Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Hercules Capital, Inc.HTGC · Entity 4164 | Director | May 20, 2019 | May 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 May 20, 2019 · Filed May 22, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Restricted Stock UnitsSEC Table I · non-derivative | Direct | 1,310,898 |
Reported balance
After 2019-05-20 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2019-05-20 · Grant · Acquired 32,138 · Balance 1,310,898 F1: 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. |
Filing footnotes · ownership attribution and instrument terms
F1: 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.
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 20, 2019 Filed May 22, 2019 20:15 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantRestricted Stock Units | 32,138 | $13.13 | $421,971.94 |
DisclosureSEC source: 0001437749-19-010695 · rdgdoc.xml · nonDerivative · entry 1 Henriquez Manuel A · CIK 0001329390 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,310,898 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 20:07 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Disposition to issuerCommon Stock | 9,509 | $12.64 | $120,193.76 |
DisclosureSEC source: 0001437749-19-006982 · rdgdoc.xml · nonDerivative · entry 1 Henriquez Manuel A · CIK 0001329390 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,972,708 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 20:31 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantRestricted Stock Units | 28,766 | $13.47 | $387,478.02 |
DisclosureSEC source: 0001437749-19-004787 · rdgdoc.xml · nonDerivative · entry 1 Henriquez Manuel A · CIK 0001329390 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,278,760 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 21:38 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantRestricted Stock Units | 570,776 | $13.14 | $7,499,996.64 |
DisclosureSEC source: 0001437749-19-001788 · rdgdoc.xml · nonDerivative · entry 1 Henriquez Manuel A · CIK 0001329390 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,249,994 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 22:13 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 10,057 | $12.14 | $122,091.98 |
DisclosureSEC source: 0001437749-19-000750 · rdgdoc.xml · nonDerivative · entry 2 Henriquez Manuel A · CIK 0001329390 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,982,217 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 22:13 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 29,808 | $12.03 | $358,590.24 |
DisclosureSEC source: 0001437749-19-000750 · rdgdoc.xml · nonDerivative · entry 1 Henriquez Manuel A · CIK 0001329390 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,992,274 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 21:31 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantRestricted Stock Units | 17,773 | $12.28 | $218,252.44 |
DisclosureSEC source: 0001437749-18-021205 · rdgdoc.xml · nonDerivative · entry 1 Henriquez Manuel A · CIK 0001329390 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 679,218 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 17:25 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Disposition to issuerCommon Stock | 13,780 | $12.80 | $176,384.00 |
DisclosureSEC source: 0001437749-18-018291 · rdgdoc.xml · nonDerivative · entry 1 Henriquez Manuel A · CIK 0001329390 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,022,082 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on October 10, 2018. Read SEC document |
| August 20, 2018 Filed Aug 21, 2018 16:51 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantRestricted Stock Units | 14,912 | $13.44 | $200,417.28 |
DisclosureSEC source: 0001437749-18-015928 · rdgdoc.xml · nonDerivative · entry 1 Henriquez Manuel A · CIK 0001329390 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 661,424 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 21:28 UTC Amendment | Hercules Capital, Inc. HTGC · Entity 4164 | GrantRestricted Stock Units | 14,933 | $13.42 | $200,400.86 |
DisclosureSEC source: 0001437749-18-021199 · rdgdoc.xml · nonDerivative · entry 1 Henriquez Manuel A · CIK 0001329390 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 661,445 F1 · shares: Amount of securities originally reported as 14,912. F2 · price: Price originally reported as $13.44. F3 · balance_after: Amount of securities beneficially owned originally reported as 661,424. Read SEC document |
| July 10, 2018 Filed Jul 12, 2018 17:47 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Disposition to issuerCommon Stock | 13,780 | $12.93 | $178,175.40 |
DisclosureSEC source: 0001437749-18-013246 · rdgdoc.xml · nonDerivative · entry 1 Henriquez Manuel A · CIK 0001329390 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,035,862 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 |
| May 21, 2018 Filed May 21, 2018 20:23 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantRestricted Stock Units | 15,768 | $12.40 | $195,523.20 |
DisclosureSEC source: 0001593968-18-000818 · primary_01.xml · nonDerivative · entry 1 Henriquez Manuel A · CIK 0001329390 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 646,512 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 20:23 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 13,780 | $12.09 | $166,600.20 |
DisclosureSEC source: 0001593968-18-000672 · primary_01.xml · nonDerivative · entry 1 Henriquez Manuel A · CIK 0001329390 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,049,642 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 12, 2018 Filed Mar 14, 2018 20:27 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantRestricted Stock Units | 15,543 | $12.27 | $190,712.61 |
DisclosureSEC source: 0001593968-18-000551 · primary_01.xml · nonDerivative · entry 1 Henriquez Manuel A · CIK 0001329390 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 630,744 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 10, 2018 Filed Mar 13, 2018 19:12 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 13,070 | $12.25 | $160,107.50 |
DisclosureSEC source: 0000899243-18-007238 · doc4.xml · nonDerivative · entry 1 Henriquez Manuel A · CIK 0001329390 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,063,422 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on March 10, 2018. Read SEC document |
| January 10, 2018 Filed Jan 12, 2018 18:44 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 10,142 | $12.93 | $131,136.06 |
DisclosureSEC source: 0001593968-18-000142 · primary_01.xml · nonDerivative · entry 1 Henriquez Manuel A · CIK 0001329390 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,076,492 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 |
| January 09, 2018 Filed Jan 12, 2018 17:03 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantRestricted Stock Units | 230,125 | $13.04 | $3,000,830.00 |
DisclosureSEC source: 0001593968-18-000139 · primary_01.xml · nonDerivative · entry 2 Henriquez Manuel A · CIK 0001329390 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 615,201 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 17:03 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 230,125 | $13.04 | $3,000,830.00 |
DisclosureSEC source: 0001593968-18-000139 · primary_01.xml · nonDerivative · entry 1 Henriquez Manuel A · CIK 0001329390 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,086,634 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 10, 2017 Filed Dec 11, 2017 17:38 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 13,154 | $13.34 | $175,474.36 |
DisclosureSEC source: 0001593968-17-001338 · primary_01.xml · nonDerivative · entry 1 Henriquez Manuel A · CIK 0001329390 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,856,509 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on December 10, 2017. Read SEC document |
| November 20, 2017 Filed Nov 21, 2017 20:07 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantRestricted Stock Units | 8,681 | $13.44 | $116,672.64 |
DisclosureSEC source: 0001593968-17-001260 · primary_01.xml · nonDerivative · entry 1 Henriquez Manuel A · CIK 0001329390 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 385,076 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 20:13 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 13,752 | $12.74 | $175,200.48 |
DisclosureSEC source: 0001593968-17-001130 · primary_01.xml · nonDerivative · entry 1 Henriquez Manuel A · CIK 0001329390 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,869,663 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 10, 2017 Filed Sep 11, 2017 20:02 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 13,154 | $12.04 | $158,374.16 |
DisclosureSEC source: 0001593968-17-001059 · primary_01.xml · nonDerivative · entry 1 Henriquez Manuel A · CIK 0001329390 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,883,415 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on September 10, 2017. Read SEC document |
| August 21, 2017 Filed Aug 22, 2017 20:03 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantRestricted Stock Units | 8,819 | $12.92 | $113,941.48 |
DisclosureSEC source: 0001593968-17-001013 · primary_01.xml · nonDerivative · entry 1 Henriquez Manuel A · CIK 0001329390 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 376,395 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 18:02 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 13,752 | $13.43 | $184,689.36 |
DisclosureSEC source: 0001593968-17-000916 · primary_01.xml · nonDerivative · entry 1 Henriquez Manuel A · CIK 0001329390 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,896,569 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 10, 2017 Filed Jun 13, 2017 15:19 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 13,226 | $13.05 | $172,599.30 |
DisclosureSEC source: 0001593968-17-000782 · primary_01.xml · nonDerivative · entry 1 Henriquez Manuel A · CIK 0001329390 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,910,321 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on June 10, 2017. Read SEC document |
| May 22, 2017 Filed May 23, 2017 20:19 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantRestricted Stock Units | 8,366 | $13.31 | $111,351.46 |
DisclosureSEC source: 0001593968-17-000704 · primary_01.xml · nonDerivative · entry 1 Henriquez Manuel A · CIK 0001329390 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 367,576 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 20:37 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 13,752 | $15.08 | $207,380.16 |
DisclosureSEC source: 0001593968-17-000604 · primary_01.xml · nonDerivative · entry 1 Henriquez Manuel A · CIK 0001329390 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,923,547 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 13, 2017 Filed Mar 14, 2017 21:02 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantRestricted Stock Units | 7,345 | $14.85 | $109,073.25 |
DisclosureSEC source: 0001593968-17-000432 · primary_01.xml · nonDerivative · entry 1 Henriquez Manuel A · CIK 0001329390 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 359,210 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 10, 2017 Filed Mar 13, 2017 22:15 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 13,154 | $14.69 | $193,232.26 |
DisclosureSEC source: 0001593968-17-000426 · primary_01.xml · nonDerivative · entry 1 Henriquez Manuel A · CIK 0001329390 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,937,299 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on March 10, 2017. Read SEC document |
| March 04, 2017 Filed Mar 7, 2017 16:43 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 6,079 | $14.82 | $90,090.78 |
DisclosureSEC source: 0001593968-17-000407 · primary_01.xml · nonDerivative · entry 1 Henriquez Manuel A · CIK 0001329390 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,950,453 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on March 4, 2017. Read SEC document |
| January 24, 2017 Filed Jan 26, 2017 21:10 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantRestricted Stock Units | 351,865 | $0.00 | $0.00 |
DisclosureSEC source: 0001593968-17-000150 · primary_01.xml · nonDerivative · entry 1 Henriquez Manuel A · CIK 0001329390 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 351,865 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 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. Read SEC document |
| January 10, 2017 Filed Jan 12, 2017 18:45 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 47,088 | $14.21 | $669,120.48 |
DisclosureSEC source: 0001593968-17-000082 · primary_01.xml · nonDerivative · entry 1 Henriquez Manuel A · CIK 0001329390 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,956,532 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 10, 2016 Filed Dec 12, 2016 22:09 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 13,154 | $13.67 | $179,815.18 |
DisclosureSEC source: 0001593968-16-001309 · primary_01.xml · nonDerivative · entry 1 Henriquez Manuel A · CIK 0001329390 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,003,620 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on December 10, 2016. Read SEC document |
| December 04, 2016 Filed Dec 6, 2016 20:37 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 6,079 | $13.55 | $82,370.45 |
DisclosureSEC source: 0001593968-16-001276 · primary_01.xml · nonDerivative · entry 1 Henriquez Manuel A · CIK 0001329390 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,016,774 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on December 4, 2016. Read SEC document |
| September 10, 2016 Filed Sep 13, 2016 16:50 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 13,154 | $13.53 | $177,973.62 |
DisclosureSEC source: 0001593968-16-001050 · primary_01.xml · nonDerivative · entry 1 Henriquez Manuel A · CIK 0001329390 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,022,853 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on September 10, 2016. Read SEC document |
| September 04, 2016 Filed Sep 6, 2016 20:07 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 6,079 | $13.76 | $83,647.04 |
DisclosureSEC source: 0001593968-16-001030 · primary_01.xml · nonDerivative · entry 1 Henriquez Manuel A · CIK 0001329390 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,036,007 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on September 4, 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.