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 |
|---|---|---|---|---|---|---|
| November 17, 2022 Filed Nov 21, 2022 21:07 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantPerformance Stock Units | 56,157 | $14.15 | $794,621.55 |
DisclosureSEC source: 0001562180-22-007792 · primarydocument.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,614,231 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 |
| October 13, 2022 Filed Oct 14, 2022 20:07 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 10,421 | $12.66 | $131,929.86 |
DisclosureSEC source: 0001562180-22-007190 · primarydocument.xml · nonDerivative · entry 2 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,046,621 F2 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on October 13, 2022. Read SEC document |
| October 12, 2022 Filed Oct 14, 2022 20:07 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 8,740 | $12.10 | $105,754.00 |
DisclosureSEC source: 0001562180-22-007190 · primarydocument.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,057,042 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on October 12, 2022. Read SEC document |
| August 16, 2022 Filed Aug 18, 2022 20:02 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantPerformance Stock Units | 48,508 | $15.56 | $754,784.48 |
DisclosureSEC source: 0001562180-22-006208 · primarydocument.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,558,074 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 |
| July 17, 2022 Filed Jul 19, 2022 20:04 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 2,844 | $13.82 | $39,304.08 |
DisclosureSEC source: 0001562180-22-005706 · primarydocument.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,065,782 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on July 17, 2022. Read SEC document |
| July 13, 2022 Filed Jul 14, 2022 23:41 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 10,421 | $13.78 | $143,601.38 |
DisclosureSEC source: 0001562180-22-005671 · primarydocument.xml · nonDerivative · entry 2 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,068,626 F2 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on July 13, 2022. Read SEC document |
| July 12, 2022 Filed Jul 14, 2022 23:41 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 8,740 | $13.77 | $120,349.80 |
DisclosureSEC source: 0001562180-22-005671 · primarydocument.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,079,047 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on July 12, 2022. Read SEC document |
| May 24, 2022 Filed May 26, 2022 00:17 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantPerformance Stock Units | 51,208 | $13.67 | $700,013.36 |
DisclosureSEC source: 0001562180-22-004413 · primarydocument.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,509,566 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 |
| May 06, 2022 Filed May 9, 2022 21:23 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantPerformance Stock Units | 1,458,358 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001562180-22-003911 · primarydocument.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,458,358 F1 · security: Each of the Performance Stock Units (the "PSU(s)") represents a contingent right to receive one (1) share of the Common Stock of the Issuer upon settlement. F2 · shares: On May 2, 2018, the Reporting Person was granted a PSU award for a target number of 487,409 shares of common stock, subject to the achievement of certain financial performance criteria during the performance period. On May 6, 2022, the Compensation Committee of the Issuer certified the Issuer's absolute total shareholder return ("TSR") performance over the performance period, which ran from May 2, 2018 through May 2, 2022, at the maximum level, resulting in 200% of the PSUs originally granted on May 2, 2018 that vest based on absolute TSR becoming earned. Includes 483,540 dividend equivalents accrued since May 2, 2018. These PSUs and dividend equivalents remain outstanding and release is subject to a one year deferral period ending on May 2, 2023. F2 · price: On May 2, 2018, the Reporting Person was granted a PSU award for a target number of 487,409 shares of common stock, subject to the achievement of certain financial performance criteria during the performance period. On May 6, 2022, the Compensation Committee of the Issuer certified the Issuer's absolute total shareholder return ("TSR") performance over the performance period, which ran from May 2, 2018 through May 2, 2022, at the maximum level, resulting in 200% of the PSUs originally granted on May 2, 2018 that vest based on absolute TSR becoming earned. Includes 483,540 dividend equivalents accrued since May 2, 2018. These PSUs and dividend equivalents remain outstanding and release is subject to a one year deferral period ending on May 2, 2023. Read SEC document |
| April 17, 2022 Filed Apr 19, 2022 20:04 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 2,843 | $18.59 | $52,851.37 |
DisclosureSEC source: 0001562180-22-003451 · primarydocument.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,087,787 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on April 17, 2022. Read SEC document |
| April 13, 2022 Filed Apr 14, 2022 22:42 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 10,421 | $18.54 | $193,205.34 |
DisclosureSEC source: 0001562180-22-003405 · primarydocument.xml · nonDerivative · entry 2 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,090,630 F2 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on April 13, 2022. Read SEC document |
| April 12, 2022 Filed Apr 14, 2022 22:42 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 8,740 | $18.30 | $159,942.00 |
DisclosureSEC source: 0001562180-22-003405 · primarydocument.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,101,051 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on April 12, 2022. Read SEC document |
| January 31, 2022 Filed Feb 1, 2022 21:14 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 10,947 | $17.88 | $195,732.36 |
DisclosureSEC source: 0001562180-22-000844 · primarydocument.xml · nonDerivative · entry 3 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,109,791 F3 · shares: Represents Hercules, Inc. common stock withheld to pay taxes applicable to the vesting of restricted stock units and dividend equivalent shares on January 31, 2022. Read SEC document |
| January 31, 2022 Filed Feb 1, 2022 21:14 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 24,683 | $17.88 | $441,332.04 |
DisclosureSEC source: 0001562180-22-000844 · primarydocument.xml · nonDerivative · entry 2 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,120,738 F2 · shares: Represents Hercules, Inc. common stock received from vested restricted stock units and dividend equivalent shares on January 31, 2022. Read SEC document |
| January 31, 2022 Filed Feb 1, 2022 21:14 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Disposition to issuerRestricted Stock Units | 24,683 | $17.88 | $441,332.04 |
DisclosureSEC source: 0001562180-22-000844 · primarydocument.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · shares: Represents restricted stock units and dividend equivalent shares converted to Hercules Capital, Inc. common stock on January 31, 2022. Read SEC document |
| January 17, 2022 Filed Jan 18, 2022 22:42 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 2,843 | $17.63 | $50,122.09 |
DisclosureSEC source: 0001562180-22-000494 · primarydocument.xml · nonDerivative · entry 2 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,096,055 F2 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on January 17, 2022. Read SEC document |
| January 13, 2022 Filed Jan 18, 2022 22:42 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 10,421 | $17.73 | $184,764.33 |
DisclosureSEC source: 0001562180-22-000494 · primarydocument.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,098,898 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on January 13, 2022. Read SEC document |
| January 12, 2022 Filed Jan 14, 2022 21:22 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 35,314 | $17.75 | $626,823.50 |
DisclosureSEC source: 0001562180-22-000477 · primarydocument.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,109,319 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on January 12, 2022. Read SEC document |
| January 11, 2022 Filed Jan 12, 2022 21:17 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 211,429 | $17.50 | $3,700,007.50 |
DisclosureSEC source: 0001562180-22-000423 · primarydocument.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,144,633 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 |
| January 09, 2022 Filed Jan 11, 2022 23:35 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 50,077 | $17.03 | $852,811.31 |
DisclosureSEC source: 0001562180-22-000414 · primarydocument.xml · nonDerivative · entry 3 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 933,204 F3 · shares: Represents Hercules, Inc. common stock withheld to pay taxes applicable to the release of restricted stock units and dividend equivalent shares on January 9, 2022. Read SEC document |
| January 09, 2022 Filed Jan 11, 2022 23:35 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 137,531 | $17.03 | $2,342,152.93 |
DisclosureSEC source: 0001562180-22-000414 · primarydocument.xml · nonDerivative · entry 2 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 983,281 F2 · shares: Represents Hercules, Inc. common stock received from released restricted stock units and dividend equivalent shares on January 9, 2022. Read SEC document |
| January 09, 2022 Filed Jan 11, 2022 23:35 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Disposition to issuerRestricted Stock Units | 137,531 | $17.03 | $2,342,152.93 |
DisclosureSEC source: 0001562180-22-000414 · primarydocument.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,683 F1 · shares: Represents released restricted stock units and dividend equivalent shares converted to Hercules Capital, Inc. common stock on January 9, 2022. Read SEC document |
| November 17, 2021 Filed Nov 19, 2021 21:55 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 237 | $16.94 | $4,014.78 |
DisclosureSEC source: 0001562180-21-007185 · primarydocument.xml · nonDerivative · entry 4 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 845,750 F4 · shares: Represents Hercules, Inc. common stock withheld to pay taxes applicable to the vesting of dividend equivalent shares on November 17, 2021. Read SEC document |
| November 17, 2021 Filed Nov 19, 2021 21:55 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 534 | $16.94 | $9,045.96 |
DisclosureSEC source: 0001562180-21-007185 · primarydocument.xml · nonDerivative · entry 3 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 845,987 F3 · shares: Represents Hercules, Inc. common stock received from vested dividend equivalent shares on November 17, 2021. Read SEC document |
| November 17, 2021 Filed Nov 19, 2021 21:55 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Disposition to issuerRestricted Stock Units | 534 | $16.94 | $9,045.96 |
DisclosureSEC source: 0001562180-21-007185 · primarydocument.xml · nonDerivative · entry 2 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 162,214 F2 · shares: Represents released dividend equivalent shares converted to Hercules Capital, Inc. common stock on November 17, 2021. Read SEC document |
| November 17, 2021 Filed Nov 19, 2021 21:55 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantRestricted Stock Units | 3,755 | $16.94 | $63,609.70 |
DisclosureSEC source: 0001562180-21-007185 · primarydocument.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 162,748 F1 · shares: Represents dividend equivalent shares received on November 17, 2021. Read SEC document |
| November 15, 2021 Filed Nov 16, 2021 22:17 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | SaleCommon Stock | 80,000 | $17.11 | $1,368,800.00 |
DisclosureSEC source: 0001562180-21-007082 · primarydocument.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 845,453 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 1, 2021. F2 · price: Average sale price. Shares sold at prices between $17.06 and $17.20. Read SEC document |
| October 31, 2021 Filed Nov 2, 2021 21:36 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 10,924 | $17.67 | $193,027.08 |
DisclosureSEC source: 0001562180-21-006766 · primarydocument.xml · nonDerivative · entry 3 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 925,453 F3 · shares: Represents Hercules, Inc. common stock withheld to pay taxes applicable to the vesting of restricted stock units and dividend equivalent shares on October 31, 2021. Read SEC document |
| October 31, 2021 Filed Nov 2, 2021 21:36 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 24,630 | $17.67 | $435,212.10 |
DisclosureSEC source: 0001562180-21-006766 · primarydocument.xml · nonDerivative · entry 2 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 936,377 F2 · shares: Represents Hercules, Inc. common stock received from vested restricted stock units and dividend equivalent shares on October 31, 2021. Read SEC document |
| October 31, 2021 Filed Nov 2, 2021 21:36 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Disposition to issuerRestricted Stock Units | 24,630 | $17.67 | $435,212.10 |
DisclosureSEC source: 0001562180-21-006766 · primarydocument.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 155,353 F1 · shares: Represents vested restricted stock and dividend equivalent shares converted to Hercules Capital, Inc. common stock on October 31, 2021. Read SEC document |
| October 31, 2021 Filed Dec 21, 2021 22:05 UTC Amendment | Hercules Capital, Inc. HTGC · Entity 4164 | Disposition to issuerRestricted Stock Units | 24,630 | $17.67 | $435,212.10 |
DisclosureSEC source: 0001562180-21-007830 · primarydocument.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 158,993 F1 · balance_after: Originally reported as 155,353. Read SEC document |
| October 17, 2021 Filed Oct 18, 2021 20:31 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 2,843 | $17.40 | $49,468.20 |
DisclosureSEC source: 0001562180-21-006495 · primarydocument.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 911,747 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on October 17, 2021. Read SEC document |
| October 13, 2021 Filed Oct 15, 2021 20:29 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 10,421 | $17.27 | $179,970.67 |
DisclosureSEC source: 0001562180-21-006471 · primarydocument.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 914,590 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on October 13, 2021. Read SEC document |
| August 18, 2021 Filed Aug 20, 2021 20:45 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 417 | $16.98 | $7,080.66 |
DisclosureSEC source: 0001562180-21-005492 · primarydocument.xml · nonDerivative · entry 4 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 925,199 F4 · shares: Represents Hercules, Inc. common stock withheld to pay taxes applicable to the vesting of dividend equivalent shares on August 18, 2021. Read SEC document |
| August 18, 2021 Filed Aug 20, 2021 20:45 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 1,127 | $16.98 | $19,136.46 |
DisclosureSEC source: 0001562180-21-005492 · primarydocument.xml · nonDerivative · entry 3 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 925,616 F3 · shares: Represents Hercules, Inc. common stock received from vested dividend equivalent shares on August 18, 2021. Read SEC document |
| August 18, 2021 Filed Aug 20, 2021 20:45 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Disposition to issuerRestricted Stock Units | 1,127 | $16.98 | $19,136.46 |
DisclosureSEC source: 0001562180-21-005492 · primarydocument.xml · nonDerivative · entry 2 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 179,983 F2 · shares: Represents released dividend equivalent shares converted to Hercules Capital, Inc. common stock on August 18, 2021. Read SEC document |
| August 18, 2021 Filed Aug 20, 2021 20:45 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantRestricted Stock Units | 3,017 | $16.98 | $51,228.66 |
DisclosureSEC source: 0001562180-21-005492 · primarydocument.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 181,110 F1 · shares: Represents dividend equivalent shares received on August 18, 2021. Read SEC document |
| August 18, 2021 Filed Dec 21, 2021 22:05 UTC Amendment | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 417 | $16.98 | $7,080.66 |
DisclosureSEC source: 0001562180-21-007829 · primarydocument.xml · nonDerivative · entry 4 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 925,011 F6 · balance_after: Originally reported as 925,199. Read SEC document |
| August 18, 2021 Filed Dec 21, 2021 22:05 UTC Amendment | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 939 | $16.98 | $15,944.22 |
DisclosureSEC source: 0001562180-21-007829 · primarydocument.xml · nonDerivative · entry 3 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 925,428 F3 · shares: Originally reported as 1,127. F5 · balance_after: Originally reported as 925,616. Read SEC document |
| August 18, 2021 Filed Dec 21, 2021 22:05 UTC Amendment | Hercules Capital, Inc. HTGC · Entity 4164 | Disposition to issuerRestricted Stock Units | 939 | $16.98 | $15,944.22 |
DisclosureSEC source: 0001562180-21-007829 · primarydocument.xml · nonDerivative · entry 2 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 183,623 F3 · shares: Originally reported as 1,127. F4 · balance_after: Originally reported as 179,983. Read SEC document |
| August 18, 2021 Filed Dec 21, 2021 22:05 UTC Amendment | Hercules Capital, Inc. HTGC · Entity 4164 | GrantRestricted Stock Units | 4,144 | $16.98 | $70,365.12 |
DisclosureSEC source: 0001562180-21-007829 · primarydocument.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 184,562 F1 · shares: Originally reported as 3,017. F2 · balance_after: Originally reported as 181,110. Read SEC document |
| July 31, 2021 Filed Aug 3, 2021 21:05 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 10,884 | $17.27 | $187,966.68 |
DisclosureSEC source: 0001562180-21-005131 · primarydocument.xml · nonDerivative · entry 3 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 924,489 F3 · shares: Represents Hercules, Inc. common stock withheld to pay taxes applicable to the vesting of restricted stock units and dividend equivalent shares on July 31, 2021. Read SEC document |
| July 31, 2021 Filed Aug 3, 2021 21:05 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 24,539 | $17.27 | $423,788.53 |
DisclosureSEC source: 0001562180-21-005131 · primarydocument.xml · nonDerivative · entry 2 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 935,373 F2 · shares: Represents Hercules, Inc. common stock received from vested restricted stock units and dividend equivalent shares on July 31, 2021. Read SEC document |
| July 31, 2021 Filed Aug 3, 2021 21:05 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Disposition to issuerRestricted Stock Units | 24,539 | $17.27 | $423,788.53 |
DisclosureSEC source: 0001562180-21-005131 · primarydocument.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 178,093 F1 · shares: Represents vested restricted stock units and dividend equivalent shares converted to Hercules Capital, Inc. common stock on July 31, 2021. Read SEC document |
| July 17, 2021 Filed Jul 19, 2021 20:21 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 2,844 | $17.11 | $48,660.84 |
DisclosureSEC source: 0001562180-21-004975 · primarydocument.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 910,834 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on July 17, 2021. Read SEC document |
| July 13, 2021 Filed Jul 15, 2021 20:09 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 10,421 | $17.25 | $179,762.25 |
DisclosureSEC source: 0001562180-21-004950 · primarydocument.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 913,678 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on July 13, 2021. Read SEC document |
| May 19, 2021 Filed May 21, 2021 21:23 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 561 | $16.95 | $9,508.95 |
DisclosureSEC source: 0001437749-21-013069 · rdgdoc.xml · nonDerivative · entry 5 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 924,100 F5 · shares: Represents Hercules, Inc. common stock withheld to pay taxes applicable to the vesting of dividend equivalent shares on May 19, 2021. Read SEC document |
| May 19, 2021 Filed May 21, 2021 21:23 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 1,264 | $16.95 | $21,424.80 |
DisclosureSEC source: 0001437749-21-013069 · rdgdoc.xml · nonDerivative · entry 4 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 924,661 F4 · shares: Represents Hercules, Inc. common stock received from vested dividend equivalent shares on May 19, 2021. Read SEC document |
| May 19, 2021 Filed May 21, 2021 21:23 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Disposition to issuerRestricted Stock Units | 1,264 | $16.95 | $21,424.80 |
DisclosureSEC source: 0001437749-21-013069 · rdgdoc.xml · nonDerivative · entry 3 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 202,632 F3 · shares: Represents released dividend equivalent shares converted to Hercules Capital, Inc. common stock on May 19, 2021. Read SEC document |
| May 19, 2021 Filed May 21, 2021 21:23 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingRestricted Stock Units | 70 | $16.95 | $1,186.50 |
DisclosureSEC source: 0001437749-21-013069 · rdgdoc.xml · nonDerivative · entry 2 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 203,896 F2 · shares: Represents dividend equivalent shares withheld to pay taxes applicable to the vesting of deferred dividend equivalent shares on May 19, 2021. 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.