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Hercules Capital, Inc. — Director's Dealing 2021
May 21, 2021
31278_dirs_2021-05-21_1b6734e1-5bd4-4990-8cb9-335dd53ba3f2.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Hercules Capital, Inc. (HTGC)
CIK: 0001280784
Period of Report: 2021-05-19
Reporting Person: Bluestein Scott (Chief Executive Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-05-19 | Restricted Stock Units | A | 4638 | $16.95 | Acquired | 203966 | Direct |
| 2021-05-19 | Restricted Stock Units | F | 70 | $16.95 | Disposed | 203896 | Direct |
| 2021-05-19 | Restricted Stock Units | D | 1264 | $16.95 | Disposed | 202632 | Direct |
| 2021-05-19 | Common Stock | A | 1264 | $16.95 | Acquired | 924661 | Direct |
| 2021-05-19 | Common Stock | F | 561 | $16.95 | Disposed | 924100 | Direct |
Footnotes
F1: Represents dividend equivalent shares received on May 19, 2021.
F2: Represents dividend equivalent shares withheld to pay taxes applicable to the vesting of deferred dividend equivalent shares on May 19, 2021.
F3: Represents released dividend equivalent shares converted to Hercules Capital, Inc. common stock on May 19, 2021.
F4: Represents Hercules, Inc. common stock received from vested dividend equivalent shares on May 19, 2021.
F5: Represents Hercules, Inc. common stock withheld to pay taxes applicable to the vesting of dividend equivalent shares on May 19, 2021.