Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Hercules Capital, Inc.HTGC · Entity 4164 | Director | May 04, 2021 | May 05, 2021 |
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 May 04, 2021 · Filed May 05, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 42,862 |
Ending reported balance
After 2021-05-04 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2021-05-04 · Exercise / conversion · Acquired 10,000 · Balance 50,606 Row 2 · 2021-05-04 · Tax withholding · Disposed 7,744 · Balance 42,862 |
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 |
|---|---|---|---|---|---|---|
| May 04, 2021 Filed May 5, 2021 16:15 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 7,744 | $17.58 | $136,139.52 |
DisclosureSEC source: 0001437749-21-010900 · rdgdoc.xml · nonDerivative · entry 2 Hoffman Joseph F · CIK 0001638817 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,862 Read SEC document |
| May 04, 2021 Filed May 5, 2021 16:15 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Exercise / conversionCommon Stock | 10,000 | $13.62 | $136,200.00 |
DisclosureSEC source: 0001437749-21-010900 · rdgdoc.xml · nonDerivative · entry 1 Hoffman Joseph F · CIK 0001638817 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,606 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 |
| March 01, 2021 Filed Mar 3, 2021 17:41 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 11,518 | $16.24 | $187,052.32 |
DisclosureSEC source: 0001437749-21-004878 · rdgdoc.xml · nonDerivative · entry 2 Hoffman Joseph F · CIK 0001638817 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,606 Read SEC document |
| March 01, 2021 Filed Mar 3, 2021 17:41 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Exercise / conversionCommon Stock | 15,000 | $12.47 | $187,050.00 |
DisclosureSEC source: 0001437749-21-004878 · rdgdoc.xml · nonDerivative · entry 1 Hoffman Joseph F · CIK 0001638817 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,124 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 16:15 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 4,379 | $11.40 | $49,920.60 |
DisclosureSEC source: 0001437749-20-023375 · rdgdoc.xml · nonDerivative · entry 1 Hoffman Joseph F · CIK 0001638817 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,124 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 |
| September 26, 2019 Filed Sep 30, 2019 16:22 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 3,759 | $13.30 | $49,994.70 |
DisclosureSEC source: 0001437749-19-019262 · rdgdoc.xml · nonDerivative · entry 1 Hoffman Joseph F · CIK 0001638817 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,745 F1 · shares: Shares issued based on reporting person's election to receive stock in lieu of cash compensation fee otherwise due to reporting person as a director of the Issuer. Read SEC document |
| May 30, 2019 Filed Jul 5, 2019 16:14 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 4,604 | $13.03 | $59,990.12 |
DisclosureSEC source: 0001437749-19-013597 · rdgdoc.xml · nonDerivative · entry 1 Hoffman Joseph F · CIK 0001638817 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,986 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 |
| November 19, 2018 Filed Dec 10, 2018 16:19 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 102 | $12.28 | $1,252.56 |
DisclosureSEC source: 0001437749-18-021825 · rdgdoc.xml · nonDerivative · entry 1 Hoffman Joseph F · CIK 0001638817 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,382 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| September 17, 2018 Filed Sep 19, 2018 16:55 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 3,802 | $13.15 | $49,996.30 |
DisclosureSEC source: 0001437749-18-017213 · rdgdoc.xml · nonDerivative · entry 1 Hoffman Joseph F · CIK 0001638817 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,280 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 15, 2017 Filed Aug 16, 2017 18:41 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 3,903 | $12.81 | $49,997.43 |
DisclosureSEC source: 0001593968-17-000999 · primary_01.xml · nonDerivative · entry 1 Hoffman Joseph F · CIK 0001638817 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,478 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 |
| September 15, 2016 Filed Sep 19, 2016 16:32 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 3,720 | $13.44 | $49,996.80 |
DisclosureSEC source: 0001593968-16-001058 · primary_01.xml · nonDerivative · entry 1 Hoffman Joseph F · CIK 0001638817 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,575 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.