Harder Gerald

SEC source: 0001193125-26-394623 · ownership.xml · nonDerivative · entry 1

Harder Gerald · CIK 0001796523 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 215,955

F1 · kind: Shares withheld to satisfy the reporting person's tax obligations in connection with vesting of restricted shares on September 15, 2026. Transaction exempt from Section 16(b) pursuant to Rule 16b-3

SEC source: 0001193125-26-274518 · ownership.xml · nonDerivative · entry 1

Harder Gerald · CIK 0001796523 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 220,608

F1 · kind: Shares withheld to satisfy the reporting person's tax obligations in connection with vesting of restricted shares on June 15, 2026. Transaction exempt from Section 16(b) pursuant to Rule 16b-3.

F1 · shares: Shares withheld to satisfy the reporting person's tax obligations in connection with vesting of restricted shares on June 15, 2026. Transaction exempt from Section 16(b) pursuant to Rule 16b-3.

SEC source: 0001193125-26-111476 · ownership.xml · nonDerivative · entry 2

Harder Gerald · CIK 0001796523 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 225,262

F2 · shares: Represents the number of shares of Common Stock issued to the reporting person pursuant to a restricted stock award under the 2019 Trinity Capital Inc. Long Term Incentive Plan (the "LTIP") on March 13, 2026. The award vests 25% on March 15, 2027, with the remaining 75% of such shares vesting pro rata over the twelve full calendar quarters immediately following March 15, 2027, subject to the reporting person's continued employment through the applicable vesting date.

F2 · price: Represents the number of shares of Common Stock issued to the reporting person pursuant to a restricted stock award under the 2019 Trinity Capital Inc. Long Term Incentive Plan (the "LTIP") on March 13, 2026. The award vests 25% on March 15, 2027, with the remaining 75% of such shares vesting pro rata over the twelve full calendar quarters immediately following March 15, 2027, subject to the reporting person's continued employment through the applicable vesting date.

SEC source: 0001193125-26-111476 · ownership.xml · nonDerivative · entry 1

Harder Gerald · CIK 0001796523 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 121,240

F1 · kind: Shares withheld to satisfy the reporting person's tax obligations in connection with vesting of restricted shares on March 13, 2026. Transaction exempt from Section 16(b) pursuant to Rule 16b-3.

F1 · shares: Shares withheld to satisfy the reporting person's tax obligations in connection with vesting of restricted shares on March 13, 2026. Transaction exempt from Section 16(b) pursuant to Rule 16b-3.

SEC source: 0001193125-25-322826 · ownership.xml · nonDerivative · entry 1

Harder Gerald · CIK 0001796523 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 291,546

F1 · kind: Shares withheld to satisfy the reporting person's tax obligations in connection with vesting of restricted shares on December 15, 2025. Transaction exempt from Section 16(b) pursuant to Rule 16b-3.

F1 · shares: Shares withheld to satisfy the reporting person's tax obligations in connection with vesting of restricted shares on December 15, 2025. Transaction exempt from Section 16(b) pursuant to Rule 16b-3.

SEC source: 0001213900-25-088737 · ownership.xml · nonDerivative · entry 1

Harder Gerald · CIK 0001796523 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 296,124

F1 · kind: Shares withheld to satisfy the reporting person's tax obligations in connection with vesting of restricted shares on September 15, 2025. Transaction exempt from Section 16(b) pursuant to Rule 16b-3.

F2 · balance_after: Includes shares acquired pursuant to Trinity Capital Inc.'s distribution reinvestment plan.

SEC source: 0001213900-25-055345 · ownership.xml · nonDerivative · entry 1

Harder Gerald · CIK 0001796523 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 300,703

F1 · kind: Shares withheld to satisfy the reporting person's tax obligations in connection with vesting of restricted shares on June 13, 2025. Transaction exempt from Section 16(b) pursuant to Rule 16b-3.

F2 · balance_after: Includes shares acquired pursuant to Trinity Capital Inc.'s distribution reinvestment plan.

SEC source: 0001013762-25-000707 · ownership.xml · derivative · entry 4

Harder Gerald · CIK 0001796523 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common Stock · 300,000 shares

Expires 2035-03-13

F2 · derivative.exercise_date: If at any time on or prior to March 14, 2026 the volume weighted average trading price ("VWAP") per share of Trinity Capital Inc.'s common stock (the "Stock") on any established stock exchange or national market system for ninety (90) consecutive calendar days ending on the last trading day preceding the applicable day is equal to or greater than $23.75, then, provided that Mr. Harder remains in the continuous employment of Trinity Capital Inc. through the applicable vesting date (subject to certain limited exceptions), the stock option will vest as follows: 25% on March 14, 2026 with the remaining 75% vesting pro rata over the twelve full calendar quarters immediately following March 14, 2026. For the avoidance of doubt, both the VWAP condition and the service condition must be satisfied for the stock option to vest in accordance with its terms.

SEC source: 0001013762-25-000707 · ownership.xml · nonDerivative · entry 1

Harder Gerald · CIK 0001796523 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 285,493

F1 · kind: Shares withheld to satisfy the reporting person's tax obligations in connection with vesting of restricted shares on March 14, 2025. Transaction exempt from Section 16(b) pursuant to Rule 16b-3.

SEC source: 0001213900-24-112794 · ownership.xml · nonDerivative · entry 1

Harder Gerald · CIK 0001796523 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 292,892

F1 · kind: Shares issued under the 2019 Trinity Capital Inc. Long Term Incentive Plan, as amended, on December 20, 2024, which shares vest 25% on March 15, 2026, with the remaining 75% of such shares vesting pro rata over the twelve full calendar quarters immediately following March 15, 2026.

F2 · acquired: Amended filing to correct a scrivener's error in the Form 4, filed on December 26, 2024 (the "Original Form 4") reporting the transaction. The Original Form 4 inadvertently reported the transaction as a disposition of shares, and this amended Form 4 corrects the reporting to reflect that the reporting person acquired the shares. All other information in the Original Form 4 remains accurate and unchanged.

SEC source: 0001213900-24-112661 · ownership.xml · nonDerivative · entry 1

Harder Gerald · CIK 0001796523 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 292,892

F1 · kind: Shares issued under the 2019 Trinity Capital Inc. Long Term Incentive Plan, as amended, on December 20, 2024, which shares vest 25% on March 15, 2026, with the remaining 75% of such shares vesting pro rata over the twelve full calendar quarters immediately following March 15, 2026.

SEC source: 0001213900-24-109916 · ownership.xml · nonDerivative · entry 2

Harder Gerald · CIK 0001796523 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 232,202

F1 · kind: Shares withheld to satisfy the reporting person's tax obligations in connection with vesting of restricted shares on December 13, 2024. Transaction exempt from Section 16(b) pursuant to Rule 16b-3.

F2 · balance_after: Includes (1) 59,459 shares issued under the 2019 Trinity Capital Inc. Long Term Incentive Plan (the "LTIP") on March 15, 2024, which shares vest 25% on March 15, 2025, with the remaining 75% of such shares vesting pro rata over the twelve full calendar quarters immediately following March 15, 2025; (2) 57,803 shares issued under the LTIP on March 15, 2023, which shares vested 25% on March 15, 2024, with the remaining 75% of such shares vesting pro rata over the twelve full calendar quarters immediately following March 15, 2024; (3) 57,803 shares issued under the LTIP on March 15, 2022, which shares vested 25% on March 15, 2023, with the remaining 75% of such shares vesting pro rata over the twelve full calendar quarters following March 15, 2023; and (4) 45,509 shares issued under the LTIP on September 15, 2021, which shares began vesting quarterly pro rata over the twelve full calendar quarters immediately following September 15, 2021.

SEC source: 0001213900-24-109916 · ownership.xml · nonDerivative · entry 1

Harder Gerald · CIK 0001796523 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 235,226

F2 · balance_after: Includes (1) 59,459 shares issued under the 2019 Trinity Capital Inc. Long Term Incentive Plan (the "LTIP") on March 15, 2024, which shares vest 25% on March 15, 2025, with the remaining 75% of such shares vesting pro rata over the twelve full calendar quarters immediately following March 15, 2025; (2) 57,803 shares issued under the LTIP on March 15, 2023, which shares vested 25% on March 15, 2024, with the remaining 75% of such shares vesting pro rata over the twelve full calendar quarters immediately following March 15, 2024; (3) 57,803 shares issued under the LTIP on March 15, 2022, which shares vested 25% on March 15, 2023, with the remaining 75% of such shares vesting pro rata over the twelve full calendar quarters following March 15, 2023; and (4) 45,509 shares issued under the LTIP on September 15, 2021, which shares began vesting quarterly pro rata over the twelve full calendar quarters immediately following September 15, 2021.

SEC source: 0001213900-24-079991 · ownership.xml · nonDerivative · entry 1

Harder Gerald · CIK 0001796523 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 237,226

F1 · kind: Shares withheld to satisfy the reporting person's tax obligations in connection with vesting of restricted shares on September 13, 2024. Transaction exempt from Section 16(b) pursuant to Rule 16b-3.

F2 · balance_after: Includes (1) 59,459 shares issued under the 2019 Trinity Capital Inc. Long Term Incentive Plan (the "LTIP") on March 15, 2024, which shares vest 25% on March 15, 2025, with the remaining 75% of such shares vesting pro rata over the twelve full calendar quarters immediately following March 15, 2025; (2) 57,803 shares issued under the LTIP on March 15, 2023, which shares vested 25% on March 15, 2024, with the remaining 75% of such shares vesting pro rata over the twelve full calendar quarters immediately following March 15, 2024; (3) 57,803 shares issued under the LTIP on March 15, 2022, which shares vested 25% on March 15, 2023, with the remaining 75% of such shares vesting pro rata over the twelve full calendar quarters following March 15, 2023; and (4) 45,509 shares issued under the LTIP on September 15, 2021, which shares began vesting quarterly pro rata over the twelve full calendar quarters immediately following September 15, 2021.

SEC source: 0000950170-24-075049 · ownership.xml · nonDerivative · entry 1

Harder Gerald · CIK 0001796523 · Chief Operating Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 241,836

F1 · kind: Shares withheld to satisfy the reporting person's tax obligations in connection with vesting of restricted shares on June 14, 2024. Transaction exempt from Section 16(b) pursuant to Rule 16b-3.

F2 · balance_after: Includes (1) 59,459 shares issued under the 2019 Trinity Capital Inc. Long Term Incentive Plan (the "LTIP") on March 15, 2024, which shares vest 25% on March 15, 2025, with the remaining 75% ofsuch shares vesting pro rata over the twelve full calendar quarters immediately following March 15, 2025; (2) 57,803 shares issued under the LTIP on March 15, 2023, which shares vested 25% on March15, 2024, with the remaining 75% of such shares vesting pro rata over the twelve full calendar quarters immediately following March 15, 2024; (3) 57,803 shares issued under the LTIP on March 15,2022, which shares vested 25% on March 15, 2023, with the remaining 75% of such shares vesting pro rata over the twelve full calendar quarters following March 15, 2023; and (4) 45,509 shares issuedunder the LTIP on September 15, 2021, which shares began vesting quarterly pro rata over the twelve full calendar quarters immediately following September 15, 2021.

SEC source: 0000950170-24-033836 · ownership.xml · nonDerivative · entry 2

Harder Gerald · CIK 0001796523 · Chief Operating Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 246,445

F2 · balance_after: Includes (1) 59,459 shares issued under the 2019 Trinity Capital Inc. Long Term Incentive Plan (the "LTIP") on March 15, 2024, which shares vest 25% on March 15, 2025, with the remaining 75% of such shares vesting pro rata over the twelve full calendar quarters immediately following March 15, 2025; (2) 57,803 shares issued under the LTIP on March 15, 2023, which shares vested 25% on March 15, 2024, with the remaining 75% of such shares vesting pro rata over the twelve full calendar quarters immediately following March 15, 2024; (3) 57,803 shares issued under the LTIP on March 15, 2022, which shares vested 25% on March 15, 2023, with the remaining 75% of such shares vesting pro rata over the twelve full calendar quarters following March 15, 2023; and (4) 45,509 shares issued under the LTIP on September 15, 2021, which shares began vesting quarterly pro rata over the twelve full calendar quarters immediately following September 15, 2021.

SEC source: 0000950170-24-033836 · ownership.xml · nonDerivative · entry 1

Harder Gerald · CIK 0001796523 · Chief Operating Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 186,986

F1 · kind: Shares withheld to satisfy the reporting person's tax obligations in connection with vesting of restricted shares on March 15, 2024. Transaction exempt from Section 16(b) pursuant to Rule 16b-3.

F2 · balance_after: Includes (1) 59,459 shares issued under the 2019 Trinity Capital Inc. Long Term Incentive Plan (the "LTIP") on March 15, 2024, which shares vest 25% on March 15, 2025, with the remaining 75% of such shares vesting pro rata over the twelve full calendar quarters immediately following March 15, 2025; (2) 57,803 shares issued under the LTIP on March 15, 2023, which shares vested 25% on March 15, 2024, with the remaining 75% of such shares vesting pro rata over the twelve full calendar quarters immediately following March 15, 2024; (3) 57,803 shares issued under the LTIP on March 15, 2022, which shares vested 25% on March 15, 2023, with the remaining 75% of such shares vesting pro rata over the twelve full calendar quarters following March 15, 2023; and (4) 45,509 shares issued under the LTIP on September 15, 2021, which shares began vesting quarterly pro rata over the twelve full calendar quarters immediately following September 15, 2021.

SEC source: 0001209191-23-059082 · doc4.xml · nonDerivative · entry 1

Harder Gerald · CIK 0001796523 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 192,853

F1 · kind: Shares withheld to satisfy the reporting person's tax obligations in connection with vesting of restricted shares on December 15, 2023. Transaction exempt from Section 16(b) pursuant to Rule 16b-3.

F2 · balance_after: Includes (1) 43,352 restricted shares issued under the 2019 Trinity Capital Inc. Long Term Incentive Plan, which shares began quarterly vesting pro rata over the twelve full calendar quarters immediately following March 15, 2023; (2) 45,509 restricted shares issued under the 2019 Trinity Capital Inc. Long Term Incentive Plan, which shares began quarterly vesting pro rata over the twelve full calendar quarters immediately following September 15, 2021; and (3) 57,803 Restricted shares issued under the 2019 Trinity Capital Inc. Long Term Incentive Plan. 25% of such restricted shares shall vest on March 15, 2024, and the remaining 75% of such shares shall vest pro rata over the twelve full calendar quarters immediately following March 15, 2024.

SEC source: 0001209191-23-049980 · doc4.xml · nonDerivative · entry 1

Harder Gerald · CIK 0001796523 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 195,950

F1 · kind: Shares withheld to satisfy the reporting person's tax obligations in connection with vesting of restricted shares on September 15, 2023. Transaction exempt from Section 16(b) pursuant to Rule 16b-3.

F2 · balance_after: Includes (1) 43,352 restricted shares issued under the 2019 Trinity Capital Inc. Long Term Incentive Plan, which shares began quarterly vesting pro rata over the twelve full calendar quarters immediately following March 15, 2023; (2) 45,509 restricted shares issued under the 2019 Trinity Capital Inc. Long Term Incentive Plan, which shares began quarterly vesting pro rata over the twelve full calendar quarters immediately following September 15, 2021; and (3) 57,803 Restricted shares issued under the 2019 Trinity Capital Inc. Long Term Incentive Plan. 25% of such restricted shares shall vest on March 15, 2024, and the remaining 75% of such shares shall vest pro rata over the twelve full calendar quarters immediately following March 15, 2024.

SEC source: 0001213900-23-020997 · ownership.xml · nonDerivative · entry 2

Harder Gerald · CIK 0001796523 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 197,938

F3 · kind: Restricted shares issued under the 2019 Trinity Capital Inc. Long Term Incentive Plan. 25% of such restricted shares shall vest on March 15, 2024, and the remaining 75% of such shares shall vest pro rata over the twelve full calendar quarters immediately following March 15, 2024.

F2 · balance_after: Includes (1) 43,352 restricted shares issued under the 2019 Trinity Capital Inc. Long Term Incentive Plan, which shares began quarterly vesting pro rata over the twelve full calendar quarters immediately following March 15, 2023; and (2) 45,509 restricted shares issued under the 2019 Trinity Capital Inc. Long Term Incentive Plan, which shares began quarterly vesting pro rata over the twelve full calendar quarters immediately following September 15, 2021.

SEC source: 0001213900-23-020997 · ownership.xml · nonDerivative · entry 1

Harder Gerald · CIK 0001796523 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 140,135

F1 · kind: Shares withheld to satisfy the reporting person's tax obligations in connection with vesting of restricted shares on March 15, 2023. Transaction exempt from Section 16(b) pursuant to Rule 16b-3.

F2 · balance_after: Includes (1) 43,352 restricted shares issued under the 2019 Trinity Capital Inc. Long Term Incentive Plan, which shares began quarterly vesting pro rata over the twelve full calendar quarters immediately following March 15, 2023; and (2) 45,509 restricted shares issued under the 2019 Trinity Capital Inc. Long Term Incentive Plan, which shares began quarterly vesting pro rata over the twelve full calendar quarters immediately following September 15, 2021.

SEC source: 0001213900-23-011155 · ownership.xml · nonDerivative · entry 1

Harder Gerald · CIK 0001796523 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By the Harder Family Living Trust, dated May 26, 2000

Disclosed balance after: 10,000

SEC source: 0001213900-22-079267 · ownership.xml · nonDerivative · entry 1

Harder Gerald · CIK 0001796523 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By the Harder Family Living Trust, dated May 26, 2000

Disclosed balance after: 11,000

F1 · price: The price reported in Column 4 is a weighted-average price, rounded to the nearest hundredth. These shares were purchased in multiple transactions at prices ranging from $10.40 to $10.76 per share, inclusive. The reporting person undertakes to provide upon request by the staff of the Securities and Exchange Commission, Trinity Capital Inc. (the "Company"), or a security holder of the Company full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

SEC source: 0001213900-22-027011 · ownership.xml · nonDerivative · entry 1

Harder Gerald · CIK 0001796523 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By the Harder Family Living Trust, dated May 26, 2000

Disclosed balance after: 1,000

SEC source: 0001213900-22-013330 · ownership.xml · nonDerivative · entry 1

Harder Gerald · CIK 0001796523 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 145,052

F1 · kind: Restricted shares issued under the 2019 Trinity Capital Inc. Long Term Incentive Plan. 25% of such restricted shares shall vest on March 15, 2023, and the remaining 75% of such shares shall vest pro rata over the twelve full calendar quarters immediately following March 15, 2023.

F2 · balance_after: Includes 45,509 restricted shares issued under the 2019 Trinity Capital Inc. Long Term Incentive Plan, which shares began quarterly vesting pro rata over the twelve full calendar quarters immediately following the award date of September 15, 2021.

SEC source: 0001213900-21-048678 · ownership.xml · nonDerivative · entry 1

Harder Gerald · CIK 0001796523 · SVP- CCO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,249

F1 · kind: Restricted shares issued under the 2019 Trinity Capital Inc. Long Term Incentive Plan.

F2 · kind: Such restricted shares shall vest pro rata over the twelve full calendar quarters immediately following the award date of September 15, 2021.

SEC source: 0001213900-21-046485 · ownership.xml · nonDerivative · entry 1

Harder Gerald · CIK 0001796523 · Senior Vice President - CCO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,740

F1 · kind: This transaction involved a gift of securities by the reporting person to his son. The reporting person disclaims beneficial ownership of the shares held by his son, and this report should not be deemed an admission that the reporting person is the beneficial owner of his son's shares for purposes of Section 16 or for any other purpose.