Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Hercules Capital, Inc.HTGC · Entity 4164 | Director | March 26, 2026 | March 30, 2026 |
| PLIANT THERAPEUTICS, INC.PLRX · Entity 7022 | Director | June 11, 2026 | June 12, 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 March 26, 2026 · Filed March 30, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 97,589 |
Reported balance
After 2026-03-26 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2026-03-26 · Purchase · Acquired 7,317 · Balance 97,589 F1: Shares purchased based on reporting person's election to receive stock in lieu of cash compensation fee otherwise due to reporting person as a director of the Issuer. F2: Average purchase price. Shares purchased at prices between $14.31 and $14.39. F3: The number of shares includes shares acquired pursuant to the Hercules Capital, Inc. dividend reinvestment plan, exempt under Rule 16a-11. |
Filing footnotes · ownership attribution and instrument terms
F1: Shares purchased based on reporting person's election to receive stock in lieu of cash compensation fee otherwise due to reporting person as a director of the Issuer.
F2: Average purchase price. Shares purchased at prices between $14.31 and $14.39.
F3: The number of shares includes shares acquired pursuant to the Hercules Capital, Inc. dividend reinvestment plan, exempt under Rule 16a-11.
PLIANT THERAPEUTICS, INC.
Report date June 11, 2026 · Filed June 12, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.14 · Expires 2036-06-11 | Direct | 70,000 |
Reported balance
After 2026-06-11 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-06-11 · Grant · Acquired 70,000 · Balance 70,000 F1: 25% of the shares subject to such option vest and become exercisable on October 1, 2026, January 1, 2027, and April 1, 2027, respectively, and the remaining 25% of the shares subject to such option vest and become exercisable on the earlier of (i) the one-year anniversary of the June 11, 2026 grant date or (ii) the next annual meeting of stockholders, subject to the Reporting Person's continued service to the Issuer as a Director through each such date or, if earlier, such annual meeting. |
Filing footnotes · ownership attribution and instrument terms
F1: 25% of the shares subject to such option vest and become exercisable on October 1, 2026, January 1, 2027, and April 1, 2027, respectively, and the remaining 25% of the shares subject to such option vest and become exercisable on the earlier of (i) the one-year anniversary of the June 11, 2026 grant date or (ii) the next annual meeting of stockholders, subject to the Reporting Person's continued service to the Issuer as a Director through each such date or, if earlier, such annual meeting.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
ENVESTNET, INC.
Report date November 25, 2024 · Filed November 25, 2024
Section 16 reporting ended · disclosed 2024-11-25. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2024-11-25 transaction · row 1
1 source rowRow 1 · 2024-11-25 · Disposition to issuer · Disposed 17,075 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated July 11, 2024, by and among the Issuer, BCPE Pequod Merger Sub, Inc. ("Merger Sub") and BCPE Pequod Buyer, Inc. ("Parent"), Merger Sub merged with and into the Issuer (the "Merger") with the Issuer surviving the Merger as a wholly owned subsidiary of Parent, and at the time of the Merger (the "Effective Time") each issued and outstanding share of the Issuer's Common Stock, par value $0.005 per share (the "Common Stock") owned by the reporting person was cancelled and converted into the right to receive $63.15 per share in cash without interest (the "Per Share Price"). F2: Includes restricted share units not subject to performance-based requirements ("RSUs"). Pursuant to the Merger Agreement, each RSU was, at the Effective Time, cancelled and converted into a right to receive (i) to the extent vested as of immediately prior to the Effective Time, a cash payment equal to (a) the Per Share Price multiplied by (b) the total number of shares of Common Stock subject to such RSU as of immediately prior to the Effective Time, and (ii) to the extent unvested as of immediately prior to the Effective Time, an amount in cash equal to the (x) the Per Share Price, multiplied by (y) the total number of shares of Common Stock subject to such RSU as of immediately prior to the Effective Time. |
| Common StockSEC Table I · non-derivative | IndirectBy trust | 0 |
Reported balance
After 2024-11-25 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2024-11-25 · Disposition to issuer · Disposed 3,852 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated July 11, 2024, by and among the Issuer, BCPE Pequod Merger Sub, Inc. ("Merger Sub") and BCPE Pequod Buyer, Inc. ("Parent"), Merger Sub merged with and into the Issuer (the "Merger") with the Issuer surviving the Merger as a wholly owned subsidiary of Parent, and at the time of the Merger (the "Effective Time") each issued and outstanding share of the Issuer's Common Stock, par value $0.005 per share (the "Common Stock") owned by the reporting person was cancelled and converted into the right to receive $63.15 per share in cash without interest (the "Per Share Price"). F3: The shares were held directly by a trust of which the reporting person is a trustee. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2024-11-25 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2024-11-25 · Disposition to issuer · Disposed 1,745 · Balance 0 F4: This stock option was cancelled in the Merger and converted into the right to receive an amount in cash equal to the product of (x) the excess, if any, of the Per Share Price over the exercise price per share Common Stock subject to such stock option as of the Effective Time, multiplied by (y) the total number of shares of Common Stock subject to such stock option immediately prior to the Effective Time. |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated July 11, 2024, by and among the Issuer, BCPE Pequod Merger Sub, Inc. ("Merger Sub") and BCPE Pequod Buyer, Inc. ("Parent"), Merger Sub merged with and into the Issuer (the "Merger") with the Issuer surviving the Merger as a wholly owned subsidiary of Parent, and at the time of the Merger (the "Effective Time") each issued and outstanding share of the Issuer's Common Stock, par value $0.005 per share (the "Common Stock") owned by the reporting person was cancelled and converted into the right to receive $63.15 per share in cash without interest (the "Per Share Price").
F2: Includes restricted share units not subject to performance-based requirements ("RSUs"). Pursuant to the Merger Agreement, each RSU was, at the Effective Time, cancelled and converted into a right to receive (i) to the extent vested as of immediately prior to the Effective Time, a cash payment equal to (a) the Per Share Price multiplied by (b) the total number of shares of Common Stock subject to such RSU as of immediately prior to the Effective Time, and (ii) to the extent unvested as of immediately prior to the Effective Time, an amount in cash equal to the (x) the Per Share Price, multiplied by (y) the total number of shares of Common Stock subject to such RSU as of immediately prior to the Effective Time.
F3: The shares were held directly by a trust of which the reporting person is a trustee.
F4: This stock option was cancelled in the Merger and converted into the right to receive an amount in cash equal to the product of (x) the excess, if any, of the Per Share Price over the exercise price per share Common Stock subject to such stock option as of the Effective Time, multiplied by (y) the total number of shares of Common Stock subject to such stock option immediately prior to the Effective Time.
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 |
|---|---|---|---|---|---|---|
| June 11, 2026 Filed Jun 12, 2026 17:01 UTC | PLIANT THERAPEUTICS, INC. PLRX · Entity 7022 | GrantStock Option (Right to Buy) · Derivative | 70,000 | $0.00 Strike: $1.14 | $0.00 |
DisclosureSEC source: 0001746473-26-000104 · wk-form4_1781298082.xml · derivative · entry 1 CROWELL GAYLE A · CIK 0001250893 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 70,000 Underlying: Common Stock · 70,000 shares Expires 2036-06-11 F1 · derivative.exercise_date: 25% of the shares subject to such option vest and become exercisable on October 1, 2026, January 1, 2027, and April 1, 2027, respectively, and the remaining 25% of the shares subject to such option vest and become exercisable on the earlier of (i) the one-year anniversary of the June 11, 2026 grant date or (ii) the next annual meeting of stockholders, subject to the Reporting Person's continued service to the Issuer as a Director through each such date or, if earlier, such annual meeting. Read SEC document |
| March 26, 2026 Filed Mar 30, 2026 19:38 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | PurchaseCommon Stock | 7,317 | $14.35 | $104,998.95 |
DisclosureSEC source: 0001250893-26-000002 · primarydocument.xml · nonDerivative · entry 1 CROWELL GAYLE A · CIK 0001250893 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 97,589 F1 · shares: Shares purchased based on reporting person's election to receive stock in lieu of cash compensation fee otherwise due to reporting person as a director of the Issuer. F2 · price: Average purchase price. Shares purchased at prices between $14.31 and $14.39. F3 · balance_after: The number of shares includes shares acquired pursuant to the Hercules Capital, Inc. dividend reinvestment plan, exempt under Rule 16a-11. Read SEC document |
| February 23, 2026 Filed Feb 25, 2026 13:59 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | PurchaseCommon Stock | 6,600 | $15.20 | $100,320.00 |
DisclosureSEC source: 0001250893-26-000001 · primarydocument.xml · nonDerivative · entry 1 CROWELL GAYLE A · CIK 0001250893 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 87,458 F1 · balance_after: The number of shares includes shares acquired pursuant to the Hercules Capital, Inc. dividend reinvestment plan, exempt under Rule 16a-11. Read SEC document |
| November 03, 2025 Filed Nov 4, 2025 22:32 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | PurchaseCommon Stock | 6,000 | $17.77 | $106,647.00 |
DisclosureSEC source: 0001250893-25-000007 · primarydocument.xml · nonDerivative · entry 1 CROWELL GAYLE A · CIK 0001250893 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 78,727 F1 · balance_after: Includes 1,638 and 1,745 dividend reinvestment shares acquired on May 20, 2025 and August 19, 2025, respectively. Read SEC document |
| June 05, 2025 Filed Jun 9, 2025 20:42 UTC | PLIANT THERAPEUTICS, INC. PLRX · Entity 7022 | GrantCommon Stock (Right to Buy) · Derivative | 30,000 | $0.00 Strike: $1.61 | $0.00 |
DisclosureSEC source: 0001746473-25-000124 · wk-form4_1749516160.xml · derivative · entry 1 CROWELL GAYLE A · CIK 0001250893 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 shares Expires 2035-06-05 F1 · derivative.exercise_date: 25% of the shares subject to such option vest and become exercisable on October 1, 2025, January 1, 2026, and April 1, 2026, respectively, and the remaining 25% of the shares subject to such option vest and become exercisable on the earlier of (i) the one-year anniversary of the June 5, 2025 grant date or (ii) the next annual meeting of stockholders, subject to the Reporting Person's continued service to the Issuer as a Director through each such date or, if earlier, such annual meeting. Read SEC document |
| May 08, 2025 Filed May 9, 2025 20:21 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | PurchaseCommon Stock | 5,999 | $17.49 | $104,922.51 |
DisclosureSEC source: 0001562180-25-003692 · primarydocument.xml · nonDerivative · entry 1 CROWELL GAYLE A · CIK 0001250893 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 69,344 F1 · shares: Shares purchased based on reporting person's election to receive stock in lieu of cash compensation fee otherwise due to reporting person as a director of the Issuer. F2 · price: Average purchase price. Shares purchased at prices between $17.38 and $17.58. F3 · balance_after: Includes 1,360, 1,343 and 1,276 dividend reinvestment shares acquired on August 20, 2024, November 20, 2024 and March 5, 2025, respectively. Read SEC document |
| November 25, 2024 Filed Nov 25, 2024 16:05 UTC | ENVESTNET, INC. ENV · Entity 85670 | Disposition to issuerStock Option (right to buy) · Derivative | 1,745 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001213900-24-102152 · ownership.xml · derivative · entry 3 CROWELL GAYLE A · CIK 0001250893 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,745 shares Expires not disclosed F4 · derivative.exercise_price: This stock option was cancelled in the Merger and converted into the right to receive an amount in cash equal to the product of (x) the excess, if any, of the Per Share Price over the exercise price per share Common Stock subject to such stock option as of the Effective Time, multiplied by (y) the total number of shares of Common Stock subject to such stock option immediately prior to the Effective Time. F4 · kind: This stock option was cancelled in the Merger and converted into the right to receive an amount in cash equal to the product of (x) the excess, if any, of the Per Share Price over the exercise price per share Common Stock subject to such stock option as of the Effective Time, multiplied by (y) the total number of shares of Common Stock subject to such stock option immediately prior to the Effective Time. F4 · price: This stock option was cancelled in the Merger and converted into the right to receive an amount in cash equal to the product of (x) the excess, if any, of the Per Share Price over the exercise price per share Common Stock subject to such stock option as of the Effective Time, multiplied by (y) the total number of shares of Common Stock subject to such stock option immediately prior to the Effective Time. F4 · derivative.exercise_date: This stock option was cancelled in the Merger and converted into the right to receive an amount in cash equal to the product of (x) the excess, if any, of the Per Share Price over the exercise price per share Common Stock subject to such stock option as of the Effective Time, multiplied by (y) the total number of shares of Common Stock subject to such stock option immediately prior to the Effective Time. F4 · derivative.expiration_date: This stock option was cancelled in the Merger and converted into the right to receive an amount in cash equal to the product of (x) the excess, if any, of the Per Share Price over the exercise price per share Common Stock subject to such stock option as of the Effective Time, multiplied by (y) the total number of shares of Common Stock subject to such stock option immediately prior to the Effective Time. Read SEC document |
| November 25, 2024 Filed Nov 25, 2024 16:05 UTC | ENVESTNET, INC. ENV · Entity 85670 | Disposition to issuerCommon Stock | 3,852 | $63.15 | $243,253.80 |
DisclosureSEC source: 0001213900-24-102152 · ownership.xml · nonDerivative · entry 2 CROWELL GAYLE A · CIK 0001250893 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By trust Disclosed balance after: 0 F1 · kind: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated July 11, 2024, by and among the Issuer, BCPE Pequod Merger Sub, Inc. ("Merger Sub") and BCPE Pequod Buyer, Inc. ("Parent"), Merger Sub merged with and into the Issuer (the "Merger") with the Issuer surviving the Merger as a wholly owned subsidiary of Parent, and at the time of the Merger (the "Effective Time") each issued and outstanding share of the Issuer's Common Stock, par value $0.005 per share (the "Common Stock") owned by the reporting person was cancelled and converted into the right to receive $63.15 per share in cash without interest (the "Per Share Price"). F1 · acquired: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated July 11, 2024, by and among the Issuer, BCPE Pequod Merger Sub, Inc. ("Merger Sub") and BCPE Pequod Buyer, Inc. ("Parent"), Merger Sub merged with and into the Issuer (the "Merger") with the Issuer surviving the Merger as a wholly owned subsidiary of Parent, and at the time of the Merger (the "Effective Time") each issued and outstanding share of the Issuer's Common Stock, par value $0.005 per share (the "Common Stock") owned by the reporting person was cancelled and converted into the right to receive $63.15 per share in cash without interest (the "Per Share Price"). F3 · ownership.nature: The shares were held directly by a trust of which the reporting person is a trustee. Read SEC document |
| November 25, 2024 Filed Nov 25, 2024 16:05 UTC | ENVESTNET, INC. ENV · Entity 85670 | Disposition to issuerCommon Stock | 17,075 | $63.15 | $1,078,286.25 |
DisclosureSEC source: 0001213900-24-102152 · ownership.xml · nonDerivative · entry 1 CROWELL GAYLE A · CIK 0001250893 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 F1 · kind: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated July 11, 2024, by and among the Issuer, BCPE Pequod Merger Sub, Inc. ("Merger Sub") and BCPE Pequod Buyer, Inc. ("Parent"), Merger Sub merged with and into the Issuer (the "Merger") with the Issuer surviving the Merger as a wholly owned subsidiary of Parent, and at the time of the Merger (the "Effective Time") each issued and outstanding share of the Issuer's Common Stock, par value $0.005 per share (the "Common Stock") owned by the reporting person was cancelled and converted into the right to receive $63.15 per share in cash without interest (the "Per Share Price"). F2 · shares: Includes restricted share units not subject to performance-based requirements ("RSUs"). Pursuant to the Merger Agreement, each RSU was, at the Effective Time, cancelled and converted into a right to receive (i) to the extent vested as of immediately prior to the Effective Time, a cash payment equal to (a) the Per Share Price multiplied by (b) the total number of shares of Common Stock subject to such RSU as of immediately prior to the Effective Time, and (ii) to the extent unvested as of immediately prior to the Effective Time, an amount in cash equal to the (x) the Per Share Price, multiplied by (y) the total number of shares of Common Stock subject to such RSU as of immediately prior to the Effective Time. F1 · acquired: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated July 11, 2024, by and among the Issuer, BCPE Pequod Merger Sub, Inc. ("Merger Sub") and BCPE Pequod Buyer, Inc. ("Parent"), Merger Sub merged with and into the Issuer (the "Merger") with the Issuer surviving the Merger as a wholly owned subsidiary of Parent, and at the time of the Merger (the "Effective Time") each issued and outstanding share of the Issuer's Common Stock, par value $0.005 per share (the "Common Stock") owned by the reporting person was cancelled and converted into the right to receive $63.15 per share in cash without interest (the "Per Share Price"). Read SEC document |
| August 06, 2024 Filed Aug 8, 2024 22:49 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | PurchaseCommon Stock | 5,790 | $18.06 | $104,592.30 |
DisclosureSEC source: 0001562180-24-006120 · primarydocument.xml · nonDerivative · entry 1 CROWELL GAYLE A · CIK 0001250893 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 59,366 F1 · shares: Shares purchased based on reporting person's election to receive stock in lieu of cash compensation fee otherwise due to reporting person as a director of the Issuer. F2 · price: Average purchase price. Shares purchased at prices between $18.0400 and $18.0900. Read SEC document |
| June 25, 2024 Filed Jun 26, 2024 20:57 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | PurchaseCommon Stock | 701.6 | $20.05 | $14,067.01 |
DisclosureSEC source: 0001562180-24-005317 · primarydocument.xml · nonDerivative · entry 1 CROWELL GAYLE A · CIK 0001250893 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 53,576 F1 · price: Average purchase price. Shares purchased at prices between $20.0498 and $20.0500. Read SEC document |
| June 20, 2024 Filed Jun 24, 2024 21:02 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 3,030 | $19.80 | $59,994.00 |
DisclosureSEC source: 0001562180-24-005254 · primarydocument.xml · nonDerivative · entry 1 CROWELL GAYLE A · CIK 0001250893 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 52,874 F1 · shares: Restricted Stock issued as an automatic grant upon re-election to the board of directors pursuant to the 2018 Non-Employee Director Plan and subject to forfeiture restrictions. One-third vests on the anniversary of the grant over three years. F2 · balance_after: Includes 1,068 and 1,036 dividend reinvestment shares acquired on March 6, 2024 and May 21, 2024, respectively. Read SEC document |
| June 13, 2024 Filed Jun 17, 2024 20:15 UTC | PLIANT THERAPEUTICS, INC. PLRX · Entity 7022 | GrantCommon Stock (Right to Buy) · Derivative | 26,764 | $0.00 Strike: $13.06 | $0.00 |
DisclosureSEC source: 0001746473-24-000102 · wk-form4_1718669724.xml · derivative · entry 1 CROWELL GAYLE A · CIK 0001250893 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 26,764 Underlying: Common Stock · 26,764 shares Expires 2034-06-13 F1 · derivative.exercise_date: 25% of the shares subject to such option vest and become exercisable on the first day of each calendar quarter for three calendar quarters following the June 13th, 2024 grant date and the remaining 25% of the shares subject to such option vest and become exercisable on the earlier of (i) the one-year anniversary of the June 13, 2024 grant date or (ii) the next annual meeting of stockholders, subject to the Reporting Person's continued service to the Issuer as a Director through each such date or, if earlier, such annual meeting. Read SEC document |
| February 29, 2024 Filed Mar 4, 2024 16:05 UTC | ENVESTNET, INC. ENV · Entity 85670 | GrantCommon Stock | 3,987 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-24-008494 · wk-form4_1709586251.xml · nonDerivative · entry 1 CROWELL GAYLE A · CIK 0001250893 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 17,075 F1 · kind: Represents restricted stock units that vest on the first anniversary of the date of the grant. These restricted stock units convert into common stock on a one-for-one basis. Read SEC document |
| November 22, 2023 Filed Nov 28, 2023 01:06 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 1,051 | $15.72 | $16,521.72 |
DisclosureSEC source: 0001562180-23-007954 · primarydocument.xml · nonDerivative · entry 2 CROWELL GAYLE A · CIK 0001250893 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 47,740 F2 · shares: Shares acquired as dividend reinvestment shares. Read SEC document |
| November 22, 2023 Filed Nov 28, 2023 01:06 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 149 | $15.87 | $2,364.63 |
DisclosureSEC source: 0001562180-23-007954 · primarydocument.xml · nonDerivative · entry 1 CROWELL GAYLE A · CIK 0001250893 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 46,689 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| September 08, 2023 Filed Sep 11, 2023 21:15 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 5,656 | $15.90 | $89,930.40 |
DisclosureSEC source: 0001562180-23-006815 · primarydocument.xml · nonDerivative · entry 1 CROWELL GAYLE A · CIK 0001250893 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 46,540 F1 · shares: Shares purchased based on reporting person's election to receive stock in lieu of cash compensation fee otherwise due to reporting person as a director of the Issuer. Read SEC document |
| August 25, 2023 Filed Aug 28, 2023 21:04 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 812 | $16.44 | $13,349.28 |
DisclosureSEC source: 0001562180-23-006585 · primarydocument.xml · nonDerivative · entry 2 CROWELL GAYLE A · CIK 0001250893 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 40,884 F2 · 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 | 144 | $16.41 | $2,363.04 |
DisclosureSEC source: 0001562180-23-006585 · primarydocument.xml · nonDerivative · entry 1 CROWELL GAYLE A · CIK 0001250893 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 40,072 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| June 07, 2023 Filed Jun 8, 2023 17:11 UTC | PLIANT THERAPEUTICS, INC. PLRX · Entity 7022 | GrantStock Option (Right to Buy) · Derivative | 14,000 | $0.00 Strike: $23.09 | $0.00 |
DisclosureSEC source: 0001209191-23-035520 · doc4.xml · derivative · entry 1 CROWELL GAYLE A · CIK 0001250893 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 14,000 Underlying: Common Stock · 14,000 shares Expires 2033-06-07 F1 · derivative.exercise_date: 25% of the shares subject to such option vest and become exercisable on the first day of each calendar quarter for three calendar quarters following the June 7th, 2023 grant date and the remaining 25% of the shares subject to such option vest and become exercisable on the earlier of (i) the one-year anniversary of the June 7th, 2023 grant date, or (ii) the 2024 Annual Meeting of Stockholders, subject to the Reporting Person's continued service to the Issuer as a Director through each such date or, if earlier, such annual meeting. Read SEC document |
| May 23, 2023 Filed May 25, 2023 20:18 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 865 | $13.87 | $11,997.55 |
DisclosureSEC source: 0001562180-23-004484 · primarydocument.xml · nonDerivative · entry 2 CROWELL GAYLE A · CIK 0001250893 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 39,928 F2 · shares: Shares acquired as dividend reinvestment shares. Read SEC document |
| May 23, 2023 Filed May 25, 2023 20:18 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 218 | $13.09 | $2,853.62 |
DisclosureSEC source: 0001562180-23-004484 · primarydocument.xml · nonDerivative · entry 1 CROWELL GAYLE A · CIK 0001250893 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 39,063 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| May 08, 2023 Filed May 9, 2023 20:17 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | PurchaseCommon Stock | 7,200 | $13.66 | $98,352.00 |
DisclosureSEC source: 0001562180-23-004004 · primarydocument.xml · nonDerivative · entry 1 CROWELL GAYLE A · CIK 0001250893 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 38,845 Read SEC document |
| March 09, 2023 Filed Mar 13, 2023 20:14 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 755 | $15.33 | $11,574.15 |
DisclosureSEC source: 0001562180-23-002715 · primarydocument.xml · nonDerivative · entry 2 CROWELL GAYLE A · CIK 0001250893 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,645 F2 · shares: Shares acquired as dividend reinvestment shares. Read SEC document |
| March 09, 2023 Filed Mar 13, 2023 20:14 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 187 | $15.32 | $2,864.84 |
DisclosureSEC source: 0001562180-23-002715 · primarydocument.xml · nonDerivative · entry 1 CROWELL GAYLE A · CIK 0001250893 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,890 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| February 28, 2023 Filed Mar 2, 2023 18:49 UTC | ENVESTNET, INC. ENV · Entity 85670 | GrantCommon Stock | 3,208 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-23-006124 · wf-form4_167780096421823.xml · nonDerivative · entry 1 CROWELL GAYLE A · CIK 0001250893 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,088 F1 · kind: Represents restricted stock units that vest on the first anniversary of the date of the grant. These restricted stock units convert into common stock on a one-for-one basis. Read SEC document |
| November 17, 2022 Filed Nov 21, 2022 21:07 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 839 | $14.32 | $12,014.48 |
DisclosureSEC source: 0001562180-22-007794 · primarydocument.xml · nonDerivative · entry 2 CROWELL GAYLE A · CIK 0001250893 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,703 F2 · shares: Shares acquired as dividend reinvestment shares. F3 · 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 |
| November 17, 2022 Filed Nov 21, 2022 21:07 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 220 | $14.06 | $3,093.20 |
DisclosureSEC source: 0001562180-22-007794 · primarydocument.xml · nonDerivative · entry 1 CROWELL GAYLE A · CIK 0001250893 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,863 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| August 16, 2022 Filed Aug 18, 2022 20:03 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 718 | $15.76 | $11,315.68 |
DisclosureSEC source: 0001562180-22-006210 · primarydocument.xml · nonDerivative · entry 2 CROWELL GAYLE A · CIK 0001250893 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,643 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| August 16, 2022 Filed Aug 18, 2022 20:03 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 201 | $15.13 | $3,041.13 |
DisclosureSEC source: 0001562180-22-006210 · primarydocument.xml · nonDerivative · entry 1 CROWELL GAYLE A · CIK 0001250893 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,925 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| August 01, 2022 Filed Aug 1, 2022 20:42 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 4,339 | $16.13 | $69,995.88 |
DisclosureSEC source: 0001562180-22-005780 · primarydocument.xml · nonDerivative · entry 1 CROWELL GAYLE A · CIK 0001250893 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,724 F1 · shares: Shares purchased based on reporting person's election to receive stock in lieu of cash compensation fee otherwise due to reporting person as a director of the Issuer. Read SEC document |
| June 16, 2022 Filed Jun 21, 2022 16:16 UTC | PLIANT THERAPEUTICS, INC. PLRX · Entity 7022 | GrantStock Option (right to buy) · Derivative | 15,000 | $0.00 Strike: $6.80 | $0.00 |
DisclosureSEC source: 0001567619-22-013192 · doc1.xml · derivative · entry 1 CROWELL GAYLE A · CIK 0001250893 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2032-06-15 F1 · derivative.exercise_date: 25% of the shares subject to such option vest and become exercisable on the first day of each calendar quarter for three calendar quarters beginning October 1st and the remaining 25% of the shares subject to such option vest and become exercisable on the earlier of (i) the one-year anniversary of June 16, 2022 or (ii) the next annual meeting of the stockholders, subject to the Reporting Person's continued service to the Issuer as a director through each such date or, if earlier, such annual meeting. Read SEC document |
| May 24, 2022 Filed May 26, 2022 21:25 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 799 | $13.82 | $11,042.18 |
DisclosureSEC source: 0001562180-22-004456 · primarydocument.xml · nonDerivative · entry 1 CROWELL GAYLE A · CIK 0001250893 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,385 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| March 16, 2022 Filed Mar 18, 2022 20:07 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 643 | $17.17 | $11,040.31 |
DisclosureSEC source: 0001562180-22-002793 · primarydocument.xml · nonDerivative · entry 1 CROWELL GAYLE A · CIK 0001250893 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,586 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. 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 |
| February 28, 2022 Filed Mar 2, 2022 20:47 UTC | ENVESTNET, INC. ENV · Entity 85670 | GrantCommon Stock | 2,352 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-22-004773 · wf-form4_164627204331641.xml · nonDerivative · entry 1 CROWELL GAYLE A · CIK 0001250893 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,880 F1 · kind: Represents restricted stock units that vest on the first anniversary of the date of the grant. These restricted stock units convert into common stock on a one-for-one basis. Read SEC document |
| November 17, 2021 Filed Nov 19, 2021 21:54 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 521 | $17.33 | $9,028.93 |
DisclosureSEC source: 0001562180-21-007184 · primarydocument.xml · nonDerivative · entry 1 CROWELL GAYLE A · CIK 0001250893 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,942 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| August 18, 2021 Filed Aug 19, 2021 20:49 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 498 | $16.98 | $8,456.04 |
DisclosureSEC source: 0001562180-21-005455 · primarydocument.xml · nonDerivative · entry 1 CROWELL GAYLE A · CIK 0001250893 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,421 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| August 02, 2021 Filed Aug 2, 2021 21:44 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 4,013 | $17.44 | $69,986.72 |
DisclosureSEC source: 0001562180-21-005104 · primarydocument.xml · nonDerivative · entry 1 CROWELL GAYLE A · CIK 0001250893 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,923 F1 · shares: Shares issued based on reporting person's election to receive stock in lieu of cash compensation fee otherwise due to reporting person as a director of the Issuer. Read SEC document |
| June 29, 2021 Filed Jun 30, 2021 20:10 UTC | PLIANT THERAPEUTICS, INC. PLRX · Entity 7022 | GrantStock Option (right to buy) · Derivative | 13,286 | $0.00 Strike: $28.20 | $0.00 |
DisclosureSEC source: 0001209191-21-044170 · doc4.xml · derivative · entry 1 CROWELL GAYLE A · CIK 0001250893 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,286 Underlying: Common Stock · 13,286 shares Expires 2031-06-28 F1 · derivative.exercise_date: 25% of the shares subject to such option vest and become exercisable on the first day of each calendar quarter following June 29, 2021 for three calendar quarters and the remaining 25% of the shares subject to such option vest and become exercisable on the earlier of (i) the one-year anniversary of June 29, 2021 or (ii) the next annual meeting of the stockholders, subject to the Reporting Person's continued service to the Issuer as a director through each such date or, if earlier, such annual meeting. Read SEC document |
| June 24, 2021 Filed Jun 28, 2021 20:03 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 3,472 | $17.28 | $59,996.16 |
DisclosureSEC source: 0001562180-21-004513 · primarydocument.xml · nonDerivative · entry 1 CROWELL GAYLE A · CIK 0001250893 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,910 F1 · shares: Restricted Stock issued as an automatic grant upon re-election to the board of directors pursuant to the 2018 Non-Employee Director Plan and subject to forfeiture restrictions. One-third vests on the anniversary of the grant over three years. Read SEC document |
| May 19, 2021 Filed May 21, 2021 21:21 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 329 | $15.98 | $5,257.42 |
DisclosureSEC source: 0001437749-21-013067 · rdgdoc.xml · nonDerivative · entry 1 CROWELL GAYLE A · CIK 0001250893 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,438 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| May 03, 2021 Filed May 3, 2021 20:51 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | PurchaseCommon Stock | 377 | $17.50 | $6,597.50 |
DisclosureSEC source: 0001437749-21-010635 · rdgdoc.xml · nonDerivative · entry 1 CROWELL GAYLE A · CIK 0001250893 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,109 Read SEC document |
| March 15, 2021 Filed Mar 16, 2021 20:24 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 124 | $16.60 | $2,058.40 |
DisclosureSEC source: 0001437749-21-006175 · rdgdoc.xml · nonDerivative · entry 1 CROWELL GAYLE A · CIK 0001250893 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,732 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| March 11, 2021 Filed Mar 15, 2021 18:23 UTC | ENVESTNET, INC. ENV · Entity 85670 | GrantCommon Stock | 2,605 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-21-004778 · wf-form4_161584702074810.xml · nonDerivative · entry 1 CROWELL GAYLE A · CIK 0001250893 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,528 F1 · kind: Represents restricted stock units that vest on the first anniversary of the date of the grant. These restricted stock units convert into common stock on a one-for-one basis. Read SEC document |
| November 16, 2020 Filed Nov 18, 2020 22:07 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 154 | $11.49 | $1,769.46 |
DisclosureSEC source: 0001437749-20-024167 · rdgdoc.xml · nonDerivative · entry 1 CROWELL GAYLE A · CIK 0001250893 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,608 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| November 06, 2020 Filed Nov 10, 2020 21:17 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 4,379 | $11.40 | $49,920.60 |
DisclosureSEC source: 0001437749-20-023379 · rdgdoc.xml · nonDerivative · entry 1 CROWELL GAYLE A · CIK 0001250893 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,454 F1 · shares: Shares issued based on reporting person's election to receive stock in lieu of cash compensation fee otherwise due to reporting person as a director of the Issuer. Read SEC document |
| August 17, 2020 Filed Aug 19, 2020 21:05 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 178 | $11.93 | $2,123.54 |
DisclosureSEC source: 0001437749-20-018359 · rdgdoc.xml · nonDerivative · entry 1 CROWELL GAYLE A · CIK 0001250893 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,074 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| May 21, 2020 Filed May 26, 2020 20:10 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 205 | $10.33 | $2,117.65 |
DisclosureSEC source: 0001437749-20-011732 · rdgdoc.xml · nonDerivative · entry 1 CROWELL GAYLE A · CIK 0001250893 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,896 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| March 09, 2020 Filed Mar 11, 2020 20:06 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 188 | $14.08 | $2,647.04 |
DisclosureSEC source: 0001437749-20-004799 · rdgdoc.xml · nonDerivative · entry 1 CROWELL GAYLE A · CIK 0001250893 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,691 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| February 28, 2020 Filed Mar 3, 2020 18:48 UTC | ENVESTNET, INC. ENV · Entity 85670 | GrantCommon Stock | 2,371 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-20-002845 · wf-form4_158327932226901.xml · nonDerivative · entry 1 CROWELL GAYLE A · CIK 0001250893 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,923 F1 · kind: Represents restricted stock units that vest on the first anniversary of the date of the grant. These restricted stock units convert into common stock on a one-for-one basis. 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.