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 |
|---|---|---|---|---|---|---|
| May 19, 2021 Filed May 21, 2021 21:23 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantRestricted Stock Units | 4,638 | $16.95 | $78,614.10 |
DisclosureSEC source: 0001437749-21-013069 · rdgdoc.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 203,966 F1 · shares: Represents dividend equivalent shares received on May 19, 2021. Read SEC document |
| April 30, 2021 Filed May 4, 2021 20:24 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 10,820 | $17.41 | $188,376.20 |
DisclosureSEC source: 0001437749-21-010757 · rdgdoc.xml · nonDerivative · entry 3 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 923,397 F3 · shares: Represents Hercules, Inc. common stock withheld to pay taxes applicable to the vesting of restricted stock units and dividend equivalent shares on April 30, 2021. Read SEC document |
| April 30, 2021 Filed May 4, 2021 20:24 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 24,396 | $17.41 | $424,734.36 |
DisclosureSEC source: 0001437749-21-010757 · rdgdoc.xml · nonDerivative · entry 2 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 934,217 F2 · shares: Represents Hercules, Inc. common stock received from vested restricted stock units and dividend equivalent shares on April 30, 2021. Read SEC document |
| April 30, 2021 Filed May 4, 2021 20:24 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Disposition to issuerRestricted Stock Units | 24,396 | $17.41 | $424,734.36 |
DisclosureSEC source: 0001437749-21-010757 · rdgdoc.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 199,328 F1 · shares: Represents vested restricted stock units and dividend equivalent shares converted to Hercules Capital, Inc. common stock on April 30, 2021. Read SEC document |
| April 17, 2021 Filed Apr 20, 2021 20:23 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 2,843 | $17.00 | $48,331.00 |
DisclosureSEC source: 0001437749-21-009360 · rdgdoc.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 909,822 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on April 17, 2021. Read SEC document |
| April 13, 2021 Filed Apr 15, 2021 21:58 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 10,421 | $16.90 | $176,114.90 |
DisclosureSEC source: 0001437749-21-009064 · rdgdoc.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 912,665 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on April 13, 2021. Read SEC document |
| March 18, 2021 Filed Mar 19, 2021 21:10 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | SaleCommon Stock | 80,000 | $15.80 | $1,264,000.00 |
DisclosureSEC source: 0001437749-21-006645 · rdgdoc.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 923,086 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 March 4, 2021. F2 · price: Average sale price. Shares sold at prices between $15.62 and $16.04. Read SEC document |
| March 15, 2021 Filed Mar 17, 2021 22:04 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 639 | $16.60 | $10,607.40 |
DisclosureSEC source: 0001437749-21-006365 · rdgdoc.xml · nonDerivative · entry 5 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,003,086 F5 · shares: Represents Hercules, Inc. common stock withheld to pay taxes applicable to the vesting of dividend equivalent shares on March 15, 2021. Read SEC document |
| March 15, 2021 Filed Mar 17, 2021 22:04 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 1,440 | $16.60 | $23,904.00 |
DisclosureSEC source: 0001437749-21-006365 · rdgdoc.xml · nonDerivative · entry 4 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,003,725 F4 · shares: Represents Hercules, Inc. common stock received from vested dividend equivalent shares on March 15, 2021. Read SEC document |
| March 15, 2021 Filed Mar 17, 2021 22:04 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Disposition to issuerRestricted Stock Units | 1,440 | $16.60 | $23,904.00 |
DisclosureSEC source: 0001437749-21-006365 · rdgdoc.xml · nonDerivative · entry 3 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 223,724 F3 · shares: Represents released dividend equivalent shares converted to Hercules Capital, Inc. common stock on March 15, 2021. Read SEC document |
| March 15, 2021 Filed Mar 17, 2021 22:04 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingRestricted Stock Units | 66 | $16.60 | $1,095.60 |
DisclosureSEC source: 0001437749-21-006365 · rdgdoc.xml · nonDerivative · entry 2 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 225,164 F2 · shares: Represents dividend equivalent shares withheld to pay taxes applicable to the vesting of deferred dividend equivalent shares on March 15, 2021. Read SEC document |
| March 15, 2021 Filed Mar 17, 2021 22:04 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantRestricted Stock Units | 4,958 | $16.60 | $82,302.80 |
DisclosureSEC source: 0001437749-21-006365 · rdgdoc.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 225,230 F1 · shares: Represents dividend equivalent shares received on March 15, 2021. Read SEC document |
| January 31, 2021 Filed Feb 2, 2021 22:54 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 10,740 | $14.67 | $157,555.80 |
DisclosureSEC source: 0001437749-21-001766 · rdgdoc.xml · nonDerivative · entry 3 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,002,285 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, 2021. Read SEC document |
| January 31, 2021 Filed Feb 2, 2021 22:54 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 24,215 | $14.67 | $355,234.05 |
DisclosureSEC source: 0001437749-21-001766 · rdgdoc.xml · nonDerivative · entry 2 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,013,025 F2 · shares: Represents Hercules, Inc. common stock received from vested restricted stock units and dividend equivalent shares on January 31, 2021. Read SEC document |
| January 31, 2021 Filed Feb 2, 2021 22:54 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Disposition to issuerRestricted Stock Units | 24,215 | $14.67 | $355,234.05 |
DisclosureSEC source: 0001437749-21-001766 · rdgdoc.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 220,272 F1 · shares: Represents vested restricted stock units and dividend equivalent shares converted to Hercules Capital, Inc. common stock on January 31, 2021. Read SEC document |
| January 24, 2021 Filed Jan 26, 2021 23:02 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 105,712 | $15.28 | $1,615,279.36 |
DisclosureSEC source: 0001437749-21-001309 · rdgdoc.xml · nonDerivative · entry 3 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 988,678 F3 · shares: Acquired pursuant to the vesting and release of shares pursuant to a restricted stock award granted on January 24, 2017. Read SEC document |
| January 24, 2021 Filed Jan 26, 2021 23:02 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Disposition to issuerRestricted Stock Units | 105,712 | $15.28 | $1,615,279.36 |
DisclosureSEC source: 0001437749-21-001309 · rdgdoc.xml · nonDerivative · entry 2 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 245,458 F2 · shares: Represents released restricted stock units and dividend equivalent shares converted to Hercules Capital, Inc. common stock on January 24, 2021. Read SEC document |
| January 24, 2021 Filed Jan 26, 2021 23:02 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingRestricted Stock Units | 77,254 | $15.28 | $1,180,441.12 |
DisclosureSEC source: 0001437749-21-001309 · rdgdoc.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 351,170 F1 · shares: Represents restricted stock units withheld to pay taxes applicable to the release of restricted stock units and dividend equivalent shares on January 24, 2021. Read SEC document |
| January 24, 2021 Filed Feb 2, 2021 22:53 UTC Amendment | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 105,844 | $15.28 | $1,617,296.32 |
DisclosureSEC source: 0001437749-21-001764 · rdgdoc.xml · nonDerivative · entry 3 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 988,810 F3 · shares: Amount of securities originally reported as 105,712. F5 · balance_after: Amount of securities originally reported as 988,678 Read SEC document |
| January 24, 2021 Filed Feb 2, 2021 22:53 UTC Amendment | Hercules Capital, Inc. HTGC · Entity 4164 | Disposition to issuerRestricted Stock Units | 105,844 | $15.28 | $1,617,296.32 |
DisclosureSEC source: 0001437749-21-001764 · rdgdoc.xml · nonDerivative · entry 2 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 244,487 F3 · shares: Amount of securities originally reported as 105,712. F4 · balance_after: Amount of securities originally reported as 245,458. Read SEC document |
| January 24, 2021 Filed Feb 2, 2021 22:53 UTC Amendment | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingRestricted Stock Units | 78,093 | $15.28 | $1,193,261.04 |
DisclosureSEC source: 0001437749-21-001764 · rdgdoc.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 350,331 F1 · shares: Amount of securities originally reported as 77,254. F2 · balance_after: Amount of securities originally reported as 351,170. Read SEC document |
| January 17, 2021 Filed Jan 20, 2021 21:38 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 2,843 | $14.91 | $42,389.13 |
DisclosureSEC source: 0001437749-21-000936 · rdgdoc.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 882,966 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on January 17, 2021. Read SEC document |
| January 13, 2021 Filed Jan 14, 2021 21:14 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 34,238 | $14.65 | $501,586.70 |
DisclosureSEC source: 0001437749-21-000721 · rdgdoc.xml · nonDerivative · entry 2 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 885,809 F2 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on January 13, 2021. Read SEC document |
| January 12, 2021 Filed Jan 14, 2021 21:14 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 236,463 | $14.59 | $3,449,995.17 |
DisclosureSEC source: 0001437749-21-000721 · rdgdoc.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 920,047 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 January 12, 2022 followed by quarterly vesting over the following 24 months. Read SEC document |
| January 09, 2021 Filed Jan 12, 2021 21:53 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingRestricted Stock Units | 327 | $14.80 | $4,839.60 |
DisclosureSEC source: 0001437749-21-000580 · rdgdoc.xml · nonDerivative · entry 2 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 428,424 F2 · shares: Represents restricted stock units withheld to pay taxes applicable to the vesting of restricted stock units and dividend equivalent shares on January 9, 2021. Read SEC document |
| January 09, 2021 Filed Jan 12, 2021 21:53 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 2,687 | $14.80 | $39,767.60 |
DisclosureSEC source: 0001437749-21-000580 · rdgdoc.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 683,584 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on January 9, 2021. Read SEC document |
| November 16, 2020 Filed Nov 18, 2020 22:09 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 817 | $12.89 | $10,531.13 |
DisclosureSEC source: 0001437749-20-024172 · rdgdoc.xml · nonDerivative · entry 5 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 686,271 F5 · shares: Represents Hercules, Inc. common stock withheld to pay taxes applicable to the vesting of dividend equivalent shares on November 16, 2020. Read SEC document |
| November 16, 2020 Filed Nov 18, 2020 22:09 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 1,842 | $12.89 | $23,743.38 |
DisclosureSEC source: 0001437749-20-024172 · rdgdoc.xml · nonDerivative · entry 4 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 687,088 F4 · shares: Represents Hercules, Inc. common stock received from vested dividend equivalent shares on November 16, 2020. Read SEC document |
| November 16, 2020 Filed Nov 18, 2020 22:09 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Disposition to issuerRestricted Stock Units | 1,842 | $12.89 | $23,743.38 |
DisclosureSEC source: 0001437749-20-024172 · rdgdoc.xml · nonDerivative · entry 3 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 428,751 F3 · shares: Represents released dividend equivalent shares converted to Hercules Capital, Inc. common stock on November 16, 2020. Read SEC document |
| November 16, 2020 Filed Nov 18, 2020 22:09 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingRestricted Stock Units | 181 | $12.89 | $2,333.09 |
DisclosureSEC source: 0001437749-20-024172 · rdgdoc.xml · nonDerivative · entry 2 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 430,593 F2 · shares: Represents dividend equivalent shares withheld to pay taxes applicable to the vesting of deferred dividend equivalent shares on November 16, 2020. Read SEC document |
| November 16, 2020 Filed Nov 18, 2020 22:09 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantRestricted Stock Units | 11,113 | $12.89 | $143,246.57 |
DisclosureSEC source: 0001437749-20-024172 · rdgdoc.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 430,774 F1 · shares: Represents dividend equivalent shares received on November 16, 2020. Read SEC document |
| October 31, 2020 Filed Nov 3, 2020 21:48 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 10,625 | $11.20 | $119,000.00 |
DisclosureSEC source: 0001437749-20-022402 · rdgdoc.xml · nonDerivative · entry 3 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 685,246 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, 2020. Read SEC document |
| October 31, 2020 Filed Nov 3, 2020 21:48 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 23,956 | $11.20 | $268,307.20 |
DisclosureSEC source: 0001437749-20-022402 · rdgdoc.xml · nonDerivative · entry 2 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 695,871 F2 · shares: Represents Hercules, Inc. common stock received from vested restricted stock units and dividend equivalent shares on October 31, 2020. Read SEC document |
| October 31, 2020 Filed Nov 3, 2020 21:48 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Disposition to issuerRestricted Stock Units | 23,956 | $11.20 | $268,307.20 |
DisclosureSEC source: 0001437749-20-022402 · rdgdoc.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 419,661 F1 · shares: Represents vested restricted stock units and dividend equivalent shares converted to Hercules Capital, Inc. common stock on October 31, 2020. Read SEC document |
| October 17, 2020 Filed Oct 20, 2020 20:06 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 2,844 | $11.63 | $33,075.72 |
DisclosureSEC source: 0001437749-20-021332 · rdgdoc.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 671,915 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on October 17, 2020. Read SEC document |
| October 09, 2020 Filed Oct 14, 2020 20:09 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingRestricted Stock Units | 243 | $12.04 | $2,925.72 |
DisclosureSEC source: 0001437749-20-021135 · rdgdoc.xml · nonDerivative · entry 2 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 443,617 F2 · shares: Represents restricted stock units withheld to pay taxes applicable to the vesting of restricted stock units and dividend equivalent shares on October 9, 2020. Read SEC document |
| October 09, 2020 Filed Oct 14, 2020 20:09 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 3,402 | $12.04 | $40,960.08 |
DisclosureSEC source: 0001437749-20-021135 · rdgdoc.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 674,759 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on October 9, 2020. Read SEC document |
| August 17, 2020 Filed Aug 19, 2020 21:09 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 171 | $11.48 | $1,963.08 |
DisclosureSEC source: 0001437749-20-018367 · rdgdoc.xml · nonDerivative · entry 5 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 677,276 F5 · shares: Represents Hercules, Inc. common stock withheld to pay taxes applicable to the vesting of dividend equivalent shares on August 17, 2020. Read SEC document |
| August 17, 2020 Filed Aug 19, 2020 21:09 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 385 | $11.48 | $4,419.80 |
DisclosureSEC source: 0001437749-20-018367 · rdgdoc.xml · nonDerivative · entry 4 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 677,447 F4 · shares: Represents Hercules, Inc. common stock received from released vested dividend equivalent shares on August 17, 2020. Read SEC document |
| August 17, 2020 Filed Aug 19, 2020 21:09 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Disposition to issuerRestricted Stock Units | 385 | $11.48 | $4,419.80 |
DisclosureSEC source: 0001437749-20-018367 · rdgdoc.xml · nonDerivative · entry 3 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 441,330 F3 · shares: Represents released dividend equivalent shares converted to Hercules Capital, Inc. common stock on August 17, 2020. Read SEC document |
| August 17, 2020 Filed Aug 19, 2020 21:09 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingRestricted Stock Units | 180 | $11.48 | $2,066.40 |
DisclosureSEC source: 0001437749-20-018367 · rdgdoc.xml · nonDerivative · entry 2 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 441,715 F2 · shares: Represents dividend equivalent shares withheld to pay taxes applicable to the vesting of deferred dividend equivalent shares on August 17, 2020. Read SEC document |
| August 17, 2020 Filed Aug 19, 2020 21:09 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantRestricted Stock Units | 8,008 | $11.48 | $91,931.84 |
DisclosureSEC source: 0001437749-20-018367 · rdgdoc.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 441,895 F1 · shares: Represents vested dividend equivalent shares received on August 17, 2020. Read SEC document |
| August 17, 2020 Filed Aug 25, 2020 20:21 UTC Amendment | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 876 | $11.48 | $10,056.48 |
DisclosureSEC source: 0001437749-20-018670 · rdgdoc.xml · nonDerivative · entry 3 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 678,161 F3 · shares: The original Form 4, filed on August 19, 2020, is being amended by this Form 4 to correct an administrative oversight that misreported the amount of Hercules Capital, Inc common stock withheld to pay taxes applicable to the vesting of dividend equivalent shares as 171 shares and the amount of securities beneficially owned following the reported transaction as 677,276. F3 · balance_after: The original Form 4, filed on August 19, 2020, is being amended by this Form 4 to correct an administrative oversight that misreported the amount of Hercules Capital, Inc common stock withheld to pay taxes applicable to the vesting of dividend equivalent shares as 171 shares and the amount of securities beneficially owned following the reported transaction as 677,276. Read SEC document |
| August 17, 2020 Filed Aug 25, 2020 20:21 UTC Amendment | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 1,975 | $11.48 | $22,673.00 |
DisclosureSEC source: 0001437749-20-018670 · rdgdoc.xml · nonDerivative · entry 2 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 679,037 F2 · shares: The original Form 4, filed on August 19, 2020, is being amended by this Form 4 to correct an administrative oversight that misreported the amount of Hercules Capital, Inc common stock received from released vested dividend equivalent shares acquired as 385 shares and the amount of securities beneficially owned following the reported transaction as 677,447. F2 · balance_after: The original Form 4, filed on August 19, 2020, is being amended by this Form 4 to correct an administrative oversight that misreported the amount of Hercules Capital, Inc common stock received from released vested dividend equivalent shares acquired as 385 shares and the amount of securities beneficially owned following the reported transaction as 677,447. Read SEC document |
| August 17, 2020 Filed Aug 25, 2020 20:21 UTC Amendment | Hercules Capital, Inc. HTGC · Entity 4164 | Disposition to issuerRestricted Stock Units | 1,975 | $11.48 | $22,673.00 |
DisclosureSEC source: 0001437749-20-018670 · rdgdoc.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 439,740 F1 · shares: The original Form 4, filed on August 19, 2020, is being amended by this Form 4 to correct an administrative oversight that misreported the amount of released vested dividend equivalent shares acquired as 385 shares and the amount of securities beneficially owned following the reported transaction as 441,330. F1 · balance_after: The original Form 4, filed on August 19, 2020, is being amended by this Form 4 to correct an administrative oversight that misreported the amount of released vested dividend equivalent shares acquired as 385 shares and the amount of securities beneficially owned following the reported transaction as 441,330. Read SEC document |
| July 31, 2020 Filed Aug 4, 2020 20:55 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 11,340 | $11.04 | $125,193.60 |
DisclosureSEC source: 0001437749-20-016509 · rdgdoc.xml · nonDerivative · entry 3 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 677,062 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, 2020. Read SEC document |
| July 31, 2020 Filed Aug 4, 2020 20:55 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 25,568 | $11.04 | $282,270.72 |
DisclosureSEC source: 0001437749-20-016509 · rdgdoc.xml · nonDerivative · entry 2 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 688,402 F2 · shares: Represents Hercules, Inc. common stock received from vested restricted stock units and dividend equivalent shares on July 31, 2020. Read SEC document |
| July 31, 2020 Filed Aug 4, 2020 20:55 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Disposition to issuerRestricted Stock Units | 25,568 | $11.04 | $282,270.72 |
DisclosureSEC source: 0001437749-20-016509 · rdgdoc.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 433,887 F1 · shares: Represents vested restricted stock units and dividend equivalent shares converted to Hercules Capital, Inc. common stock on July 31, 2020. Read SEC document |
| July 17, 2020 Filed Jul 20, 2020 20:18 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 11,372 | $10.73 | $122,021.56 |
DisclosureSEC source: 0001437749-20-015414 · rdgdoc.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 662,834 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on July 17, 2020. Read SEC document |
| July 09, 2020 Filed Jul 13, 2020 20:12 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingRestricted Stock Units | 44 | $10.02 | $440.88 |
DisclosureSEC source: 0001437749-20-015067 · rdgdoc.xml · nonDerivative · entry 2 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 459,455 F2 · shares: Represents restricted stock units withheld to pay taxes applicable to the vesting of restricted stock units and dividend equivalent shares on July 9, 2020. 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.