005493 · primarydocument.xml · nonDerivative · entry 2 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,034 F2 · shares: Represents released dividend equivalent shares converted to Hercules Capital, Inc. common stock on August 18, 2021. Read SEC document |
| August 18, 2021 Filed Aug 20, 2021 20:45 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantRestricted Stock Units | 485 | $16.98 | $8,235.30 |
DisclosureSEC source: 0001562180-21-005493 · primarydocument.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,098 F1 · shares: Represents dividend equivalent shares received on August 18, 2021. Read SEC document |
| July 31, 2021 Filed Aug 3, 2021 21:05 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 531 | $17.27 | $9,170.37 |
DisclosureSEC source: 0001562180-21-005132 · primarydocument.xml · nonDerivative · entry 3 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,063 F3 · shares: Represents Hercules, Inc. common stock withheld to pay taxes applicable to the vesting of restricted stock units and dividend equivalent shares on July 31, 2021. Read SEC document |
| July 31, 2021 Filed Aug 3, 2021 21:05 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 1,390 | $17.27 | $24,005.30 |
DisclosureSEC source: 0001562180-21-005132 · primarydocument.xml · nonDerivative · entry 2 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,594 F2 · shares: Represents Hercules, Inc. common stock received from vested restricted stock units and dividend equivalent shares on July 31, 2021. Read SEC document |
| July 31, 2021 Filed Aug 3, 2021 21:05 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Disposition to issuerRestricted Stock Units | 1,390 | $17.27 | $24,005.30 |
DisclosureSEC source: 0001562180-21-005132 · primarydocument.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,613 F1 · shares: Represents vested restricted stock units and dividend equivalent shares converted to Hercules Capital, Inc. common stock on July 31, 2021. Read SEC document |
| July 13, 2021 Filed Jul 15, 2021 20:11 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 271 | $17.25 | $4,674.75 |
DisclosureSEC source: 0001562180-21-004952 · primarydocument.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,237 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on July 13, 2021. Read SEC document |
| July 13, 2021 Filed Jul 27, 2021 21:37 UTC Amendment | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 304 | $17.25 | $5,244.00 |
DisclosureSEC source: 0001562180-21-005072 · primarydocument.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,204 F1 · shares: Securities disposed of originally reported as 271 shares. F2 · balance_after: Amount of securities beneficially owned originally reported as 65,237. Read SEC document |
| May 19, 2021 Filed May 21, 2021 21:22 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 36 | $16.95 | $610.20 |
DisclosureSEC source: 0001437749-21-013068 · rdgdoc.xml · nonDerivative · entry 5 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,473 F5 · shares: Represents Hercules, Inc. common stock withheld to pay taxes applicable to the vesting of dividend equivalent shares on May 19, 2021. Read SEC document |
| May 19, 2021 Filed May 21, 2021 21:22 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 72 | $16.95 | $1,220.40 |
DisclosureSEC source: 0001437749-21-013068 · rdgdoc.xml · nonDerivative · entry 4 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,509 F4 · shares: Represents Hercules, Inc. common stock received from vested dividend equivalent shares on May 19, 2021. Read SEC document |
| May 19, 2021 Filed May 21, 2021 21:22 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Disposition to issuerRestricted Stock Units | 72 | $16.95 | $1,220.40 |
DisclosureSEC source: 0001437749-21-013068 · rdgdoc.xml · nonDerivative · entry 3 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,003 F3 · shares: Represents released dividend equivalent shares converted to Hercules Capital, Inc. common stock on May 19, 2021. Read SEC document |
| May 19, 2021 Filed May 21, 2021 21:22 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingRestricted Stock Units | 10 | $16.95 | $169.50 |
DisclosureSEC source: 0001437749-21-013068 · rdgdoc.xml · nonDerivative · entry 2 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,075 F2 · shares: Represents dividend equivalent shares withheld to pay taxes applicable to the vesting of deferred dividend equivalent shares on May 19, 2021. Read SEC document |
| May 19, 2021 Filed May 21, 2021 21:22 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantRestricted Stock Units | 508 | $16.95 | $8,610.60 |
DisclosureSEC source: 0001437749-21-013068 · rdgdoc.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,085 F1 · shares: Represents dividend equivalent shares received on May 19, 2021. Read SEC document |
| April 30, 2021 Filed May 4, 2021 20:22 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 470 | $17.41 | $8,182.70 |
DisclosureSEC source: 0001437749-21-010756 · rdgdoc.xml · nonDerivative · entry 3 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,437 F3 · shares: Represents Hercules, Inc. common stock withheld to pay taxes applicable to the vesting of restricted stock units and dividend equivalent shares on April 30, 2021. Read SEC document |
| April 30, 2021 Filed May 4, 2021 20:22 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 1,383 | $17.41 | $24,078.03 |
DisclosureSEC source: 0001437749-21-010756 · rdgdoc.xml · nonDerivative · entry 2 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,907 F2 · shares: Represents Hercules, Inc. common stock received from vested restricted stock units and dividend equivalent shares on April 30, 2021. Read SEC document |
| April 30, 2021 Filed May 4, 2021 20:22 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Disposition to issuerRestricted Stock Units | 1,383 | $17.41 | $24,078.03 |
DisclosureSEC source: 0001437749-21-010756 · rdgdoc.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,577 F1 · shares: Represents vested restricted stock units and dividend equivalent shares converted to Hercules Capital, Inc. common stock on April 30, 2021. Read SEC document |
| April 13, 2021 Filed Apr 15, 2021 21:57 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 271 | $16.90 | $4,579.90 |
DisclosureSEC source: 0001437749-21-009063 · rdgdoc.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,536 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on April 13, 2021. Read SEC document |
| March 15, 2021 Filed Mar 17, 2021 22:05 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 41 | $16.60 | $680.60 |
DisclosureSEC source: 0001437749-21-006366 · rdgdoc.xml · nonDerivative · entry 5 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,807 F5 · shares: Represents Hercules, Inc. common stock withheld to pay taxes applicable to the vesting of dividend equivalent shares on March 15, 2021. Read SEC document |
| March 15, 2021 Filed Mar 17, 2021 22:05 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 82 | $16.60 | $1,361.20 |
DisclosureSEC source: 0001437749-21-006366 · rdgdoc.xml · nonDerivative · entry 4 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,848 F4 · shares: Represents Hercules, Inc. common stock received from vested dividend equivalent shares on March 15, 2021. Read SEC document |
| March 15, 2021 Filed Mar 17, 2021 22:05 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Disposition to issuerRestricted Stock Units | 82 | $16.60 | $1,361.20 |
DisclosureSEC source: 0001437749-21-006366 · rdgdoc.xml · nonDerivative · entry 3 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,960 F3 · shares: Represents released dividend equivalent shares converted to Hercules Capital, Inc. common stock on March 15, 2021. Read SEC document |
| March 15, 2021 Filed Mar 17, 2021 22:05 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingRestricted Stock Units | 10 | $16.60 | $166.00 |
DisclosureSEC source: 0001437749-21-006366 · rdgdoc.xml · nonDerivative · entry 2 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,042 F2 · shares: Represents dividend equivalent shares withheld to pay taxes applicable to the vesting of deferred dividend equivalent shares on March 15, 2021. Read SEC document |
| March 15, 2021 Filed Mar 17, 2021 22:05 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantRestricted Stock Units | 513 | $16.60 | $8,515.80 |
DisclosureSEC source: 0001437749-21-006366 · rdgdoc.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,052 F1 · shares: Represents dividend equivalent shares received on March 15, 2021. Read SEC document |
| January 31, 2021 Filed Feb 2, 2021 22:56 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 467 | $14.67 | $6,850.89 |
DisclosureSEC source: 0001437749-21-001767 · rdgdoc.xml · nonDerivative · entry 3 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,766 F3 · shares: Represents Hercules, Inc. common stock withheld to pay taxes applicable to the vesting of restricted stock units and dividend equivalent shares on January 31, 2021. Read SEC document |
| January 31, 2021 Filed Feb 2, 2021 22:56 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 1,373 | $14.67 | $20,141.91 |
DisclosureSEC source: 0001437749-21-001767 · rdgdoc.xml · nonDerivative · entry 2 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,233 F2 · shares: Represents Hercules, Inc. common stock received from vested restricted stock units and dividend equivalent shares on January 31, 2021. Read SEC document |
| January 31, 2021 Filed Feb 2, 2021 22:56 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Disposition to issuerRestricted Stock Units | 1,373 | $14.67 | $20,141.91 |
DisclosureSEC source: 0001437749-21-001767 · rdgdoc.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,539 F1 · shares: Represents vested restricted stock units and dividend equivalent shares converted to Hercules Capital, Inc. common stock on January 31, 2021. Read SEC document |
| January 24, 2021 Filed Jan 26, 2021 23:01 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 20,715 | $15.28 | $316,525.20 |
DisclosureSEC source: 0001437749-21-001308 · rdgdoc.xml · nonDerivative · entry 3 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,837 F3 · shares: Acquired pursuant to the vesting and release of shares pursuant to a restricted stock award granted on January 24, 2017. Read SEC document |
| January 24, 2021 Filed Jan 26, 2021 23:01 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Disposition to issuerRestricted Stock Units | 20,715 | $15.28 | $316,525.20 |
DisclosureSEC source: 0001437749-21-001308 · rdgdoc.xml · nonDerivative · entry 2 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,064 F2 · shares: Represents released restricted stock units and dividend equivalent shares converted to Hercules Capital, Inc. common stock on January 24, 2021. Read SEC document |
| January 24, 2021 Filed Jan 26, 2021 23:01 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingRestricted Stock Units | 10,655 | $15.28 | $162,808.40 |
DisclosureSEC source: 0001437749-21-001308 · rdgdoc.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,779 F1 · shares: Represents restricted stock units withheld to pay taxes applicable to the release of restricted stock units and dividend equivalent shares on January 24, 2021. Read SEC document |
| January 24, 2021 Filed Feb 2, 2021 22:54 UTC Amendment | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 20,738 | $15.28 | $316,876.64 |
DisclosureSEC source: 0001437749-21-001765 · rdgdoc.xml · nonDerivative · entry 3 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,860 F3 · shares: Amount of securities originally reported as 20,715. F5 · balance_after: Amount of securities originally reported as 63,837. Read SEC document |
| January 24, 2021 Filed Feb 2, 2021 22:54 UTC Amendment | Hercules Capital, Inc. HTGC · Entity 4164 | Disposition to issuerRestricted Stock Units | 20,738 | $15.28 | $316,876.64 |
DisclosureSEC source: 0001437749-21-001765 · rdgdoc.xml · nonDerivative · entry 2 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,912 F3 · shares: Amount of securities originally reported as 20,715. F4 · balance_after: Amount of securities originally reported as 24,064. Read SEC document |
| January 24, 2021 Filed Feb 2, 2021 22:54 UTC Amendment | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingRestricted Stock Units | 10,784 | $15.28 | $164,779.52 |
DisclosureSEC source: 0001437749-21-001765 · rdgdoc.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,650 F1 · shares: Amount of securities originally reported as 10,655. F2 · balance_after: Amount of securities originally reported as 44,779. Read SEC document |
| January 13, 2021 Filed Jan 14, 2021 21:16 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 1,295 | $14.65 | $18,971.75 |
DisclosureSEC source: 0001437749-21-000723 · rdgdoc.xml · nonDerivative · entry 2 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,122 F2 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on January 13, 2021. Read SEC document |
| January 12, 2021 Filed Jan 14, 2021 21:16 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 9,253 | $14.59 | $135,001.27 |
DisclosureSEC source: 0001437749-21-000723 · rdgdoc.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,417 F1 · shares: Restricted stock issued as a grant pursuant to the Amended and Restated Equity Incentive Plan and subject to forfeiture restrictions with one-third vesting on January 12, 2022 followed by quarterly vesting over the following 24 months. Read SEC document |
| January 09, 2021 Filed Jan 12, 2021 21:52 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingRestricted Stock Units | 122 | $14.80 | $1,805.60 |
DisclosureSEC source: 0001437749-21-000579 · rdgdoc.xml · nonDerivative · entry 2 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,434 F2 · shares: Represents restricted stock units withheld to pay taxes applicable to the vesting of restricted stock units and dividend equivalent shares on January 9, 2021. Read SEC document |
| January 09, 2021 Filed Jan 12, 2021 21:52 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 427 | $14.80 | $6,319.60 |
DisclosureSEC source: 0001437749-21-000579 · rdgdoc.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,164 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on January 9, 2021. Read SEC document |
| November 16, 2020 Filed Nov 18, 2020 22:10 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 36 | $12.89 | $464.04 |
DisclosureSEC source: 0001437749-20-024173 · rdgdoc.xml · nonDerivative · entry 5 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,813 F5 · shares: Represents Hercules, Inc. common stock withheld to pay taxes applicable to the vesting of dividend equivalent shares on November 16, 2020. Read SEC document |
| November 16, 2020 Filed Nov 18, 2020 22:10 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 1,326 | $12.89 | $17,092.14 |
DisclosureSEC source: 0001437749-20-024173 · rdgdoc.xml · nonDerivative · entry 4 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,849 F4 · shares: Represents Hercules, Inc. common stock received from vested dividend equivalent shares on November 16, 2020. Read SEC document |
| November 16, 2020 Filed Nov 18, 2020 22:10 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Disposition to issuerRestricted Stock Units | 1,326 | $12.89 | $17,092.14 |
DisclosureSEC source: 0001437749-20-024173 · rdgdoc.xml · nonDerivative · entry 3 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,334 F3 · shares: Represents released dividend equivalent shares converted to Hercules Capital, Inc. common stock on November 16, 2020. Read SEC document |
| November 16, 2020 Filed Nov 18, 2020 22:10 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingRestricted Stock Units | 29 | $12.89 | $373.81 |
DisclosureSEC source: 0001437749-20-024173 · rdgdoc.xml · nonDerivative · entry 2 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,660 F2 · shares: Represents dividend equivalent shares withheld to pay taxes applicable to the vesting of deferred dividend equivalent shares on November 16, 2020. Read SEC document |
| November 16, 2020 Filed Nov 18, 2020 22:10 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantRestricted Stock Units | 1,439 | $12.89 | $18,548.71 |
DisclosureSEC source: 0001437749-20-024173 · rdgdoc.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,689 F1 · shares: Represents dividend equivalent shares received on November 16, 2020. Read SEC document |
| November 16, 2020 Filed Jan 12, 2021 21:51 UTC Amendment | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 36 | $12.89 | $464.04 |
DisclosureSEC source: 0001437749-21-000578 · rdgdoc.xml · nonDerivative · entry 3 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,591 F3 · balance_after: The original Form 4 is being amended by this Form 4 to correct an administrative error that reflected the amount of securities beneficially owned as 36,813. Read SEC document |
| November 16, 2020 Filed Jan 12, 2021 21:51 UTC Amendment | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 104 | $12.89 | $1,340.56 |
DisclosureSEC source: 0001437749-21-000578 · rdgdoc.xml · nonDerivative · entry 2 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,627 F2 · shares: The original Form 4 is being amended by this Form 4 to correct an administrative error that reported the released dividend equivalent shares as 1,326. As a result, the amount of securities beneficially owned was reported as 36,849. shares. F2 · balance_after: The original Form 4 is being amended by this Form 4 to correct an administrative error that reported the released dividend equivalent shares as 1,326. As a result, the amount of securities beneficially owned was reported as 36,849. shares. Read SEC document |
| November 16, 2020 Filed Jan 12, 2021 21:51 UTC Amendment | Hercules Capital, Inc. HTGC · Entity 4164 | Disposition to issuerRestricted Stock Units | 104 | $12.89 | $1,340.56 |
DisclosureSEC source: 0001437749-21-000578 · rdgdoc.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,556 F1 · shares: The original Form 4 is being amended by this Form 4 to correct an administrative error that reported the released dividend equivalent shares as 1,326. As a result, the amount of securities beneficially owned was reported as 54,334. shares. F1 · balance_after: The original Form 4 is being amended by this Form 4 to correct an administrative error that reported the released dividend equivalent shares as 1,326. As a result, the amount of securities beneficially owned was reported as 54,334. shares. Read SEC document |
| October 31, 2020 Filed Nov 3, 2020 21:47 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 462 | $11.20 | $5,174.40 |
DisclosureSEC source: 0001437749-20-022401 · rdgdoc.xml · nonDerivative · entry 3 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,523 F3 · shares: Represents Hercules, Inc. common stock withheld to pay taxes applicable to the vesting of restricted stock units and dividend equivalent shares on October 31, 2020. Read SEC document |
| October 31, 2020 Filed Nov 3, 2020 21:47 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 1,358 | $11.20 | $15,209.60 |
DisclosureSEC source: 0001437749-20-022401 · rdgdoc.xml · nonDerivative · entry 2 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,985 F2 · shares: Represents Hercules, Inc. common stock received from vested restricted stock units and dividend equivalent shares on October 31, 2020. Read SEC document |
| October 31, 2020 Filed Nov 3, 2020 21:47 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Disposition to issuerRestricted Stock Units | 1,358 | $11.20 | $15,209.60 |
DisclosureSEC source: 0001437749-20-022401 · rdgdoc.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,250 F1 · shares: Represents vested restricted stock units and dividend equivalent shares converted to Hercules Capital, Inc. common stock on October 31, 2020. Read SEC document |
| October 09, 2020 Filed Oct 14, 2020 20:08 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingRestricted Stock Units | 34 | $12.04 | $409.36 |
DisclosureSEC source: 0001437749-20-021134 · rdgdoc.xml · nonDerivative · entry 2 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,608 F2 · shares: Represents restricted stock units withheld to pay taxes applicable to the vesting of restricted stock units and dividend equivalent shares on October 9, 2020. Read SEC document |
| October 09, 2020 Filed Oct 14, 2020 20:08 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 364 | $12.04 | $4,382.56 |
DisclosureSEC source: 0001437749-20-021134 · rdgdoc.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,627 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on October 9, 2020. Read SEC document |
| August 17, 2020 Filed Aug 19, 2020 21:08 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 43 | $11.48 | $493.64 |
DisclosureSEC source: 0001437749-20-018365 · rdgdoc.xml · nonDerivative · entry 5 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,991 F5 · shares: Represents Hercules, Inc. common stock withheld to pay taxes applicable to the vesting of released dividend equivalent shares on August 17, 2020. 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.