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 17, 2020 Filed Aug 19, 2020 21:08 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 112 | $11.48 | $1,285.76 |
DisclosureSEC source: 0001437749-20-018365 · rdgdoc.xml · nonDerivative · entry 4 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,034 F4 · shares: Represents Hercules Capital, Inc. common stock received from released vested dividend equivalent shares on August 17, 2020. Read SEC document |
| August 17, 2020 Filed Aug 19, 2020 21:08 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Disposition to issuerRestricted Stock Units | 112 | $11.48 | $1,285.76 |
DisclosureSEC source: 0001437749-20-018365 · rdgdoc.xml · nonDerivative · entry 3 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,453 F3 · shares: Represents released dividend equivalent shares converted to Hercules Capital, Inc. common stock on August 17, 2020. Read SEC document |
| August 17, 2020 Filed Aug 19, 2020 21:08 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingRestricted Stock Units | 25 | $11.48 | $287.00 |
DisclosureSEC source: 0001437749-20-018365 · rdgdoc.xml · nonDerivative · entry 2 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,565 F2 · shares: Represents dividend equivalent shares withheld to pay taxes applicable to the vesting of deferred dividend equivalent shares on August 17, 2020. Read SEC document |
| August 17, 2020 Filed Aug 19, 2020 21:08 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantRestricted Stock Units | 1,329 | $11.48 | $15,256.92 |
DisclosureSEC source: 0001437749-20-018365 · rdgdoc.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,590 F1 · shares: Represents vested dividend equivalent shares issued on August 17, 2020. Read SEC document |
| July 31, 2020 Filed Aug 4, 2020 20:57 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 553 | $11.04 | $6,105.12 |
DisclosureSEC source: 0001437749-20-016512 · rdgdoc.xml · nonDerivative · entry 3 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,922 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, 2020. Read SEC document |
| July 31, 2020 Filed Aug 4, 2020 20:57 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 1,446 | $11.04 | $15,963.84 |
DisclosureSEC source: 0001437749-20-016512 · rdgdoc.xml · nonDerivative · entry 2 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,475 F2 · shares: Represents Hercules, Inc. common stock received from vested restricted stock units and dividend equivalent shares on July 31, 2020. Read SEC document |
| July 31, 2020 Filed Aug 4, 2020 20:57 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Disposition to issuerRestricted Stock Units | 1,446 | $11.04 | $15,963.84 |
DisclosureSEC source: 0001437749-20-016512 · rdgdoc.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,261 F1 · shares: Represents vested restricted stock units and dividend equivalent shares converted to Hercules Capital, Inc. common stock on July 31, 2020. Read SEC document |
| July 09, 2020 Filed Jul 13, 2020 20:11 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 410 | $10.02 | $4,108.20 |
DisclosureSEC source: 0001437749-20-015065 · rdgdoc.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,029 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on July 9, 2020. Read SEC document |
| May 21, 2020 Filed May 26, 2020 20:14 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Disposition to issuerRestricted Stock Units | 20 | $11.14 | $222.80 |
DisclosureSEC source: 0001437749-20-011737 · rdgdoc.xml · nonDerivative · entry 2 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,707 F2 · shares: Represents restricted stock units withheld to pay taxes applicable to the vesting of restricted stock units and dividend equivalent shares on May 21, 2020. Read SEC document |
| May 21, 2020 Filed May 26, 2020 20:14 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantRestricted Stock Units | 1,561 | $11.14 | $17,389.54 |
DisclosureSEC source: 0001437749-20-011737 · rdgdoc.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,727 F1 · shares: 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 |
| April 30, 2020 Filed May 4, 2020 20:11 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 504 | $10.26 | $5,171.04 |
DisclosureSEC source: 0001437749-20-009263 · rdgdoc.xml · nonDerivative · entry 3 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,439 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, 2020. Read SEC document |
| April 30, 2020 Filed May 4, 2020 20:11 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 1,317 | $10.26 | $13,512.42 |
DisclosureSEC source: 0001437749-20-009263 · rdgdoc.xml · nonDerivative · entry 2 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,943 F2 · shares: Represents Hercules, Inc. common stock received from vested restricted stock units and dividend equivalent shares on April 30, 2020. Read SEC document |
| April 30, 2020 Filed May 4, 2020 20:11 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Disposition to issuerRestricted Stock Units | 1,317 | $10.26 | $13,512.42 |
DisclosureSEC source: 0001437749-20-009263 · rdgdoc.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,166 F1 · shares: Represents vested restricted stock units and dividend equivalent shares converted to Hercules Capital, Inc. common stock on April 30, 2020. F4 · balance_after: Each restricted stock unit represents a contingent right to receive one share of Hercules Capital, Inc. stock. Read SEC document |
| April 09, 2020 Filed Apr 13, 2020 20:14 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingRestricted Stock Units | 37 | $9.09 | $336.33 |
DisclosureSEC source: 0001437749-20-007596 · rdgdoc.xml · nonDerivative · entry 2 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,592 F2 · shares: Represents restricted stock units withheld to pay taxes applicable to the vesting of restricted stock units and dividend equivalent shares on April 9, 2020. Read SEC document |
| April 09, 2020 Filed Apr 13, 2020 20:14 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 409 | $9.09 | $3,717.81 |
DisclosureSEC source: 0001437749-20-007596 · rdgdoc.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,559 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on April 9, 2020. Read SEC document |
| March 09, 2020 Filed Mar 11, 2020 20:11 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantRestricted Stock Units | 1,536 | $14.08 | $21,626.88 |
DisclosureSEC source: 0001437749-20-004806 · rdgdoc.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,462 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 09, 2020 Filed Apr 2, 2020 20:34 UTC Amendment | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingRestricted Stock Units | 22 | $12.54 | $275.88 |
DisclosureSEC source: 0001437749-20-006922 · rdgdoc.xml · nonDerivative · entry 2 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,629 F4 · shares: Represents restricted stock units withheld to pay taxes applicable to the vesting of dividend equivalent shares on March 9, 2020 Read SEC document |
| March 09, 2020 Filed Apr 2, 2020 20:34 UTC Amendment | Hercules Capital, Inc. HTGC · Entity 4164 | GrantRestricted Stock Units | 1,725 | $12.54 | $21,631.50 |
DisclosureSEC source: 0001437749-20-006922 · rdgdoc.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,651 F1 · shares: Amount of securities originally reported as 1,536. F2 · price: Price originally reported as $14.08. F3 · balance_after: Amount of securities beneficially owned originally reported as 55,462. Read SEC document |
| March 09, 2020 Filed Jun 16, 2020 21:04 UTC Amendment | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 42 | $12.54 | $526.68 |
DisclosureSEC source: 0001437749-20-013251 · rdgdoc.xml · nonDerivative · entry 3 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,035 F4 · shares: Represents Hercules, Inc. common stock withheld to pay taxes applicable to the vesting of dividend equivalent shares on March 9, 2020. Read SEC document |
| March 09, 2020 Filed Jun 16, 2020 21:04 UTC Amendment | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 109 | $12.54 | $1,366.86 |
DisclosureSEC source: 0001437749-20-013251 · rdgdoc.xml · nonDerivative · entry 2 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,077 F3 · shares: Represents Hercules, Inc. common stock received from vested dividend equivalent shares on March 9, 2020. Read SEC document |
| March 09, 2020 Filed Jun 16, 2020 21:04 UTC Amendment | Hercules Capital, Inc. HTGC · Entity 4164 | GrantRestricted Stock Units | 109 | $12.54 | $1,366.86 |
DisclosureSEC source: 0001437749-20-013251 · rdgdoc.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,738 F1 · shares: The original Form 4 is being amended by this Form 4 to reflect the vesting of additional dividend equivalent shares on March 9, 2020. F2 · shares: Represents vested dividend equivalent shares converted to Hercules Capital, Inc. common stock on March 9, 2020. Read SEC document |
| January 31, 2020 Filed Feb 4, 2020 21:23 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 1,970 | $14.41 | $28,387.70 |
DisclosureSEC source: 0001437749-20-001699 · rdgdoc.xml · nonDerivative · entry 3 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,968 F4 · 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, 2020. Read SEC document |
| January 31, 2020 Filed Feb 4, 2020 21:23 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 5,154 | $14.41 | $74,269.14 |
DisclosureSEC source: 0001437749-20-001699 · rdgdoc.xml · nonDerivative · entry 2 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,938 F3 · shares: Represents Hercules, Inc. common stock received from vested restricted stock units and dividend equivalent shares on January 31, 2020. Read SEC document |
| January 31, 2020 Filed Feb 4, 2020 21:23 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Disposition to issuerRestricted Stock Units | 5,154 | $14.41 | $74,269.14 |
DisclosureSEC source: 0001437749-20-001699 · rdgdoc.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,926 F1 · shares: Represents vested restricted stock units and dividend equivalent shares converted to Hercules Capital, Inc. common stock on January 31, 2020. F2 · balance_after: Each restricted stock unit represents a contingent right to receive one share of Hercules Capital, Inc. stock. Read SEC document |
| January 24, 2020 Filed Jan 28, 2020 21:09 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Disposition to issuerRestricted Stock Units | 75 | $14.38 | $1,078.50 |
DisclosureSEC source: 0001437749-20-001293 · rdgdoc.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,080 F1 · shares: Represents units withheld to pay taxes applicable to the vesting of restricted stock units on January 24, 2020. Read SEC document |
| January 13, 2020 Filed Jan 13, 2020 22:12 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 9,541 | $14.15 | $135,005.15 |
DisclosureSEC source: 0001437749-20-000553 · rdgdoc.xml · nonDerivative · entry 2 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,784 F2 · 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 13, 2021 followed by quarterly vesting over the following 24 months. Read SEC document |
| January 09, 2020 Filed Jan 13, 2020 22:12 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Disposition to issuerCommon Stock | 469 | $14.01 | $6,570.69 |
DisclosureSEC source: 0001437749-20-000553 · rdgdoc.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,243 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on January 9, 2020. Read SEC document |
| January 09, 2020 Filed Jan 13, 2020 22:10 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Disposition to issuerRestricted Stock Units | 114 | $14.01 | $1,597.14 |
DisclosureSEC source: 0001437749-20-000550 · rdgdoc.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,155 F1 · shares: Represents units withheld to pay taxes applicable to the vesting of restricted stock units on January 9, 2020. Read SEC document |
| November 18, 2019 Filed Nov 19, 2019 22:53 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantRestricted Stock Units | 1,453 | $13.91 | $20,211.23 |
DisclosureSEC source: 0001437749-19-023235 · rdgdoc.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,269 F1 · shares: 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 |
| October 09, 2019 Filed Oct 11, 2019 20:09 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Disposition to issuerCommon Stock | 409 | $13.14 | $5,374.26 |
DisclosureSEC source: 0001437749-19-019971 · rdgdoc.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,712 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on October 9, 2019. Read SEC document |
| August 19, 2019 Filed Aug 20, 2019 20:13 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantRestricted Stock Units | 1,501 | $12.74 | $19,122.74 |
DisclosureSEC source: 0001437749-19-017184 · rdgdoc.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,816 F1 · shares: 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 |
| July 09, 2019 Filed Jul 11, 2019 20:05 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Disposition to issuerCommon Stock | 410 | $12.91 | $5,293.10 |
DisclosureSEC source: 0001437749-19-013849 · rdgdoc.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,121 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on July 9, 2019. Read SEC document |
| May 20, 2019 Filed May 22, 2019 20:14 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantRestricted Stock Units | 1,379 | $13.13 | $18,106.27 |
DisclosureSEC source: 0001437749-19-010693 · rdgdoc.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,315 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 |
| April 09, 2019 Filed Apr 11, 2019 20:08 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Disposition to issuerCommon Stock | 409 | $12.64 | $5,169.76 |
DisclosureSEC source: 0001437749-19-006983 · rdgdoc.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,531 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on April 9, 2019. Read SEC document |
| March 11, 2019 Filed Mar 13, 2019 20:30 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantRestricted Stock Units | 1,234 | $13.47 | $16,621.98 |
DisclosureSEC source: 0001437749-19-004785 · rdgdoc.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,936 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 |
| January 31, 2019 Filed Feb 4, 2019 21:36 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantRestricted Stock Units | 14,018 | $13.14 | $184,196.52 |
DisclosureSEC source: 0001437749-19-001786 · rdgdoc.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,702 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 31, 2020 and the remaining two-thirds vest quarterly in equal amounts over the following two years. Read SEC document |
| January 10, 2019 Filed Jan 11, 2019 22:14 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 343 | $12.14 | $4,164.02 |
DisclosureSEC source: 0001437749-19-000751 · rdgdoc.xml · nonDerivative · entry 2 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,940 F2 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on January 10, 2019. Read SEC document |
| January 09, 2019 Filed Jan 11, 2019 22:14 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 1,869 | $12.03 | $22,484.07 |
DisclosureSEC source: 0001437749-19-000751 · rdgdoc.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,283 F1 · price: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on January 9, 2019. Read SEC document |
| November 19, 2018 Filed Nov 21, 2018 21:30 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantRestricted Stock Units | 1,037 | $12.28 | $12,734.36 |
DisclosureSEC source: 0001437749-18-021203 · rdgdoc.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,684 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 |
| October 10, 2018 Filed Oct 15, 2018 17:26 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Disposition to issuerCommon Stock | 300 | $12.80 | $3,840.00 |
DisclosureSEC source: 0001437749-18-018293 · rdgdoc.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,152 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on October 17, 2018. Read SEC document |
| September 17, 2018 Filed Sep 19, 2018 20:58 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Disposition to issuerCommon Stock | 319 | $13.15 | $4,194.85 |
DisclosureSEC source: 0001437749-18-017217 · rdgdoc.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,452 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on September 17, 2018. Read SEC document |
| August 20, 2018 Filed Aug 21, 2018 16:52 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantRestricted Stock Units | 871 | $13.44 | $11,706.24 |
DisclosureSEC source: 0001437749-18-015929 · rdgdoc.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,647 F1 · balance_after: Includes additional Dividend Shares relating to deemed reinvested dividend equivalent rights that accrued on Restricted Stock Units (RSUs) previously granted. Such additional Dividend Shares are in the form of additional RSUs vest and are settled at the same time as the RSUs in respect of which the dividend equivalent rights accrued. Each such additional Dividend Share RSU is the economic equivalent of one share of Hercules Capital, Inc. common stock. Read SEC document |
| August 20, 2018 Filed Nov 21, 2018 21:27 UTC Amendment | Hercules Capital, Inc. HTGC · Entity 4164 | GrantRestricted Stock Units | 871 | $13.42 | $11,688.82 |
DisclosureSEC source: 0001437749-18-021198 · rdgdoc.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,647 F1 · price: Price originally reported as $13.44. Read SEC document |
| July 10, 2018 Filed Jul 12, 2018 17:46 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Disposition to issuerCommon Stock | 300 | $12.93 | $3,879.00 |
DisclosureSEC source: 0001437749-18-013244 · rdgdoc.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,771 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on July 10, 2018. Read SEC document |
| June 17, 2018 Filed Jun 18, 2018 21:59 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 280 | $12.52 | $3,505.60 |
DisclosureSEC source: 0001593968-18-000919 · primary_01.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,071 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on June 17, 2018. Read SEC document |
| May 21, 2018 Filed May 21, 2018 20:21 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantRestricted Stock Units | 921 | $12.40 | $11,420.40 |
DisclosureSEC source: 0001593968-18-000816 · primary_01.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,776 F1 · balance_after: Includes additional Dividend Shares relating to deemed reinvested dividend equivalent rights that accrued on Restricted Stock Units (RSUs) previously granted. Such additional Dividend Shares are in the form of additional RSUs vest and are settled at the same time as the RSUs in respect of which the dividend equivalent rights accrued. Each such additional Dividend Share RSU is the economic equivalent of one share of Hercules Capital, Inc. common stock. Read SEC document |
| April 10, 2018 Filed Apr 12, 2018 20:24 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 263 | $12.09 | $3,179.67 |
DisclosureSEC source: 0001593968-18-000673 · primary_01.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,351 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on April 10, 2018. Read SEC document |
| March 17, 2018 Filed Mar 19, 2018 20:37 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 280 | $12.03 | $3,368.40 |
DisclosureSEC source: 0001593968-18-000589 · primary_01.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,614 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on March 17, 2018. Read SEC document |
| March 12, 2018 Filed Mar 14, 2018 20:28 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantRestricted Stock Units | 908 | $12.27 | $11,141.16 |
DisclosureSEC source: 0001593968-18-000552 · primary_01.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,855 F1 · balance_after: Includes additional Dividend Shares relating to deemed reinvested dividend equivalent rights that accrued on Restricted Stock Units (RSUs) previously granted. Such additional Dividend Shares are in the form of additional RSUs vest and are settled at the same time as the RSUs in respect of which the dividend equivalent rights accrued. Each such additional Dividend Share RSU is the economic equivalent of one share of Hercules Capital, Inc. common stock. Read SEC document |
| January 10, 2018 Filed Jan 12, 2018 18:42 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.