Thomas J. Fallon - 20 Jun 2024 Form 4 Insider Report for Hercules Capital, Inc. (HTGC)

Role
Director
Signature
/s/ Eileen Bagarella, Attorney-in-Fact for Thomas J. Fallon
Issuer symbol
HTGC
Transactions as of
20 Jun 2024
Net transactions value
+$59,994
Form type
4
Filing time
24 Jun 2024, 17:02:22 UTC
Previous filing
27 Nov 2023
Next filing
08 Aug 2024
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction HTGC Common Stock Award $59,994 +3,030 +60% $19.80 8,096 20 Jun 2024 Direct F1
transaction HTGC Common Stock Disposed to Issuer $0 -149 -1.8% $0.000000 7,947 20 Jun 2024 Direct F2
transaction HTGC Common Stock Award $0 +149 +0.17% $0.000000 85,519 20 Jun 2024 By Trust F2, F3, F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 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 Shares previously reported as directly owned are now being reported as indirectly owned.
F3 Includes 132 and 125 dividend reinvestment shares acquired on March 6, 2024 and May 21, 2024, respectively.
F4 Held by the Fallon Family Revocable Trust