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 |
|---|---|---|---|---|---|---|
| January 09, 2018 Filed Jan 12, 2018 16:58 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantRestricted Stock Units | 12,845 | $13.04 | $167,498.80 |
DisclosureSEC source: 0001593968-18-000137 · primary_01.xml · nonDerivative · entry 2 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,947 F2 · shares: Each restricted stock unit represents a contingent right to receive one share of Hercules Capital, Inc. stock. F3 · shares: The restricted stock units vest one-third on January 09, 2019 and the remaining two-thirds vest quarterly in equal amounts over the following two years. Vested shares will be delivered to reporting person as soon as reasonably practicable on the earlier of (a) January 09, 2022 and (b) the date (i) reporting person separates from service from Issuer, (ii) dies or becomes disabled or (iii) there is a change in control of the Issuer. Read SEC document |
| January 09, 2018 Filed Jan 12, 2018 16:58 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 12,845 | $13.04 | $167,498.80 |
DisclosureSEC source: 0001593968-18-000137 · primary_01.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,206 F1 · shares: Restricted stock issued as a grant pursuant to the Amended and Restated Equity Incentive Plan and subject to forfeiture restrictions of one-third vesting on January 9, 2019 followed by quarterly vesting over the following 24 months. Read SEC document |
| December 17, 2017 Filed Dec 18, 2017 16:34 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 301 | $12.99 | $3,909.99 |
DisclosureSEC source: 0001593968-17-001362 · primary_01.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,361 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on December 17, 2017. Read SEC document |
| November 20, 2017 Filed Nov 21, 2017 20:10 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantRestricted Stock Units | 520 | $13.44 | $6,988.80 |
DisclosureSEC source: 0001593968-17-001261 · primary_01.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,102 F1 · balance_after: Includes additional Dividend Shares relating to deemed reinvested dividend equivalent rights that accrued on Restricted Stock Units (RSUs) previously granted. Such additional Dividend Shares are in the form of additional RSUs vest and are settled at the same time as the RSUs in respect of which the dividend equivalent rights accrued. Each such additional Dividend Share RSU is the economic equivalent of one share of Hercules Capital, Inc. common stock. Read SEC document |
| October 10, 2017 Filed Oct 11, 2017 20:10 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 284 | $12.74 | $3,618.16 |
DisclosureSEC source: 0001593968-17-001129 · primary_01.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,662 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on October 10, 2017. Read SEC document |
| September 17, 2017 Filed Sep 18, 2017 20:47 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 301 | $12.40 | $3,732.40 |
DisclosureSEC source: 0001593968-17-001064 · primary_01.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,946 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on September 17, 2017. Read SEC document |
| August 21, 2017 Filed Aug 22, 2017 20:12 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantRestricted Stock Units | 529 | $12.92 | $6,834.68 |
DisclosureSEC source: 0001593968-17-001019 · primary_01.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,582 F1 · balance_after: Includes additional Dividend Shares relating to deemed reinvested dividend equivalent rights that accrued on Restricted Stock Units (RSUs) previously granted. Such additional Dividend Shares are in the form of additional RSUs vest and are settled at the same time as the RSUs in respect of which the dividend equivalent rights accrued. Each such additional Dividend Share RSU is the economic equivalent of one share of Hercules Capital, Inc. common stock. Read SEC document |
| July 10, 2017 Filed Jul 11, 2017 17:57 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 283 | $13.43 | $3,800.69 |
DisclosureSEC source: 0001593968-17-000913 · primary_01.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,247 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on July 10, 2017. Read SEC document |
| June 17, 2017 Filed Jun 19, 2017 16:05 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 302 | $13.28 | $4,010.56 |
DisclosureSEC source: 0001593968-17-000797 · primary_01.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,530 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on June 17, 2017. Read SEC document |
| May 22, 2017 Filed May 23, 2017 20:20 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | 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 |
| April 10, 2017 Filed Apr 11, 2017 20:39 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | 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 |
| March 17, 2017 Filed Mar 20, 2017 15:38 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | 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 20:59 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | 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 |
| January 24, 2017 Filed Jan 26, 2017 21:12 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | 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 May 23, 2017 16:43 UTC Amendment | Hercules Capital, Inc. HTGC · Entity 4164 | 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 18:46 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | 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 17, 2016 Filed Dec 19, 2016 20:25 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | 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 |
| September 17, 2016 Filed Sep 19, 2016 20:34 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 1,204 | $13.29 | $16,001.16 |
DisclosureSEC source: 0001593968-16-001059 · primary_01.xml · nonDerivative · entry 1 Grace Melanie · CIK 0001653448 · General Counsel & CCO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,196 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on September 17, 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.