Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Hercules Capital, Inc.HTGC · Entity 4164 | Interim Chief Financial Off | October 31, 2017 | November 07, 2017 |
| Trinity Capital Inc.TRIN · Entity 4639 | CFO, EVP - Finance & Treasurer | December 15, 2023 | December 19, 2023 |
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 31, 2017 · Filed November 07, 2017
This filing explicitly reported no securities owned.
Trinity Capital Inc.
Report date December 15, 2023 · Filed December 19, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 98,646 |
Reported balance
After 2023-12-15 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2023-12-15 · Tax withholding · Disposed 6,591 · Balance 98,646 F1: 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: Includes (1) 57,803 restricted shares issued under the 2019 Trinity Capital Inc. Long Term Incentive Plan. Such restricted shares began vesting pro rata over the eight full calendar quarters immediately following the award date of March 15, 2022; and (2) 48,560 restricted shares issued under the 2019 Trinity Capital Inc. Long Term Incentive Plan. Such restricted shares shall begin vesting pro rata over the eight full calendar quarters immediately following the award date of March 15, 2023. |
| TRINSEC Table I · non-derivative | IndirectBy the David M Lund Rev Liv TR U/A DTD 1114-13 | 6,200 |
Reported balance
Holding disclosure · report date 2023-12-15 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 6,200 |
Filing footnotes · ownership attribution and instrument terms
F1: 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: Includes (1) 57,803 restricted shares issued under the 2019 Trinity Capital Inc. Long Term Incentive Plan. Such restricted shares began vesting pro rata over the eight full calendar quarters immediately following the award date of March 15, 2022; and (2) 48,560 restricted shares issued under the 2019 Trinity Capital Inc. Long Term Incentive Plan. Such restricted shares shall begin vesting pro rata over the eight full calendar quarters immediately following the award date of March 15, 2023.
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 |
|---|---|---|---|---|---|---|
| December 15, 2023 Filed Dec 19, 2023 12:53 UTC | Trinity Capital Inc. TRIN · Entity 4639 | Tax withholdingCommon Stock | 6,591 | $15.22 | $100,315.02 |
DisclosureSEC source: 0001209191-23-059084 · doc4.xml · nonDerivative · entry 1 Lund David Michael · CIK 0001336274 · CFO, EVP - Finance & Treasurer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 98,646 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) 57,803 restricted shares issued under the 2019 Trinity Capital Inc. Long Term Incentive Plan. Such restricted shares began vesting pro rata over the eight full calendar quarters immediately following the award date of March 15, 2022; and (2) 48,560 restricted shares issued under the 2019 Trinity Capital Inc. Long Term Incentive Plan. Such restricted shares shall begin vesting pro rata over the eight full calendar quarters immediately following the award date of March 15, 2023. Read SEC document |
| September 15, 2023 Filed Sep 19, 2023 16:51 UTC | Trinity Capital Inc. TRIN · Entity 4639 | Tax withholdingCommon Stock | 6,198 | $14.78 | $91,606.44 |
DisclosureSEC source: 0001209191-23-049983 · doc4.xml · nonDerivative · entry 1 Lund David Michael · CIK 0001336274 · CFO, EVP - Finance & Treasurer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 105,237 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) 57,803 restricted shares issued under the 2019 Trinity Capital Inc. Long Term Incentive Plan. Such restricted shares began vesting pro rata over the eight full calendar quarters immediately following the award date of March 15, 2022; and (2) 48,560 restricted shares issued under the 2019 Trinity Capital Inc. Long Term Incentive Plan. Such restricted shares shall begin vesting pro rata over the eight full calendar quarters immediately following the award date of March 15, 2023. Read SEC document |
| March 15, 2023 Filed Mar 17, 2023 16:08 UTC | Trinity Capital Inc. TRIN · Entity 4639 | GrantCommon Stock | 48,560 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-23-020995 · ownership.xml · nonDerivative · entry 2 Lund David Michael · CIK 0001336274 · CFO, EVP - Finance & Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 111,435 F3 · kind: Restricted shares issued under the 2019 Trinity Capital Inc. Long Term Incentive Plan. Such restricted shares shall begin vesting pro rata over the eight full calendar quarters immediately following the award date of March 15, 2023. F2 · balance_after: Includes 57,803 restricted shares issued under the 2019 Trinity Capital Inc. Long Term Incentive Plan. Such restricted shares began vesting pro rata over the eight full calendar quarters immediately following the award date of March 15, 2022. Read SEC document |
| March 15, 2023 Filed Mar 17, 2023 16:08 UTC | Trinity Capital Inc. TRIN · Entity 4639 | Tax withholdingCommon Stock | 2,498 | $12.85 | $32,099.30 |
DisclosureSEC source: 0001213900-23-020995 · ownership.xml · nonDerivative · entry 1 Lund David Michael · CIK 0001336274 · CFO, EVP - Finance & Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,875 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 57,803 restricted shares issued under the 2019 Trinity Capital Inc. Long Term Incentive Plan. Such restricted shares began vesting pro rata over the eight full calendar quarters immediately following the award date of March 15, 2022. Read SEC document |
| December 15, 2022 Filed Feb 14, 2023 15:46 UTC | Trinity Capital Inc. TRIN · Entity 4639 | Tax withholdingCommon Stock | 3,582 | $10.68 | $38,255.76 |
DisclosureSEC source: 0001213900-23-011448 · ownership.xml · nonDerivative · entry 3 Lund David Michael · CIK 0001336274 · CFO, EVP - Finance & Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,373 F1 · balance_after: Includes 57,803 restricted shares issued under the 2019 Trinity Capital Inc. Long Term Incentive Plan. Such restricted shares shall vest pro rata over the eight full calendar quarters immediately following the award date of March 15, 2022. Read SEC document |
| December 09, 2022 Filed Dec 13, 2022 14:10 UTC | Trinity Capital Inc. TRIN · Entity 4639 | PurchaseCommon Stock | 2,700 | $10.48 | $28,296.00 |
DisclosureSEC source: 0001213900-22-079448 · ownership.xml · nonDerivative · entry 1 Lund David Michael · CIK 0001336274 · CFO, EVP - Finance & Treasurer 10b5-1 filing: Not disclosed Ownership: Indirect · By the David M Lund Rev Liv TR U/A DTD 11-14-13 Disclosed balance after: 6,200 Read SEC document |
| December 09, 2022 Filed Dec 13, 2022 06:01 UTC | Trinity Capital Inc. TRIN · Entity 4639 | PurchaseCommon Stock | 900 | $10.57 | $9,513.00 |
DisclosureSEC source: 0001213900-22-079270 · ownership.xml · nonDerivative · entry 1 Lund David Michael · CIK 0001336274 · CFO, EVP - Finance & Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,153 F1 · balance_after: Includes 57,803 restricted shares issued under the 2019 Trinity Capital Inc. Long Term Incentive Plan. Such restricted shares shall vest pro rata over the eight full calendar quarters immediately following the award date of March 15, 2022. Read SEC document |
| September 15, 2022 Filed Feb 14, 2023 15:46 UTC | Trinity Capital Inc. TRIN · Entity 4639 | Tax withholdingCommon Stock | 3,582 | $14.96 | $53,586.72 |
DisclosureSEC source: 0001213900-23-011448 · ownership.xml · nonDerivative · entry 2 Lund David Michael · CIK 0001336274 · CFO, EVP - Finance & Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,373 F1 · balance_after: Includes 57,803 restricted shares issued under the 2019 Trinity Capital Inc. Long Term Incentive Plan. Such restricted shares shall vest pro rata over the eight full calendar quarters immediately following the award date of March 15, 2022. Read SEC document |
| June 15, 2022 Filed Feb 14, 2023 15:46 UTC | Trinity Capital Inc. TRIN · Entity 4639 | Tax withholdingCommon Stock | 2,816 | $14.77 | $41,592.32 |
DisclosureSEC source: 0001213900-23-011448 · ownership.xml · nonDerivative · entry 1 Lund David Michael · CIK 0001336274 · CFO, EVP - Finance & Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,373 F1 · balance_after: Includes 57,803 restricted shares issued under the 2019 Trinity Capital Inc. Long Term Incentive Plan. Such restricted shares shall vest pro rata over the eight full calendar quarters immediately following the award date of March 15, 2022. Read SEC document |
| May 12, 2022 Filed May 16, 2022 15:18 UTC | Trinity Capital Inc. TRIN · Entity 4639 | PurchaseCommon Stock | 3,200 | $15.29 | $48,928.00 |
DisclosureSEC source: 0001213900-22-027007 · ownership.xml · nonDerivative · entry 1 Lund David Michael · CIK 0001336274 · CFO, EVP - Finance & Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,253 F1 · balance_after: Includes 57,803 restricted shares issued under the 2019 Trinity Capital Inc. Long Term Incentive Plan. Such restricted shares shall vest pro rata over the eight full calendar quarters immediately following the award date of March 15, 2022. Read SEC document |
| March 15, 2022 Filed Mar 17, 2022 19:04 UTC | Trinity Capital Inc. TRIN · Entity 4639 | GrantCommon Stock | 57,803 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-22-013332 · ownership.xml · nonDerivative · entry 1 Lund David Michael · CIK 0001336274 · CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,053 F1 · kind: Restricted shares issued under the 2019 Trinity Capital Inc. Long Term Incentive Plan. Such restricted shares shall vest pro rata over the eight full calendar quarters immediately following the award date of March 15, 2022. Read SEC document |
| August 23, 2021 Filed Aug 25, 2021 16:05 UTC | Trinity Capital Inc. TRIN · Entity 4639 | PurchaseCommon Stock | 3,500 | $14.99 | $52,465.00 |
DisclosureSEC source: 0001213900-21-044786 · ownership.xml · nonDerivative · entry 1 Lund David Michael · CIK 0001336274 · CFO, EVP - Finance & Treasurer 10b5-1 filing: Not disclosed Ownership: Indirect · By the David M Lund Rev Liv TR U/A DTD 11-14-13 Disclosed balance after: 3,500 F1 · price: The price reported in Column 4 is a weighted average price, rounded to the nearest hundredth. These shares were bought in multiple transactions at prices ranging from $14.9742 to $15.0000. The reporting person undertakes to provide Trinity Capital Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased as each separate price within the ranges set forth in this footnote Read SEC document |
| January 29, 2021 Filed Feb 2, 2021 21:55 UTC | Trinity Capital Inc. TRIN · Entity 4639 | PurchaseCommon Stock | 7,250 | $14.00 | $101,500.00 |
DisclosureSEC source: 0001104659-21-011178 · tm215162d5_form4.xml · nonDerivative · entry 1 Lund David Michael · CIK 0001336274 · See Remarks (*) 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,250 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.