Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Hercules Capital, Inc.HTGC · Entity 4164 | Director · Chief Executive Officer | October 09, 2026 | October 13, 2026 |
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 October 09, 2026 · Filed October 13, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 2,455,200 |
Ending reported balance
After 2026-10-09 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2026-10-09 · Tax withholding · Disposed 9,741 · Balance 2,465,852 F1: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on October 9, 2026. Row 2 · 2026-10-09 · Tax withholding · Disposed 10,652 · Balance 2,455,200 F1: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on October 9, 2026. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on October 9, 2026.
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 |
|---|---|---|---|---|---|---|
| October 09, 2026 Filed Oct 13, 2026 19:17 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 10,652 | $16.51 | $175,864.52 |
DisclosureSEC source: 0001505910-26-000009 · primarydocument.xml · nonDerivative · entry 2 Bluestein Scott · CIK 0001505910 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,455,200 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on October 9, 2026. Read SEC document |
| October 09, 2026 Filed Oct 13, 2026 19:17 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 9,741 | $16.51 | $160,823.91 |
DisclosureSEC source: 0001505910-26-000009 · primarydocument.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,465,852 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on October 9, 2026. Read SEC document |
| July 09, 2026 Filed Jul 13, 2026 18:38 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 10,652 | $15.69 | $167,129.88 |
DisclosureSEC source: 0001505910-26-000008 · primarydocument.xml · nonDerivative · entry 2 Bluestein Scott · CIK 0001505910 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,475,593 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on July 9, 2026. Read SEC document |
| July 09, 2026 Filed Jul 13, 2026 18:38 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 9,741 | $15.69 | $152,836.29 |
DisclosureSEC source: 0001505910-26-000008 · primarydocument.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,486,245 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on July 9, 2026. Read SEC document |
| April 09, 2026 Filed Apr 13, 2026 21:20 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 9,741 | $14.74 | $143,582.34 |
DisclosureSEC source: 0001505910-26-000005 · primarydocument.xml · nonDerivative · entry 2 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,495,986 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on April 9, 2026. Read SEC document |
| April 09, 2026 Filed Apr 13, 2026 21:20 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 10,652 | $14.74 | $157,010.48 |
DisclosureSEC source: 0001505910-26-000005 · primarydocument.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,505,727 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on April 9, 2026. Read SEC document |
| February 27, 2026 Filed Feb 27, 2026 21:33 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | PurchaseCommon Stock | 7,000 | $14.35 | $100,450.00 |
DisclosureSEC source: 0001505910-26-000004 · primarydocument.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,516,379 F1 · price: Average purchase price. Shares purchased at prices between $14.30 and $14.36. Read SEC document |
| February 24, 2026 Filed Feb 24, 2026 23:53 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | PurchaseCommon Stock | 30,000 | $15.08 | $452,400.00 |
DisclosureSEC source: 0001505910-26-000003 · primarydocument.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,509,379 F1 · price: Average purchase price. Shares purchased at prices between $15.04 and $15.10. Read SEC document |
| January 11, 2026 Filed Jan 13, 2026 23:45 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 13,431 | $18.59 | $249,682.29 |
DisclosureSEC source: 0001505910-26-000002 · primarydocument.xml · nonDerivative · entry 2 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,479,379 F2 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on January 11, 2026. Read SEC document |
| January 09, 2026 Filed Jan 13, 2026 23:45 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 50,081 | $18.59 | $931,005.79 |
DisclosureSEC source: 0001505910-26-000002 · primarydocument.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,492,810 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on January 9, 2026. Read SEC document |
| January 08, 2026 Filed Jan 12, 2026 21:25 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 298,794 | $18.24 | $5,450,002.56 |
DisclosureSEC source: 0001505910-26-000001 · primarydocument.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,542,891 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 the one year anniversary of the grant date followed by quarterly vesting over the following 24 months. Read SEC document |
| December 04, 2025 Filed Dec 8, 2025 21:52 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantRestricted Stock Units · Derivative | 23,759 | $0.00 | $0.00 |
DisclosureSEC source: 0001505910-25-000009 · primarydocument.xml · derivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 170,957 Underlying: Common Stock · 0 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. F2 · derivative.exercise_date: The Reporting Person received an award of restricted stock units on December 4, 2025 which will vest 100% on December 4, 2032. F2 · derivative.expiration_date: The Reporting Person received an award of restricted stock units on December 4, 2025 which will vest 100% on December 4, 2032. Read SEC document |
| October 11, 2025 Filed Oct 15, 2025 23:03 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 13,431 | $16.70 | $224,297.70 |
DisclosureSEC source: 0001505910-25-000007 · primarydocument.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,244,097 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on October 11, 2025. Read SEC document |
| October 09, 2025 Filed Oct 14, 2025 21:34 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 10,652 | $17.06 | $181,723.12 |
DisclosureSEC source: 0001505910-25-000006 · primarydocument.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,257,528 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on October 9, 2025. Read SEC document |
| July 11, 2025 Filed Jul 15, 2025 21:02 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 13,431 | $18.94 | $254,383.14 |
DisclosureSEC source: 0001562180-25-005424 · primarydocument.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,268,180 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on July 11, 2025. Read SEC document |
| July 09, 2025 Filed Jul 11, 2025 20:21 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 10,593 | $18.56 | $196,606.08 |
DisclosureSEC source: 0001562180-25-005393 · primarydocument.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,281,611 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on July 9, 2025. Read SEC document |
| April 11, 2025 Filed Apr 15, 2025 23:32 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 13,307 | $16.83 | $223,956.81 |
DisclosureSEC source: 0001562180-25-003165 · primarydocument.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,292,204 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on April 11, 2025. Read SEC document |
| April 09, 2025 Filed Apr 11, 2025 21:07 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 10,370 | $17.49 | $181,371.30 |
DisclosureSEC source: 0001562180-25-003119 · primarydocument.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,305,511 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on April 9, 2025. Read SEC document |
| January 11, 2025 Filed Jan 15, 2025 00:41 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 22,006 | $19.73 | $434,178.38 |
DisclosureSEC source: 0001562180-25-000362 · primarydocument.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,315,881 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on January 11, 2025. Read SEC document |
| January 09, 2025 Filed Jan 13, 2025 21:06 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 241,742 | $19.98 | $4,830,005.16 |
DisclosureSEC source: 0001562180-25-000324 · primarydocument.xml · nonDerivative · entry 2 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,337,887 F2 · 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 the one year anniversary of the grant date followed by quarterly vesting over the following 24 months. Read SEC document |
| January 09, 2025 Filed Jan 13, 2025 21:06 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 43,034 | $19.98 | $859,819.32 |
DisclosureSEC source: 0001562180-25-000324 · primarydocument.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,096,145 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on January 9, 2025. Read SEC document |
| December 05, 2024 Filed Dec 10, 2024 01:41 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantRestricted Stock Units · Derivative | 33,051 | $0.00 | $0.00 |
DisclosureSEC source: 0001562180-24-008279 · primarydocument.xml · derivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 147,198 Underlying: Common Stock · 33,051 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. F2 · derivative.exercise_date: The Reporting Person received an award of restricted stock units on December 5, 2024 which will vest 100% on December 5, 2031. F2 · derivative.expiration_date: The Reporting Person received an award of restricted stock units on December 5, 2024 which will vest 100% on December 5, 2031. Read SEC document |
| October 11, 2024 Filed Oct 15, 2024 20:52 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 22,027 | $19.63 | $432,390.01 |
DisclosureSEC source: 0001562180-24-007323 · primarydocument.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,139,179 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on October 11, 2024. Read SEC document |
| September 26, 2024 Filed Sep 28, 2024 00:38 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | SaleCommon Stock | 100,000 | $19.59 | $1,958,640.00 |
DisclosureSEC source: 0001562180-24-006976 · primarydocument.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 2,161,207 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 27, 2024. F2 · price: Average sale price. Shares sold at prices between $19.5200 and $19.6400. Read SEC document |
| July 11, 2024 Filed Jul 15, 2024 21:33 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 21,928 | $21.11 | $462,900.08 |
DisclosureSEC source: 0001562180-24-005737 · primarydocument.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,261,207 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on July 11, 2024. Read SEC document |
| April 11, 2024 Filed Apr 16, 2024 00:00 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 21,926 | $18.41 | $403,657.66 |
DisclosureSEC source: 0001562180-24-003413 · primarydocument.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,283,135 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on April 11, 2024. Read SEC document |
| January 12, 2024 Filed Jan 18, 2024 00:46 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 9,158 | $17.58 | $160,997.64 |
DisclosureSEC source: 0001562180-24-000511 · primarydocument.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,304,619 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on January 12, 2024. Read SEC document |
| January 12, 2024 Filed Jan 30, 2024 22:40 UTC Amendment | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 9,044 | $17.58 | $158,993.52 |
DisclosureSEC source: 0001562180-24-000814 · primarydocument.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,305,061 F1 · shares: This Form 4 amendment is to correct an administrative error in reporting the number of shares withheld to pay taxes with respect to the vesting of restricted stock and the resulting amount of securities beneficially owned by the Reporting Person. F1 · balance_after: This Form 4 amendment is to correct an administrative error in reporting the number of shares withheld to pay taxes with respect to the vesting of restricted stock and the resulting amount of securities beneficially owned by the Reporting Person. Read SEC document |
| January 11, 2024 Filed Jan 17, 2024 01:28 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 60,189 | $17.48 | $1,052,103.72 |
DisclosureSEC source: 0001562180-24-000467 · primarydocument.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,313,777 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on January 11, 2024. Read SEC document |
| January 11, 2024 Filed Jan 30, 2024 22:39 UTC Amendment | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 59,861 | $17.48 | $1,046,370.28 |
DisclosureSEC source: 0001562180-24-000813 · primarydocument.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,314,105 F1 · shares: This Form 4 amendment is to correct an administrative error in reporting the number of shares withheld to pay taxes with respect to the vesting of restricted stock and the resulting amount of securities beneficially owned by the Reporting Person. F1 · balance_after: This Form 4 amendment is to correct an administrative error in reporting the number of shares withheld to pay taxes with respect to the vesting of restricted stock and the resulting amount of securities beneficially owned by the Reporting Person. Read SEC document |
| January 09, 2024 Filed Jan 10, 2024 21:42 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 264,368 | $17.40 | $4,600,003.20 |
DisclosureSEC source: 0001562180-24-000410 · primarydocument.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,373,966 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 the one year anniversary of the grant date followed by quarterly vesting over the following 24 months. Read SEC document |
| December 07, 2023 Filed Dec 11, 2023 22:30 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantRestricted Stock Units · Derivative | 39,164 | $0.00 | $0.00 |
DisclosureSEC source: 0001562180-23-008274 · primarydocument.xml · derivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 114,147 Underlying: Common Stock · 39,164 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. F2 · derivative.exercise_date: The Reporting Person received an award of restricted stock units on December 7, 2023 which will vest 100% on December 7, 2030. F2 · derivative.expiration_date: The Reporting Person received an award of restricted stock units on December 7, 2023 which will vest 100% on December 7, 2030. Read SEC document |
| October 12, 2023 Filed Oct 16, 2023 20:02 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 8,740 | $16.25 | $142,025.00 |
DisclosureSEC source: 0001562180-23-007305 · primarydocument.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,109,598 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on October 12, 2023. Read SEC document |
| October 11, 2023 Filed Oct 13, 2023 20:14 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 7,815 | $16.26 | $127,071.90 |
DisclosureSEC source: 0001562180-23-007284 · primarydocument.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,118,338 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on October 11, 2023. Read SEC document |
| July 12, 2023 Filed Jul 14, 2023 00:53 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 8,853 | $15.73 | $139,257.69 |
DisclosureSEC source: 0001562180-23-005895 · primarydocument.xml · nonDerivative · entry 2 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,125,939 F2 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on July 12, 2023. Read SEC document |
| July 12, 2023 Filed Jul 17, 2023 22:07 UTC Amendment | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 8,740 | $15.73 | $137,480.20 |
DisclosureSEC source: 0001562180-23-005918 · primarydocument.xml · nonDerivative · entry 2 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,126,153 F1 · shares: This Form 4 amendment is to correct an administrative error in reporting the number of shares withheld to pay taxes with respect to to the vesting of restricted stock and the resulting amount of securities beneficially owned by the Issuer. F1 · balance_after: This Form 4 amendment is to correct an administrative error in reporting the number of shares withheld to pay taxes with respect to to the vesting of restricted stock and the resulting amount of securities beneficially owned by the Issuer. Read SEC document |
| July 11, 2023 Filed Jul 14, 2023 00:53 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 7,916 | $15.55 | $123,093.80 |
DisclosureSEC source: 0001562180-23-005895 · primarydocument.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,134,792 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on July 11, 2023. Read SEC document |
| July 11, 2023 Filed Jul 17, 2023 22:07 UTC Amendment | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 7,815 | $15.55 | $121,523.25 |
DisclosureSEC source: 0001562180-23-005918 · primarydocument.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,134,893 F1 · shares: This Form 4 amendment is to correct an administrative error in reporting the number of shares withheld to pay taxes with respect to to the vesting of restricted stock and the resulting amount of securities beneficially owned by the Issuer. F1 · balance_after: This Form 4 amendment is to correct an administrative error in reporting the number of shares withheld to pay taxes with respect to to the vesting of restricted stock and the resulting amount of securities beneficially owned by the Issuer. Read SEC document |
| May 02, 2023 Filed May 3, 2023 21:27 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 749,872 | $13.05 | $9,785,829.60 |
DisclosureSEC source: 0001562180-23-003916 · primarydocument.xml · nonDerivative · entry 3 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,142,708 F3 · shares: Represents Issuer's common stock withheld to pay taxes applicable to the release of performance stock unit award and dividend equivalent units on May 2, 2023 Read SEC document |
| May 02, 2023 Filed May 3, 2023 21:27 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 1,669,089 | $13.05 | $21,781,611.45 |
DisclosureSEC source: 0001562180-23-003916 · primarydocument.xml · nonDerivative · entry 2 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,892,580 F2 · shares: Represents Issuer's common stock received from released performance unit award and dividend equivalent units on May 2, 2023 Read SEC document |
| May 02, 2023 Filed May 3, 2023 21:27 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Disposition to issuerPerformance Stock Units | 1,669,089 | $13.05 | $21,781,611.45 |
DisclosureSEC source: 0001562180-23-003916 · primarydocument.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 F1 · shares: Represents released performance unit award and dividend equivalent units converted to Issuers common stock on May 2, 2023. Read SEC document |
| April 12, 2023 Filed Apr 14, 2023 20:14 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 8,740 | $12.45 | $108,813.00 |
DisclosureSEC source: 0001562180-23-003552 · primarydocument.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,223,491 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on April 12, 2023. Read SEC document |
| April 11, 2023 Filed Apr 13, 2023 23:39 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 7,815 | $12.43 | $97,140.45 |
DisclosureSEC source: 0001562180-23-003548 · primarydocument.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,232,231 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on April 11, 2023. Read SEC document |
| March 09, 2023 Filed Mar 13, 2023 20:13 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantPerformance Stock Units | 54,858 | $13.83 | $758,686.14 |
DisclosureSEC source: 0001562180-23-002714 · primarydocument.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,669,089 F1 · shares: Vested Dividend Equivalent Units accrued on Performance Stock Units granted to the Reporting Person which remain outstanding and subject to release on May 2, 2023. Read SEC document |
| February 06, 2023 Filed Feb 8, 2023 21:59 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantRestricted Stock Units · Derivative | 74,983 | $0.00 | $0.00 |
DisclosureSEC source: 0001562180-23-001119 · primarydocument.xml · derivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 74,983 Underlying: Common Stock · 74,983 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. F2 · derivative.exercise_date: The Reporting Person recieved an award of restricted stock units on February 6, 2023 which will vest 100% on February 6, 2030. F2 · derivative.expiration_date: The Reporting Person recieved an award of restricted stock units on February 6, 2023 which will vest 100% on February 6, 2030. Read SEC document |
| January 13, 2023 Filed Jan 17, 2023 22:41 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 10,421 | $13.65 | $142,246.65 |
DisclosureSEC source: 0001562180-23-000451 · primarydocument.xml · nonDerivative · entry 2 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,240,046 F2 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on January 13, 2023. Read SEC document |
| January 12, 2023 Filed Jan 17, 2023 22:41 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 8,263 | $13.69 | $113,120.47 |
DisclosureSEC source: 0001562180-23-000451 · primarydocument.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,250,467 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on January 12, 2023. Read SEC document |
| January 11, 2023 Filed Jan 13, 2023 22:17 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 21,224 | $13.50 | $286,524.00 |
DisclosureSEC source: 0001562180-23-000418 · primarydocument.xml · nonDerivative · entry 2 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,258,730 F2 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on January 11, 2023. Read SEC document |
| January 11, 2023 Filed Jan 13, 2023 22:17 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 333,333 | $13.50 | $4,499,995.50 |
DisclosureSEC source: 0001562180-23-000418 · primarydocument.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,279,954 F1 · 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 the one year anniversary of the grant followed by quarterly vesting over the following 24 months. Read SEC document |
| November 21, 2022 Filed Nov 22, 2022 21:38 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | SaleCommon Stock | 100,000 | $14.16 | $1,416,000.00 |
DisclosureSEC source: 0001562180-22-007814 · primarydocument.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 946,621 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 7, 2022. F2 · price: Average sale price. Shares sold at prices between $14.09 and $14.33. 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.