SEC Form 5 · accession 0001209191-15-013324
Hercules Capital, Inc. · HTGC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas J Fallon
Director
Period of report
Dec 31, 2014
Accepted (ET)
Feb 13, 2015 · 1:51 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001280784
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Dec 31, 2014 | A | 132 | — | A | 3,465 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares acquired through the Hercules Technology Growth Capital, Inc. Dividend Reinvestment Plan.