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 |
|---|---|---|---|---|---|---|
| July 09, 2020 Filed Jul 13, 2020 20:12 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 3,402 | $10.02 | $34,088.04 |
DisclosureSEC source: 0001437749-20-015067 · rdgdoc.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 674,206 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on July 9, 2020. Read SEC document |
| May 21, 2020 Filed May 26, 2020 20:14 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Disposition to issuerRestricted Stock Units | 115 | $11.14 | $1,281.10 |
DisclosureSEC source: 0001437749-20-011738 · rdgdoc.xml · nonDerivative · entry 2 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 459,499 F2 · shares: Represents restricted stock units withheld to pay taxes applicable to the vesting of restricted stock units and dividend equivalent shares on May 21, 2020. Read SEC document |
| May 21, 2020 Filed May 26, 2020 20:14 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantRestricted Stock Units | 12,864 | $11.14 | $143,304.96 |
DisclosureSEC source: 0001437749-20-011738 · rdgdoc.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 459,614 F1 · shares: Includes additional Dividend Shares relating to deemed reinvested dividend equivalent rights that accrued on Restricted Stock Units (RSUs) previously granted. Such additional Dividend Shares are in the form of additional RSUs vest and are settled at the same time as the RSUs in respect of which the dividend equivalent rights accrued. Each such additional Dividend Share RSU is the economic equivalent of one share of Hercules Capital, Inc. common stock. Read SEC document |
| April 30, 2020 Filed May 4, 2020 20:11 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 10,305 | $10.26 | $105,729.30 |
DisclosureSEC source: 0001437749-20-009264 · rdgdoc.xml · nonDerivative · entry 3 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 677,608 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, 2020. Read SEC document |
| April 30, 2020 Filed May 4, 2020 20:11 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 23,234 | $10.26 | $238,380.84 |
DisclosureSEC source: 0001437749-20-009264 · rdgdoc.xml · nonDerivative · entry 2 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 687,913 F2 · shares: Represents Hercules, Inc. common stock received from vested restricted stock units and dividend equivalent shares on April 30, 2020. Read SEC document |
| April 30, 2020 Filed May 4, 2020 20:11 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Disposition to issuerRestricted Stock Units | 23,234 | $10.26 | $238,380.84 |
DisclosureSEC source: 0001437749-20-009264 · rdgdoc.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 446,750 F1 · shares: Represents vested restricted stock units and dividend equivalent shares converted to Hercules Capital, Inc. common stock on April 30, 2020. F4 · balance_after: Each restricted stock unit represents a contingent right to receive one share of Hercules Capital, Inc. stock. Read SEC document |
| April 09, 2020 Filed Apr 13, 2020 20:15 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingRestricted Stock Units | 257 | $9.09 | $2,336.13 |
DisclosureSEC source: 0001437749-20-007597 · rdgdoc.xml · nonDerivative · entry 2 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 471,918 F2 · shares: Represents restricted stock units withheld to pay taxes applicable to the vesting of restricted stock units and dividend equivalent shares on April 9, 2020. Read SEC document |
| April 09, 2020 Filed Apr 13, 2020 20:15 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 3,402 | $9.09 | $30,924.18 |
DisclosureSEC source: 0001437749-20-007597 · rdgdoc.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 663,603 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on April 9, 2020. Read SEC document |
| March 09, 2020 Filed Mar 11, 2020 20:09 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantRestricted Stock Units | 13,021 | $14.08 | $183,335.68 |
DisclosureSEC source: 0001437749-20-004805 · rdgdoc.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 470,699 F1 · balance_after: Includes additional Dividend Shares relating to deemed reinvested dividend equivalent rights that accrued on Restricted Stock Units (RSUs) previously granted. Such additional Dividend Shares are in the form of additional RSUs vest and are settled at the same time as the RSUs in respect of which the dividend equivalent rights accrued. Each such additional Dividend Share RSU is the economic equivalent of one share of Hercules Capital, Inc. common stock. Read SEC document |
| March 09, 2020 Filed Apr 2, 2020 20:35 UTC Amendment | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingRestricted Stock Units | 124 | $12.54 | $1,554.96 |
DisclosureSEC source: 0001437749-20-006923 · rdgdoc.xml · nonDerivative · entry 2 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 472,175 F4 · shares: Represents restricted stock units withheld to pay taxes applicable to the vesting of dividend equivalent shares on March 9, 2020. Read SEC document |
| March 09, 2020 Filed Apr 2, 2020 20:35 UTC Amendment | Hercules Capital, Inc. HTGC · Entity 4164 | GrantRestricted Stock Units | 14,621 | $12.54 | $183,347.34 |
DisclosureSEC source: 0001437749-20-006923 · rdgdoc.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 472,299 F1 · shares: Amount of securities originally reported as 13,021. F2 · price: Price originally reported as $14.08. F3 · balance_after: Amount of securities beneficially owned originally reported as 470,699. Read SEC document |
| March 09, 2020 Filed Jun 16, 2020 21:03 UTC Amendment | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 858 | $12.54 | $10,759.32 |
DisclosureSEC source: 0001437749-20-013248 · rdgdoc.xml · nonDerivative · entry 3 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 668,081 F4 · shares: Represents Hercules, Inc. common stock withheld to pay taxes applicable to the vesting of dividend equivalent shares on March 9, 2020. Read SEC document |
| March 09, 2020 Filed Jun 16, 2020 21:03 UTC Amendment | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 1,934 | $12.54 | $24,252.36 |
DisclosureSEC source: 0001437749-20-013248 · rdgdoc.xml · nonDerivative · entry 2 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 668,939 F3 · shares: Represents Hercules, Inc. common stock received from vested dividend equivalent shares on March 9, 2020. Read SEC document |
| March 09, 2020 Filed Jun 16, 2020 21:03 UTC Amendment | Hercules Capital, Inc. HTGC · Entity 4164 | GrantRestricted Stock Units | 1,934 | $12.54 | $24,252.36 |
DisclosureSEC source: 0001437749-20-013248 · rdgdoc.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 474,109 F1 · shares: The original Form 4 is being amended by this Form 4 to reflect the vesting of additional dividend equivalent shares on March 9, 2020. F2 · shares: Represents dividend equivalent shares converted to Hercules Capital, Inc. common stock on March 9, 2020. Read SEC document |
| January 31, 2020 Filed Feb 4, 2020 21:24 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 40,359 | $14.41 | $581,573.19 |
DisclosureSEC source: 0001437749-20-001700 · rdgdoc.xml · nonDerivative · entry 3 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 667,005 F4 · 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, 2020. Read SEC document |
| January 31, 2020 Filed Feb 4, 2020 21:24 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 91,001 | $14.41 | $1,311,324.41 |
DisclosureSEC source: 0001437749-20-001700 · rdgdoc.xml · nonDerivative · entry 2 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 707,364 F3 · shares: Represents Hercules, Inc. common stock received from vested restricted stock units and dividend equivalent shares on January 31, 2020. Read SEC document |
| January 31, 2020 Filed Feb 4, 2020 21:24 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Disposition to issuerRestricted Stock Units | 91,001 | $14.41 | $1,311,324.41 |
DisclosureSEC source: 0001437749-20-001700 · rdgdoc.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 457,678 F1 · shares: Represents vested restricted stock units and dividend equivalent shares converted to Hercules Capital, Inc. common stock on January 31, 2020. F2 · balance_after: Each restricted stock unit represents a contingent right to receive one share of Hercules Capital, Inc. stock. Read SEC document |
| January 24, 2020 Filed Jan 28, 2020 21:08 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Disposition to issuerRestricted Stock Units | 505 | $14.38 | $7,261.90 |
DisclosureSEC source: 0001437749-20-001292 · rdgdoc.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 548,679 F1 · shares: Represents units withheld to pay taxes applicable to the vesting of restricted stock units on January 24, 2020. Read SEC document |
| January 13, 2020 Filed Jan 13, 2020 22:12 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 281,943 | $14.15 | $3,989,493.45 |
DisclosureSEC source: 0001437749-20-000554 · rdgdoc.xml · nonDerivative · entry 2 Bluestein Scott · CIK 0001505910 · Chief Executive Officer & Pres 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 616,363 F2 · 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 13, 2021 followed by quarterly vesting over the following 24 months. Read SEC document |
| January 08, 2020 Filed Jan 13, 2020 22:12 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Disposition to issuerCommon Stock | 2,690 | $14.01 | $37,686.90 |
DisclosureSEC source: 0001437749-20-000554 · rdgdoc.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer & Pres 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 334,420 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on January 9, 2020. Read SEC document |
| January 01, 2020 Filed Jan 13, 2020 22:11 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Disposition to issuerRestricted Stock Units | 211 | $14.01 | $2,956.11 |
DisclosureSEC source: 0001437749-20-000551 · rdgdoc.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer & Pres 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 549,184 F1 · shares: Represents units withheld to pay taxes applicable to the vesting of restricted stock units on January 9, 2020. Read SEC document |
| November 18, 2019 Filed Nov 19, 2019 22:52 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantRestricted Stock Units | 13,483 | $13.91 | $187,548.53 |
DisclosureSEC source: 0001437749-19-023234 · rdgdoc.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer & Pres 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 549,395 F1 · shares: Includes additional Dividend Shares relating to deemed reinvested dividend equivalent rights that accrued on Restricted Stock Units (RSUs) previously granted. Such additional Dividend Shares are in the form of additional RSUs vest and are settled at the same time as the RSUs in respect of which the dividend equivalent rights accrued. Each such additional Dividend Share RSU is the economic equivalent of one share of Hercules Capital, Inc. common stock. Read SEC document |
| October 09, 2019 Filed Oct 11, 2019 20:10 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Disposition to issuerCommon Stock | 3,435 | $13.14 | $45,135.90 |
DisclosureSEC source: 0001437749-19-019972 · rdgdoc.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer & Pres 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 337,110 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on October 9, 2019. Read SEC document |
| August 19, 2019 Filed Aug 20, 2019 20:12 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantRestricted Stock Units | 13,929 | $12.74 | $177,455.46 |
DisclosureSEC source: 0001437749-19-017183 · rdgdoc.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer & Pres 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 535,912 F1 · shares: Includes additional Dividend Shares relating to deemed reinvested dividend equivalent rights that accrued on Restricted Stock Units (RSUs) previously granted. Such additional Dividend Shares are in the form of additional RSUs vest and are settled at the same time as the RSUs in respect of which the dividend equivalent rights accrued. Each such additional Dividend Share RSU is the economic equivalent of one share of Hercules Capital, Inc. common stock. Read SEC document |
| July 17, 2019 Filed Jul 18, 2019 20:11 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 76,923 | $13.00 | $999,999.00 |
DisclosureSEC source: 0001437749-19-014229 · rdgdoc.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Executive Officer & Pres 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 340,545 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 July 17, 2020 followed by quarterly vesting over the following 24 months. Read SEC document |
| July 09, 2019 Filed Jul 11, 2019 20:07 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Disposition to issuerCommon Stock | 3,406 | $12.91 | $43,971.46 |
DisclosureSEC source: 0001437749-19-013850 · rdgdoc.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Interim Chief Executive Off 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 263,622 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on July 9, 2019. Read SEC document |
| May 20, 2019 Filed May 22, 2019 20:13 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantRestricted Stock Units | 12,796 | $13.13 | $168,011.48 |
DisclosureSEC source: 0001437749-19-010692 · rdgdoc.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Interim Chief Executive Off 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 521,983 F1 · balance_after: Includes additional Dividend Shares relating to deemed reinvested dividend equivalent rights that accrued on Restricted Stock Units (RSUs) previously granted. Such additional Dividend Shares are in the form of additional RSUs vest and are settled at the same time as the RSUs in respect of which the dividend equivalent rights accrued. Each such additional Dividend Share RSU is the economic equivalent of one share of Hercules Capital, Inc. common stock. Read SEC document |
| April 09, 2019 Filed Apr 11, 2019 20:06 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Disposition to issuerCommon Stock | 3,410 | $12.64 | $43,102.40 |
DisclosureSEC source: 0001437749-19-006981 · rdgdoc.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Interim Chief Executive Off 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 267,028 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on April 9, 2019. Read SEC document |
| March 11, 2019 Filed Mar 13, 2019 20:28 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantRestricted Stock Units | 11,454 | $13.47 | $154,285.38 |
DisclosureSEC source: 0001437749-19-004782 · rdgdoc.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 509,187 F1 · balance_after: Includes additional Dividend Shares relating to deemed reinvested dividend equivalent rights that accrued on Restricted Stock Units (RSUs) previously granted. Such additional Dividend Shares are in the form of additional RSUs vest and are settled at the same time as the RSUs in respect of which the dividend equivalent rights accrued. Each such additional Dividend Share RSU is the economic equivalent of one share of Hercules Capital, Inc. common stock. Read SEC document |
| January 31, 2019 Filed Feb 4, 2019 21:37 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantRestricted Stock Units | 247,336 | $13.14 | $3,249,995.04 |
DisclosureSEC source: 0001437749-19-001787 · rdgdoc.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 497,733 F1 · shares: Each restricted stock unit represents a contingent right to receive one share of Hercules Capital, Inc. stock. F2 · shares: The restricted stock units vest one-third on January 31, 2020 and the remaining two-thirds vest quarterly in equal amounts over the following two years. Read SEC document |
| January 10, 2019 Filed Jan 11, 2019 22:15 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 3,013 | $12.14 | $36,577.82 |
DisclosureSEC source: 0001437749-19-000752 · rdgdoc.xml · nonDerivative · entry 2 Bluestein Scott · CIK 0001505910 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 270,438 F2 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on January 10, 2019. Read SEC document |
| January 09, 2019 Filed Jan 11, 2019 22:15 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 9,014 | $12.03 | $108,438.42 |
DisclosureSEC source: 0001437749-19-000752 · rdgdoc.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 273,451 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on January 9, 2019. Read SEC document |
| November 19, 2018 Filed Nov 21, 2018 21:29 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantRestricted Stock Units | 6,552 | $12.28 | $80,458.56 |
DisclosureSEC source: 0001437749-18-021201 · rdgdoc.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 250,397 F1 · balance_after: Includes additional Dividend Shares relating to deemed reinvested dividend equivalent rights that accrued on Restricted Stock Units (RSUs) previously granted. Such additional Dividend Shares are in the form of additional RSUs vest and are settled at the same time as the RSUs in respect of which the dividend equivalent rights accrued. Each such additional Dividend Share RSU is the economic equivalent of one share of Hercules Capital, Inc. common stock. Read SEC document |
| October 10, 2018 Filed Oct 15, 2018 17:23 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Disposition to issuerCommon Stock | 3,853 | $12.80 | $49,318.40 |
DisclosureSEC source: 0001437749-18-018290 · rdgdoc.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 282,465 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on October 10, 2018. Read SEC document |
| August 20, 2018 Filed Aug 21, 2018 16:53 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantRestricted Stock Units | 5,497 | $13.44 | $73,879.68 |
DisclosureSEC source: 0001437749-18-015930 · rdgdoc.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 243,838 F1 · balance_after: Includes additional Dividend Shares relating to deemed reinvested dividend equivalent rights that accrued on Restricted Stock Units (RSUs) previously granted. Such additional Dividend Shares are in the form of additional RSUs vest and are settled at the same time as the RSUs in respect of which the dividend equivalent rights accrued. Each such additional Dividend Share RSU is the economic equivalent of one share of Hercules Capital, Inc. common stock. Read SEC document |
| August 20, 2018 Filed Nov 21, 2018 21:25 UTC Amendment | Hercules Capital, Inc. HTGC · Entity 4164 | GrantRestricted Stock Units | 5,504 | $13.42 | $73,863.68 |
DisclosureSEC source: 0001437749-18-021197 · rdgdoc.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 243,845 F1 · shares: Amount of securities originally reported as 5,497. F2 · price: Price originally reported as $13.44. F3 · balance_after: Amount of securities beneficially owned originally reported as 243,838. Read SEC document |
| July 10, 2018 Filed Jul 12, 2018 17:48 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Disposition to issuerCommon Stock | 3,853 | $12.93 | $49,819.29 |
DisclosureSEC source: 0001437749-18-013247 · rdgdoc.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 286,318 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on July 10, 2018. Read SEC document |
| May 21, 2018 Filed May 21, 2018 20:22 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantRestricted Stock Units | 5,813 | $12.40 | $72,081.20 |
DisclosureSEC source: 0001593968-18-000817 · primary_01.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 238,341 F1 · balance_after: Includes additional Dividend Shares relating to deemed reinvested dividend equivalent rights that accrued on Restricted Stock Units (RSUs) previously granted. Such additional Dividend Shares are in the form of additional RSUs vest and are settled at the same time as the RSUs in respect of which the dividend equivalent rights accrued. Each such additional Dividend Share RSU is the economic equivalent of one share of Hercules Capital, Inc. common stock. Read SEC document |
| April 10, 2018 Filed Apr 12, 2018 20:22 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 3,834 | $12.09 | $46,353.06 |
DisclosureSEC source: 0001593968-18-000671 · primary_01.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 290,171 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on April 10, 2018. Read SEC document |
| March 12, 2018 Filed Mar 14, 2018 20:32 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantRestricted Stock Units | 5,729 | $12.27 | $70,294.83 |
DisclosureSEC source: 0001593968-18-000555 · primary_01.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 232,528 F1 · balance_after: Includes additional Dividend Shares relating to deemed reinvested dividend equivalent rights that accrued on Restricted Stock Units (RSUs) previously granted. Such additional Dividend Shares are in the form of additional RSUs vest and are settled at the same time as the RSUs in respect of which the dividend equivalent rights accrued. Each such additional Dividend Share RSU is the economic equivalent of one share of Hercules Capital, Inc. common stock. Read SEC document |
| March 10, 2018 Filed Mar 13, 2018 19:10 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 1,656 | $12.25 | $20,286.00 |
DisclosureSEC source: 0000899243-18-007236 · doc4.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 294,005 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on March 10, 2018. Read SEC document |
| January 10, 2018 Filed Jan 12, 2018 18:43 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 4,139 | $12.93 | $53,517.27 |
DisclosureSEC source: 0001593968-18-000141 · primary_01.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 295,661 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on January 10, 2018. Read SEC document |
| January 09, 2018 Filed Jan 12, 2018 16:59 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantRestricted Stock Units | 92,024 | $13.04 | $1,199,992.96 |
DisclosureSEC source: 0001593968-18-000138 · primary_01.xml · nonDerivative · entry 2 Bluestein Scott · CIK 0001505910 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 226,799 F2 · shares: Each restricted stock unit represents a contingent right to receive one share of Hercules Capital, Inc. stock. F3 · shares: The restricted stock units vest one-third on January 09, 2019 and the remaining two-thirds vest quarterly in equal amounts over the following two years. Vested shares will be delivered to reporting person as soon as reasonably practicable on the earlier of (a) January 09, 2022 and (b) the date (i) reporting person separates from service from Issuer, (ii) dies or becomes disabled or (iii) there is a change in control of the Issuer. Read SEC document |
| January 09, 2018 Filed Jan 12, 2018 16:59 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 92,025 | $13.04 | $1,200,006.00 |
DisclosureSEC source: 0001593968-18-000138 · primary_01.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 299,800 F1 · shares: Restricted stock issued as a grant pursuant to the Amended and Restated Equity Incentive Plan and subject to forfeiture restrictions of one-third vesting on January 9, 2019 followed by quarterly vesting over the following 24 months. Read SEC document |
| December 10, 2017 Filed Dec 11, 2017 17:37 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 1,564 | $13.34 | $20,863.76 |
DisclosureSEC source: 0001593968-17-001337 · primary_01.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 207,775 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on December 10, 2017. Read SEC document |
| November 20, 2017 Filed Nov 21, 2017 20:11 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantRestricted Stock Units | 3,038 | $13.44 | $40,830.72 |
DisclosureSEC source: 0001593968-17-001262 · primary_01.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 134,775 F1 · balance_after: Includes additional Dividend Shares relating to deemed reinvested dividend equivalent rights that accrued on Restricted Stock Units (RSUs) previously granted. Such additional Dividend Shares are in the form of additional RSUs vest and are settled at the same time as the RSUs in respect of which the dividend equivalent rights accrued. Each such additional Dividend Share RSU is the economic equivalent of one share of Hercules Capital, Inc. common stock. Read SEC document |
| October 10, 2017 Filed Oct 11, 2017 20:09 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 2,822 | $12.74 | $35,952.28 |
DisclosureSEC source: 0001593968-17-001128 · primary_01.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 209,339 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on October 10, 2017. Read SEC document |
| September 10, 2017 Filed Sep 11, 2017 20:05 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 1,297 | $12.04 | $15,615.88 |
DisclosureSEC source: 0001593968-17-001060 · primary_01.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 212,161 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on September 10, 2017. Read SEC document |
| August 21, 2017 Filed Aug 22, 2017 20:11 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantRestricted Stock Units | 3,086 | $12.92 | $39,871.12 |
DisclosureSEC source: 0001593968-17-001018 · primary_01.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 131,737 F1 · balance_after: Includes additional Dividend Shares relating to deemed reinvested dividend equivalent rights that accrued on Restricted Stock Units (RSUs) previously granted. Such additional Dividend Shares are in the form of additional RSUs vest and are settled at the same time as the RSUs in respect of which the dividend equivalent rights accrued. Each such additional Dividend Share RSU is the economic equivalent of one share of Hercules Capital, Inc. common stock. Read SEC document |
| July 10, 2017 Filed Jul 11, 2017 18:01 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 2,805 | $13.43 | $37,671.15 |
DisclosureSEC source: 0001593968-17-000915 · primary_01.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 213,458 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on July 10, 2017. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.