Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Hercules Capital, Inc.HTGC · Entity 4164 | Chief Operating 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 | 141,741 |
Ending reported balance
After 2026-10-09 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2026-10-09 · Tax withholding · Disposed 1,365 · Balance 143,174 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 1,433 · Balance 141,741 F1: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on October 9, 2026. |
| Common StockSEC Table I · non-derivative | IndirectBy Spouse | 350 |
Reported balance
Holding disclosure · report date 2026-10-09 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 350 |
Filing footnotes · ownership attribution and instrument terms
F1: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on October 9, 2026.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| October 09, 2026 Filed Oct 13, 2026 19:12 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 1,433 | $16.51 | $23,658.83 |
DisclosureSEC source: 0001907321-26-000008 · primarydocument.xml · nonDerivative · entry 2 Follmann Christian · CIK 0001907321 · Chief Operating Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 141,741 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on October 9, 2026. Read SEC document |
| October 09, 2026 Filed Oct 13, 2026 19:12 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 1,365 | $16.51 | $22,536.15 |
DisclosureSEC source: 0001907321-26-000008 · primarydocument.xml · nonDerivative · entry 1 Follmann Christian · CIK 0001907321 · Chief Operating Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 143,174 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on October 9, 2026. Read SEC document |
| July 09, 2026 Filed Jul 13, 2026 18:41 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 1,365 | $15.69 | $21,416.85 |
DisclosureSEC source: 0001907321-26-000007 · primarydocument.xml · nonDerivative · entry 2 Follmann Christian · CIK 0001907321 · Chief Operating Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 144,539 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on July 9, 2026. Read SEC document |
| July 09, 2026 Filed Jul 13, 2026 18:41 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 1,433 | $15.69 | $22,483.77 |
DisclosureSEC source: 0001907321-26-000007 · primarydocument.xml · nonDerivative · entry 1 Follmann Christian · CIK 0001907321 · Chief Operating Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 145,904 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on July 9, 2026. Read SEC document |
| April 09, 2026 Filed Apr 13, 2026 21:21 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 1,433 | $14.74 | $21,122.42 |
DisclosureSEC source: 0001907321-26-000005 · primarydocument.xml · nonDerivative · entry 2 Follmann Christian · CIK 0001907321 · Chief Operating Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 147,337 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on April 9, 2026. Read SEC document |
| April 09, 2026 Filed Apr 13, 2026 21:21 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 1,365 | $14.74 | $20,120.10 |
DisclosureSEC source: 0001907321-26-000005 · primarydocument.xml · nonDerivative · entry 1 Follmann Christian · CIK 0001907321 · Chief Operating Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 148,770 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on April 9, 2026. Read SEC document |
| March 04, 2026 Filed Mar 5, 2026 22:19 UTC Amendment | Hercules Capital, Inc. HTGC · Entity 4164 | PurchaseCommon Stock | 5,000 | $14.68 | $73,400.00 |
DisclosureSEC source: 0001907321-26-000004 · primarydocument.xml · nonDerivative · entry 1 Follmann Christian · CIK 0001907321 · Chief Operating Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 150,135 F1 · price: Average purchase price. Shares purchased at prices between $14.60 and $14.78. F2 · acquired: This Form 4 amendment corrects an administrative error in reporting the type of transaction executed by the Reporting Person. Read SEC document |
| March 04, 2026 Filed Mar 5, 2026 20:53 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | PurchaseCommon Stock | 5,000 | $14.68 | $73,400.00 |
DisclosureSEC source: 0001907321-26-000003 · primarydocument.xml · nonDerivative · entry 1 Follmann Christian · CIK 0001907321 · Chief Operating Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 150,135 F1 · price: Average purchase price. Shares purchased at prices between $14.60 and $14.78. Read SEC document |
| January 11, 2026 Filed Jan 13, 2026 23:46 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 1,178 | $18.59 | $21,899.02 |
DisclosureSEC source: 0001907321-26-000002 · primarydocument.xml · nonDerivative · entry 2 Follmann Christian · CIK 0001907321 · Chief Operating Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 145,134 F2 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on January 11, 2026. Read SEC document |
| January 09, 2026 Filed Jan 13, 2026 23:46 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 7,580 | $18.59 | $140,912.20 |
DisclosureSEC source: 0001907321-26-000002 · primarydocument.xml · nonDerivative · entry 1 Follmann Christian · CIK 0001907321 · Chief Operating Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 146,312 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on January 9, 2026. Read SEC document |
| January 08, 2026 Filed Jan 12, 2026 21:26 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 37,007 | $18.24 | $675,007.68 |
DisclosureSEC source: 0001907321-26-000001 · primarydocument.xml · nonDerivative · entry 1 Follmann Christian · CIK 0001907321 · Chief Operating Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 153,892 F1 · shares: Restricted stock issued as a grant pursuant to the Amended and Restated Equity Incentive Plan and subject to forfeiture restrictions of one-third vesting on the one year anniversary of the grant date followed by quarterly vesting over the following 24 months. Read SEC document |
| December 04, 2025 Filed Dec 8, 2025 21:53 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantRestricted Stock Units · Derivative | 10,560 | $0.00 | $0.00 |
DisclosureSEC source: 0001907321-25-000009 · primarydocument.xml · derivative · entry 1 Follmann Christian · CIK 0001907321 · Chief Operating Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 39,448 Underlying: Common Stock · 0 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. F2 · derivative.exercise_date: The Reporting Person received an award of restricted stock units on December 4, 2025 which will vest 100% on December 4, 2032. F2 · derivative.expiration_date: The Reporting Person received an award of restricted stock units on December 4, 2025 which will vest 100% on December 4, 2032. Read SEC document |
| October 11, 2025 Filed Oct 15, 2025 23:04 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 1,176 | $16.70 | $19,639.20 |
DisclosureSEC source: 0001907321-25-000007 · primarydocument.xml · nonDerivative · entry 1 Follmann Christian · CIK 0001907321 · Chief Operating Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 116,885 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on October 11, 2025. Read SEC document |
| October 09, 2025 Filed Oct 14, 2025 21:35 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 1,362 | $17.06 | $23,235.72 |
DisclosureSEC source: 0001907321-25-000006 · primarydocument.xml · nonDerivative · entry 1 Follmann Christian · CIK 0001907321 · Chief Operating Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 118,061 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on October 9, 2025. Read SEC document |
| July 11, 2025 Filed Jul 15, 2025 21:03 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 829 | $18.94 | $15,701.26 |
DisclosureSEC source: 0001562180-25-005426 · primarydocument.xml · nonDerivative · entry 1 Follmann Christian · CIK 0001907321 · Chief Operating Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 119,423 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on July 11, 2025. Read SEC document |
| July 09, 2025 Filed Jul 11, 2025 20:22 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 960 | $18.56 | $17,817.60 |
DisclosureSEC source: 0001562180-25-005395 · primarydocument.xml · nonDerivative · entry 1 Follmann Christian · CIK 0001907321 · Chief Operating Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 120,252 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on July 9, 2025. Read SEC document |
| June 05, 2025 Filed Jun 5, 2025 22:38 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | PurchaseCommon Stock | 395 | $17.83 | $7,042.85 |
DisclosureSEC source: 0001562180-25-004523 · primarydocument.xml · nonDerivative · entry 2 Follmann Christian · CIK 0001907321 · Chief Operating Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 121,212 F1 · balance_after: Includes 261 dividend reinvestment shares acquired on May 20, 2025. Read SEC document |
| June 05, 2025 Filed Jun 5, 2025 22:38 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | SaleCommon Stock | 395 | $17.83 | $7,042.85 |
DisclosureSEC source: 0001562180-25-004523 · primarydocument.xml · nonDerivative · entry 1 Follmann Christian · CIK 0001907321 · Chief Operating Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 120,556 Read SEC document |
| April 11, 2025 Filed Apr 15, 2025 23:33 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 829 | $16.83 | $13,952.07 |
DisclosureSEC source: 0001562180-25-003167 · primarydocument.xml · nonDerivative · entry 1 Follmann Christian · CIK 0001907321 · Chief Operating Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 120,951 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on April 11, 2025. Read SEC document |
| April 09, 2025 Filed Apr 11, 2025 21:08 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 960 | $17.49 | $16,790.40 |
DisclosureSEC source: 0001562180-25-003121 · primarydocument.xml · nonDerivative · entry 1 Follmann Christian · CIK 0001907321 · Chief Operating Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 121,780 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on April 9, 2025. F2 · balance_after: Includes 234 dividend reinvestment shares acquired on March 5, 2025. Read SEC document |
| January 11, 2025 Filed Jan 15, 2025 00:42 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 1,256 | $19.73 | $24,780.88 |
DisclosureSEC source: 0001562180-25-000364 · primarydocument.xml · nonDerivative · entry 1 Follmann Christian · CIK 0001907321 · Chief Operating Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 122,505 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on January 11, 2025. Read SEC document |
| January 09, 2025 Filed Jan 13, 2025 21:07 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 33,784 | $19.98 | $675,004.32 |
DisclosureSEC source: 0001562180-25-000327 · primarydocument.xml · nonDerivative · entry 2 Follmann Christian · CIK 0001907321 · Chief Operating Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 123,761 F3 · shares: Restricted stock issued as a grant pursuant to the Amended and Restated Equity Incentive Plan and subject to forfeiture restrictions of one-third vesting on the one year anniversary of the grant date followed by quarterly vesting over the following 24 months. Read SEC document |
| January 09, 2025 Filed Jan 13, 2025 21:07 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 4,266 | $19.98 | $85,234.68 |
DisclosureSEC source: 0001562180-25-000327 · primarydocument.xml · nonDerivative · entry 1 Follmann Christian · CIK 0001907321 · Chief Operating Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 89,977 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on January 9, 2025. F2 · balance_after: Includes 235 dividend reinvestment shares acquired on November 20, 2024. Read SEC document |
| December 05, 2024 Filed Dec 10, 2024 01:42 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantRestricted Stock Units · Derivative | 10,576 | $0.00 | $0.00 |
DisclosureSEC source: 0001562180-24-008281 · primarydocument.xml · derivative · entry 1 Follmann Christian · CIK 0001907321 · Chief Operating Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 28,888 Underlying: Common Stock · 10,576 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. F2 · derivative.exercise_date: The Reporting Person received an award of restricted stock units on December 5, 2024 which will vest 100% on December 5, 2031. F2 · derivative.expiration_date: The Reporting Person received an award of restricted stock units on December 5, 2024 which will vest 100% on December 5, 2031. Read SEC document |
| October 11, 2024 Filed Oct 15, 2024 20:52 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 1,251 | $19.63 | $24,557.13 |
DisclosureSEC source: 0001562180-24-007325 · primarydocument.xml · nonDerivative · entry 1 Follmann Christian · CIK 0001907321 · Chief Operating Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 94,008 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on October 11, 2024. F2 · balance_after: Includes 236 dividend reinvestment shares acquired on August 20, 2024. Read SEC document |
| July 11, 2024 Filed Jul 15, 2024 21:32 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 1,251 | $21.11 | $26,408.61 |
DisclosureSEC source: 0001562180-24-005734 · primarydocument.xml · nonDerivative · entry 1 Follmann Christian · CIK 0001907321 · Chief Operating Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 95,023 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on July 11, 2024. F2 · balance_after: Includes 220 dividend reinvestment shares acquired on May 21, 2024. Read SEC document |
| April 11, 2024 Filed Apr 16, 2024 00:00 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 1,251 | $18.41 | $23,030.91 |
DisclosureSEC source: 0001562180-24-003415 · primarydocument.xml · nonDerivative · entry 1 Follmann Christian · CIK 0001907321 · Chief Operating Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 96,052 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on April 11, 2024. F2 · balance_after: Includes 228 shares acquired on March 6, 2024 as dividend reinvestment shares. Read SEC document |
| January 12, 2024 Filed Jan 18, 2024 00:47 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 566 | $17.58 | $9,950.28 |
DisclosureSEC source: 0001562180-24-000512 · primarydocument.xml · nonDerivative · entry 1 Follmann Christian · CIK 0001907321 · Chief Operating Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 97,088 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on January 12, 2024. Read SEC document |
| January 12, 2024 Filed Jan 30, 2024 22:40 UTC Amendment | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 579 | $17.58 | $10,178.82 |
DisclosureSEC source: 0001562180-24-000815 · primarydocument.xml · nonDerivative · entry 1 Follmann Christian · CIK 0001907321 · Chief Operating Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 97,075 F1 · shares: This Form 4 amendment is to correct an administrative error in reporting the number of shares withheld to pay taxes with respect to the vesting of restricted stock and the resulting amount of securities beneficially owned by the Reporting Person. F1 · balance_after: This Form 4 amendment is to correct an administrative error in reporting the number of shares withheld to pay taxes with respect to the vesting of restricted stock and the resulting amount of securities beneficially owned by the Reporting Person. Read SEC document |
| January 11, 2024 Filed Jan 17, 2024 01:29 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 5,554 | $17.48 | $97,083.92 |
DisclosureSEC source: 0001562180-24-000470 · primarydocument.xml · nonDerivative · entry 1 Follmann Christian · CIK 0001907321 · Chief Operating Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 97,654 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on January 11, 2024. Read SEC document |
| January 09, 2024 Filed Jan 10, 2024 21:44 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 32,184 | $17.40 | $560,001.60 |
DisclosureSEC source: 0001562180-24-000412 · primarydocument.xml · nonDerivative · entry 1 Follmann Christian · CIK 0001907321 · Chief Operating Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 103,208 F1 · shares: Restricted stock issued as a grant pursuant to the Amended and Restated Equity Incentive Plan and subject to forfeiture restrictions of one-third vesting on the one year anniversary of the grant date followed by quarterly vesting over the following 24 months. Read SEC document |
| December 07, 2023 Filed Dec 11, 2023 22:30 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantRestricted Stock Units · Derivative | 9,791 | $0.00 | $0.00 |
DisclosureSEC source: 0001562180-23-008276 · primarydocument.xml · derivative · entry 1 Follmann Christian · CIK 0001907321 · Chief Operating Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 18,312 Underlying: Common Stock · 9,791 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. F2 · derivative.exercise_date: The Reporting Person received an award of restricted stock units on December 7, 2023 which will vest 100% on December 7, 2030. F2 · derivative.expiration_date: The Reporting Person received an award of restricted stock units on December 7, 2023 which will vest 100% on December 7, 2030. Read SEC document |
| November 22, 2023 Filed Nov 28, 2023 01:06 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 260 | $15.56 | $4,045.60 |
DisclosureSEC source: 0001562180-23-007953 · primarydocument.xml · nonDerivative · entry 1 Follmann Christian · CIK 0001907321 · Chief Operating Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 71,024 F1 · shares: Shares acquired as dividend reinvestment shares. Read SEC document |
| October 12, 2023 Filed Oct 16, 2023 20:02 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 415 | $16.25 | $6,743.75 |
DisclosureSEC source: 0001562180-23-007303 · primarydocument.xml · nonDerivative · entry 1 Follmann Christian · CIK 0001907321 · Chief Operating Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 70,764 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on October 12, 2023. Read SEC document |
| October 11, 2023 Filed Oct 13, 2023 20:14 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 412 | $16.26 | $6,699.12 |
DisclosureSEC source: 0001562180-23-007286 · primarydocument.xml · nonDerivative · entry 1 Follmann Christian · CIK 0001907321 · Chief Operating Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 71,179 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on October 11, 2023. Read SEC document |
| August 25, 2023 Filed Aug 28, 2023 21:04 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 40 | $16.34 | $653.60 |
DisclosureSEC source: 0001562180-23-006586 · primarydocument.xml · nonDerivative · entry 2 Follmann Christian · CIK 0001907321 · Chief Operating Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 71,591 F1 · shares: Shares acquired as dividend reinvestment shares. Read SEC document |
| August 25, 2023 Filed Aug 28, 2023 21:04 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 199 | $16.45 | $3,273.55 |
DisclosureSEC source: 0001562180-23-006586 · primarydocument.xml · nonDerivative · entry 1 Follmann Christian · CIK 0001907321 · Chief Operating Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 71,551 F1 · shares: Shares acquired as dividend reinvestment shares. Read SEC document |
| July 12, 2023 Filed Jul 14, 2023 00:53 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 415 | $15.73 | $6,527.95 |
DisclosureSEC source: 0001562180-23-005896 · primarydocument.xml · nonDerivative · entry 2 Follmann Christian · CIK 0001907321 · Chief Operating Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 71,352 F2 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on July 12, 2023. Read SEC document |
| July 11, 2023 Filed Jul 14, 2023 00:53 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 412 | $15.55 | $6,406.60 |
DisclosureSEC source: 0001562180-23-005896 · primarydocument.xml · nonDerivative · entry 1 Follmann Christian · CIK 0001907321 · Chief Operating Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 71,767 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on July 11, 2023. Read SEC document |
| May 24, 2023 Filed May 25, 2023 20:18 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | SaleCommon Stock | 455 | $13.72 | $6,242.60 |
DisclosureSEC source: 0001562180-23-004485 · primarydocument.xml · nonDerivative · entry 3 Follmann Christian · CIK 0001907321 · Chief Operating Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 72,179 Read SEC document |
| May 24, 2023 Filed May 25, 2023 20:18 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | PurchaseCommon Stock | 455 | $13.73 | $6,247.15 |
DisclosureSEC source: 0001562180-23-004485 · primarydocument.xml · nonDerivative · entry 2 Follmann Christian · CIK 0001907321 · Chief Operating Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 72,634 Read SEC document |
| May 23, 2023 Filed May 25, 2023 20:18 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 253 | $13.91 | $3,519.23 |
DisclosureSEC source: 0001562180-23-004485 · primarydocument.xml · nonDerivative · entry 1 Follmann Christian · CIK 0001907321 · Chief Operating Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 72,179 F1 · shares: Shares acquired as dividend reinvestment shares. F2 · balance_after: Due to administrative rounding, the number of shares of common stock beneficially owned by the reporting person was understated by one share. Read SEC document |
| April 12, 2023 Filed Apr 14, 2023 20:14 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 415 | $12.45 | $5,166.75 |
DisclosureSEC source: 0001562180-23-003553 · primarydocument.xml · nonDerivative · entry 1 Follmann Christian · CIK 0001907321 · Chief Operating Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 71,925 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on April 12, 2023. Read SEC document |
| April 11, 2023 Filed Apr 13, 2023 23:40 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 412 | $12.43 | $5,121.16 |
DisclosureSEC source: 0001562180-23-003550 · primarydocument.xml · nonDerivative · entry 1 Follmann Christian · CIK 0001907321 · Chief Operating Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 72,340 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on April 11, 2023. Read SEC document |
| March 09, 2023 Filed Mar 13, 2023 20:15 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 223 | $15.31 | $3,414.13 |
DisclosureSEC source: 0001562180-23-002718 · primarydocument.xml · nonDerivative · entry 1 Follmann Christian · CIK 0001907321 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 72,752 F1 · shares: Shares acquired as dividend reinvestment shares. Read SEC document |
| February 06, 2023 Filed Feb 8, 2023 21:59 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantRestricted Stock Units · Derivative | 8,521 | $0.00 | $0.00 |
DisclosureSEC source: 0001562180-23-001122 · primarydocument.xml · derivative · entry 1 Follmann Christian · CIK 0001907321 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,521 Underlying: Common Stock · 8,521 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. F2 · derivative.exercise_date: The Reporting Person recieved an award of restricted stock units on February 6, 2023 which will vest 100% on February 6, 2030. F2 · derivative.expiration_date: The Reporting Person recieved an award of restricted stock units on February 6, 2023 which will vest 100% on February 6, 2030. Read SEC document |
| January 13, 2023 Filed Jan 17, 2023 22:42 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 493 | $13.65 | $6,729.45 |
DisclosureSEC source: 0001562180-23-000452 · primarydocument.xml · nonDerivative · entry 2 Follmann Christian · CIK 0001907321 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 72,529 F2 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on January 13, 2023. Read SEC document |
| January 12, 2023 Filed Jan 17, 2023 22:42 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 490 | $13.69 | $6,708.10 |
DisclosureSEC source: 0001562180-23-000452 · primarydocument.xml · nonDerivative · entry 1 Follmann Christian · CIK 0001907321 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 73,022 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on January 12, 2023. Read SEC document |
| January 11, 2023 Filed Jan 13, 2023 22:17 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 1,942 | $13.50 | $26,217.00 |
DisclosureSEC source: 0001562180-23-000417 · primarydocument.xml · nonDerivative · entry 2 Follmann Christian · CIK 0001907321 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 73,512 F2 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on January 11, 2023. Read SEC document |
| January 11, 2023 Filed Jan 13, 2023 22:17 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 27,778 | $13.50 | $375,003.00 |
DisclosureSEC source: 0001562180-23-000417 · primarydocument.xml · nonDerivative · entry 1 Follmann Christian · CIK 0001907321 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,454 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.