Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Hercules Capital, Inc.HTGC · Entity 4164 | Director | August 02, 2021 | August 02, 2021 |
| US BANCORP DEUSB · Entity 2923 | Director | April 18, 2019 | April 22, 2019 |
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.
Hercules Capital, Inc.
Report date August 02, 2021 · Filed August 02, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 27,201 |
Reported balance
After 2021-08-02 transaction · row 1
1 source rowRow 1 · 2021-08-02 · Grant · Acquired 4,013 · Balance 27,201 F1: 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. |
Filing footnotes · ownership attribution and instrument terms
F1: 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.
US BANCORP DE
Report date April 18, 2019 · Filed April 22, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 3,124 |
Reported balance
After 2019-04-18 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2019-04-18 · Grant · Acquired 3,124 · Balance 3,124 F1: Restriced stock units convert into common stock on a one-for-one basis. F2: The restricted stock units were fully vested at the time of grant. Units are payable in common stock when the reporting person ceases to serve on the Board of Directors and is not providing services to the Company as an independent contractor, except that all units are forfeited if the holder's service is terminated for cause. |
Filing footnotes · ownership attribution and instrument terms
F1: Restriced stock units convert into common stock on a one-for-one basis.
F2: The restricted stock units were fully vested at the time of grant. Units are payable in common stock when the reporting person ceases to serve on the Board of Directors and is not providing services to the Company as an independent contractor, except that all units are forfeited if the holder's service is terminated for cause.
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 02, 2021 Filed Aug 2, 2021 17:45 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 4,013 | $17.44 | $69,986.72 |
DisclosureSEC source: 0001562180-21-005107 · primarydocument.xml · nonDerivative · entry 1 Ho Doreen Woo · CIK 0001453474 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,201 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 |
| March 01, 2021 Filed Mar 3, 2021 17:40 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 8,381 | $16.24 | $136,107.44 |
DisclosureSEC source: 0001437749-21-004876 · rdgdoc.xml · nonDerivative · entry 2 Ho Doreen Woo · CIK 0001453474 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,188 Read SEC document |
| March 01, 2021 Filed Mar 3, 2021 17:40 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Exercise / conversionCommon Stock | 10,000 | $13.61 | $136,100.00 |
DisclosureSEC source: 0001437749-21-004876 · rdgdoc.xml · nonDerivative · entry 1 Ho Doreen Woo · CIK 0001453474 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,569 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| November 06, 2020 Filed Nov 10, 2020 16:14 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 4,379 | $11.40 | $49,920.60 |
DisclosureSEC source: 0001437749-20-023371 · rdgdoc.xml · nonDerivative · entry 1 Ho Doreen Woo · CIK 0001453474 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,569 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 17, 2020 Filed Aug 19, 2020 17:07 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 41 | $11.93 | $489.13 |
DisclosureSEC source: 0001437749-20-018364 · rdgdoc.xml · nonDerivative · entry 1 Ho Doreen Woo · CIK 0001453474 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,190 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| August 19, 2019 Filed Aug 20, 2019 16:19 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 109 | $12.74 | $1,388.66 |
DisclosureSEC source: 0001437749-19-017190 · rdgdoc.xml · nonDerivative · entry 1 Ho Doreen Woo · CIK 0001453474 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,043 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| May 30, 2019 Filed Jul 5, 2019 16:15 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 4,604 | $13.03 | $59,990.12 |
DisclosureSEC source: 0001437749-19-013598 · rdgdoc.xml · nonDerivative · entry 1 Ho Doreen Woo · CIK 0001453474 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,934 F1 · shares: Restricted Stock issued as an automatic grant upon re-election to the board of directors pursuant to the 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 20, 2019 Filed May 22, 2019 16:18 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 100 | $13.13 | $1,313.00 |
DisclosureSEC source: 0001437749-19-010698 · rdgdoc.xml · nonDerivative · entry 1 Ho Doreen Woo · CIK 0001453474 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,330 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| April 18, 2019 Filed Apr 22, 2019 20:32 UTC | US BANCORP DE USB · Entity 2923 | GrantRestricted Stock Units · Derivative | 3,124 | $51.21 | $159,980.04 |
DisclosureSEC source: 0001225208-19-007098 · doc4.xml · derivative · entry 1 Ho Doreen Woo · CIK 0001453474 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,124 Underlying: Common Stock, $0.01 par value · 3,124 shares Expires not disclosed F1 · derivative.exercise_price: Restriced stock units convert into common stock on a one-for-one basis. F2 · derivative.exercise_date: The restricted stock units were fully vested at the time of grant. Units are payable in common stock when the reporting person ceases to serve on the Board of Directors and is not providing services to the Company as an independent contractor, except that all units are forfeited if the holder's service is terminated for cause. F2 · derivative.expiration_date: The restricted stock units were fully vested at the time of grant. Units are payable in common stock when the reporting person ceases to serve on the Board of Directors and is not providing services to the Company as an independent contractor, except that all units are forfeited if the holder's service is terminated for cause. Read SEC document |
| March 11, 2019 Filed Mar 13, 2019 16:33 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 90 | $13.47 | $1,212.30 |
DisclosureSEC source: 0001437749-19-004792 · rdgdoc.xml · nonDerivative · entry 1 Ho Doreen Woo · CIK 0001453474 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,230 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| December 20, 2018 Filed Feb 4, 2019 16:39 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 500 | $10.78 | $5,390.00 |
DisclosureSEC source: 0001437749-19-001790 · rdgdoc.xml · nonDerivative · entry 2 Ho Doreen Woo · CIK 0001453474 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,140 Read SEC document |
| November 19, 2018 Filed Dec 10, 2018 16:17 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 102 | $12.28 | $1,252.56 |
DisclosureSEC source: 0001437749-18-021822 · rdgdoc.xml · nonDerivative · entry 1 Ho Doreen Woo · CIK 0001453474 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,140 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| November 06, 2018 Filed Feb 4, 2019 16:39 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 500 | $12.63 | $6,315.00 |
DisclosureSEC source: 0001437749-19-001790 · rdgdoc.xml · nonDerivative · entry 1 Ho Doreen Woo · CIK 0001453474 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,640 Read SEC document |
| September 17, 2018 Filed Sep 19, 2018 16:54 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 3,802 | $13.15 | $49,996.30 |
DisclosureSEC source: 0001437749-18-017212 · rdgdoc.xml · nonDerivative · entry 1 Ho Doreen Woo · CIK 0001453474 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,038 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 |
| April 19, 2018 Filed Apr 23, 2018 20:26 UTC | US BANCORP DE USB · Entity 2923 | GrantRestricted Stock Units · Derivative | 2,959 | $50.70 | $150,021.30 |
DisclosureSEC source: 0001225208-18-007977 · doc4.xml · derivative · entry 1 Ho Doreen Woo · CIK 0001453474 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,959 Underlying: Common Stock, $0.01 par value · 2,959 shares Expires not disclosed F1 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis. F2 · derivative.exercise_date: The restricted stock units were fully vested at the time of grant. Units are payable in common stock in ten equal annual installments when the reporting person ceases to serve on the Board of Directors and is not providing services to the Company as an independent contractor, except that all units are forfeited if the holder's service is terminated for cause. F2 · derivative.expiration_date: The restricted stock units were fully vested at the time of grant. Units are payable in common stock in ten equal annual installments when the reporting person ceases to serve on the Board of Directors and is not providing services to the Company as an independent contractor, except that all units are forfeited if the holder's service is terminated for cause. Read SEC document |
| February 09, 2018 Filed Feb 12, 2018 21:26 UTC | US BANCORP DE USB · Entity 2923 | GrantDeferred Compensation Plan Participation · Derivative | 28 | $52.65 | $1,474.20 |
DisclosureSEC source: 0001225208-18-002499 · doc4.xml · derivative · entry 1 Ho Doreen Woo · CIK 0001453474 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,298 Underlying: Common Stock, $0.01 par value · 28 shares Expires not disclosed F1 · derivative.exercise_price: Deferred Compensation Plan Participation is payable in common stock when the reporting person ceases to serve on U.S. Bancorp's Board of Directors. F1 · derivative.exercise_date: Deferred Compensation Plan Participation is payable in common stock when the reporting person ceases to serve on U.S. Bancorp's Board of Directors. F1 · derivative.expiration_date: Deferred Compensation Plan Participation is payable in common stock when the reporting person ceases to serve on U.S. Bancorp's Board of Directors. F2 · balance_after: Includes amounts acquired pursuant to dividend reinvestment. Read SEC document |
| January 18, 2018 Filed Jan 22, 2018 21:21 UTC | US BANCORP DE USB · Entity 2923 | GrantRestricted Stock Units · Derivative | 890 | $56.15 | $49,973.50 |
DisclosureSEC source: 0001225208-18-001334 · doc4.xml · derivative · entry 1 Ho Doreen Woo · CIK 0001453474 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 890 Underlying: Common Stock, $0.01 par value · 890 shares Expires not disclosed F1 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis. F2 · derivative.exercise_date: The restricted stock units were fully vested at the time of grant. Units are payable in common stock in ten equal annual installments when the reporting person ceases to serve on the Board of Directors and is not providing services to the Company as an independent contractor, except that all units are forfeited if the holder's service is terminated for cause. F2 · derivative.expiration_date: The restricted stock units were fully vested at the time of grant. Units are payable in common stock in ten equal annual installments when the reporting person ceases to serve on the Board of Directors and is not providing services to the Company as an independent contractor, except that all units are forfeited if the holder's service is terminated for cause. Read SEC document |
| December 29, 2017 Filed Jan 3, 2018 21:26 UTC | US BANCORP DE USB · Entity 2923 | GrantDeferred Compensation Plan Participation · Derivative | 334 | $53.95 | $18,019.30 |
DisclosureSEC source: 0001225208-18-000306 · doc4.xml · derivative · entry 1 Ho Doreen Woo · CIK 0001453474 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,270 Underlying: Common Stock, $0.01 par value · 334 shares Expires not disclosed F1 · derivative.exercise_price: Deferred Compensation Plan Participation is payable in common stock when the reporting person ceases to serve on U.S. Bancorp's Board of Directors. F1 · derivative.exercise_date: Deferred Compensation Plan Participation is payable in common stock when the reporting person ceases to serve on U.S. Bancorp's Board of Directors. F1 · derivative.expiration_date: Deferred Compensation Plan Participation is payable in common stock when the reporting person ceases to serve on U.S. Bancorp's Board of Directors. F2 · balance_after: Includes amounts acquired pursuant to dividend reinvestment. Read SEC document |
| August 15, 2017 Filed Aug 16, 2017 18:44 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 3,903 | $12.81 | $49,997.43 |
DisclosureSEC source: 0001593968-17-001002 · primary_01.xml · nonDerivative · entry 1 Ho Doreen Woo · CIK 0001453474 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,236 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 |
| January 19, 2017 Filed Jan 23, 2017 21:24 UTC | US BANCORP DE USB · Entity 2923 | GrantRestricted Stock Units · Derivative | 2,957 | $50.73 | $150,008.61 |
DisclosureSEC source: 0001225208-17-001459 · doc4.xml · derivative · entry 1 Ho Doreen Woo · CIK 0001453474 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,957 Underlying: Common Stock, $0.01 par value · 2,957 shares Expires not disclosed F1 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis. F2 · derivative.exercise_date: The restricted stock units were fully vested at the time of grant. Units are payable in common stock in ten equal annual installments when the reporting person ceases to serve on the Board of Directors and is not providing services to the Company as an independent contractor, except that all units are forfeited if the holder's service is terminated for cause. F2 · derivative.expiration_date: The restricted stock units were fully vested at the time of grant. Units are payable in common stock in ten equal annual installments when the reporting person ceases to serve on the Board of Directors and is not providing services to the Company as an independent contractor, except that all units are forfeited if the holder's service is terminated for cause. Read SEC document |
| January 13, 2017 Filed Jan 17, 2017 21:28 UTC | US BANCORP DE USB · Entity 2923 | GrantDeferred Compensation Plan Participation · Derivative | 1,896 | $51.43 | $97,511.28 |
DisclosureSEC source: 0001225208-17-001165 · doc4.xml · derivative · entry 1 Ho Doreen Woo · CIK 0001453474 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,896 Underlying: Common Stock, $0.01 par value · 1,896 shares Expires not disclosed F1 · derivative.exercise_price: Deferred Compensation Plan Participation is payable in common stock when the reporting person ceases to serve on U.S. Bancorp's Board of Directors. F1 · derivative.exercise_date: Deferred Compensation Plan Participation is payable in common stock when the reporting person ceases to serve on U.S. Bancorp's Board of Directors. F1 · derivative.expiration_date: Deferred Compensation Plan Participation is payable in common stock when the reporting person ceases to serve on U.S. Bancorp's Board of Directors. Read SEC document |
| October 21, 2016 Filed Oct 25, 2016 13:08 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantOption (right to buy) · Derivative | 10,000 | $13.61 Strike: $13.61 | $136,100.00 |
DisclosureSEC source: 0001593968-16-001145 · primary_01.xml · derivative · entry 2 Ho Doreen Woo · CIK 0001453474 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Underlying: Common · 10,000 shares Expires 2026-10-21 F2 · shares: Stock option granted as an automatic grant upon election to the board of directors pursuant to the Amended and Restated Non-Employee Incentive Plan. F3 · derivative.exercise_date: Stock option vests as to one-half of he underlying shares on 10/21/2017 and the remaining one-half vests on 10/21/2018. Read SEC document |
| October 21, 2016 Filed Oct 25, 2016 13:08 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 3,333 | $13.61 | $45,362.13 |
DisclosureSEC source: 0001593968-16-001145 · primary_01.xml · nonDerivative · entry 1 Ho Doreen Woo · CIK 0001453474 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,333 F1 · shares: Restricted Stock issued as an automatic grant upon election to the board of directors pursuant to the Amended and Restated Non-Employee Incentive Plan and subject to forfeiture restrictions. One-half vests on 10/21/2017 and the remaining one-half vests on 10/21/2018. 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.