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 |
|---|---|---|---|---|---|---|
| November 17, 2022 Filed Nov 21, 2022 21:07 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 254 | $14.09 | $3,578.86 |
DisclosureSEC source: 0001562180-22-007793 · primarydocument.xml · nonDerivative · entry 1 Follmann Christian · CIK 0001907321 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,676 F1 · shares: Shares acquired as dividend reinvestment shares. Read SEC document |
| October 13, 2022 Filed Oct 14, 2022 20:07 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 418 | $12.66 | $5,291.88 |
DisclosureSEC source: 0001562180-22-007191 · primarydocument.xml · nonDerivative · entry 2 Follmann Christian · CIK 0001907321 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,422 F2 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on October 13, 2022. Read SEC document |
| October 12, 2022 Filed Oct 14, 2022 20:07 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 415 | $12.10 | $5,021.50 |
DisclosureSEC source: 0001562180-22-007191 · primarydocument.xml · nonDerivative · entry 1 Follmann Christian · CIK 0001907321 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,840 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on October 12, 2022. Read SEC document |
| August 16, 2022 Filed Aug 18, 2022 20:03 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 218 | $15.62 | $3,405.16 |
DisclosureSEC source: 0001562180-22-006209 · primarydocument.xml · nonDerivative · entry 1 Follmann Christian · CIK 0001907321 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,255 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| July 13, 2022 Filed Jul 14, 2022 23:41 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 418 | $13.78 | $5,760.04 |
DisclosureSEC source: 0001562180-22-005672 · primarydocument.xml · nonDerivative · entry 2 Follmann Christian · CIK 0001907321 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,037 F3 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on July 13, 2022. Read SEC document |
| July 12, 2022 Filed Jul 14, 2022 23:41 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 415 | $13.77 | $5,714.55 |
DisclosureSEC source: 0001562180-22-005672 · primarydocument.xml · nonDerivative · entry 1 Follmann Christian · CIK 0001907321 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,455 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on July 12, 2022. F2 · balance_after: Due to administrative rounding, the number of shares of common stock beneficially owned by the reporting person was understated by 1 share. Read SEC document |
| May 26, 2022 Filed May 26, 2022 21:27 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | PurchaseCommon Stock | 420 | $14.24 | $5,980.80 |
DisclosureSEC source: 0001562180-22-004460 · primarydocument.xml · nonDerivative · entry 3 Follmann Christian · CIK 0001907321 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,869 Read SEC document |
| May 26, 2022 Filed May 26, 2022 21:27 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | SaleCommon Stock | 420 | $14.23 | $5,976.60 |
DisclosureSEC source: 0001562180-22-004460 · primarydocument.xml · nonDerivative · entry 2 Follmann Christian · CIK 0001907321 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,449 Read SEC document |
| May 24, 2022 Filed May 26, 2022 21:27 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 213 | $13.89 | $2,958.57 |
DisclosureSEC source: 0001562180-22-004460 · primarydocument.xml · nonDerivative · entry 1 Follmann Christian · CIK 0001907321 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,869 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| April 24, 2022 Filed Apr 26, 2022 21:45 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 144 | $17.96 | $2,586.24 |
DisclosureSEC source: 0001562180-22-003541 · primarydocument.xml · nonDerivative · entry 3 Follmann Christian · CIK 0001907321 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,656 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 24, 2022. Read SEC document |
| April 24, 2022 Filed Apr 26, 2022 21:45 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 415 | $17.96 | $7,453.40 |
DisclosureSEC source: 0001562180-22-003541 · primarydocument.xml · nonDerivative · entry 2 Follmann Christian · CIK 0001907321 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,800 F2 · shares: Represents Hercules, Inc. common stock received from vested restricted stock units and dividend equivalent shares on April 24, 2022. Read SEC document |
| April 24, 2022 Filed Apr 26, 2022 21:45 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Disposition to issuerRestricted Stock Units | 415 | $17.96 | $7,453.40 |
DisclosureSEC source: 0001562180-22-003541 · primarydocument.xml · nonDerivative · entry 1 Follmann Christian · CIK 0001907321 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · shares: Represents released restricted stock units and dividend equivalent shares converted to Hercules Capital, Inc. common stock on April 24, 2022. Read SEC document |
| April 13, 2022 Filed Apr 14, 2022 22:43 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 418 | $18.54 | $7,749.72 |
DisclosureSEC source: 0001562180-22-003407 · primarydocument.xml · nonDerivative · entry 2 Follmann Christian · CIK 0001907321 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,385 F2 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on April 13, 2022. Read SEC document |
| April 12, 2022 Filed Apr 14, 2022 22:43 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 415 | $18.30 | $7,594.50 |
DisclosureSEC source: 0001562180-22-003407 · primarydocument.xml · nonDerivative · entry 1 Follmann Christian · CIK 0001907321 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,803 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on April 12, 2022. Read SEC document |
| March 16, 2022 Filed Mar 18, 2022 20:08 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 167 | $17.17 | $2,867.39 |
DisclosureSEC source: 0001562180-22-002797 · primarydocument.xml · nonDerivative · entry 5 Follmann Christian · CIK 0001907321 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,218 F5 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| March 16, 2022 Filed Mar 18, 2022 20:08 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 4 | $17.12 | $68.48 |
DisclosureSEC source: 0001562180-22-002797 · primarydocument.xml · nonDerivative · entry 4 Follmann Christian · CIK 0001907321 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,051 F4 · shares: Represents Hercules, Inc. common stock withheld to pay taxes applicable to the vesting of dividend equivalent shares on March 16, 2022. Read SEC document |
| March 16, 2022 Filed Mar 18, 2022 20:08 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 10 | $17.12 | $171.20 |
DisclosureSEC source: 0001562180-22-002797 · primarydocument.xml · nonDerivative · entry 3 Follmann Christian · CIK 0001907321 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,055 F3 · shares: Represents Hercules, Inc. common stock received from vested dividend equivalent shares on March 16, 2022. Read SEC document |
| March 16, 2022 Filed Mar 18, 2022 20:08 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Disposition to issuerRestricted Stock Units | 10 | $17.12 | $171.20 |
DisclosureSEC source: 0001562180-22-002797 · primarydocument.xml · nonDerivative · entry 2 Follmann Christian · CIK 0001907321 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 415 F2 · shares: Represents released dividend equivalent shares converted to Hercules Capital, Inc. common stock on March 16, 2022. Read SEC document |
| March 16, 2022 Filed Mar 18, 2022 20:08 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantRestricted Stock Units | 12 | $17.12 | $205.44 |
DisclosureSEC source: 0001562180-22-002797 · primarydocument.xml · nonDerivative · entry 1 Follmann Christian · CIK 0001907321 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 425 F1 · shares: Represents dividend equivalent shares received on March 16, 2022. 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.