SEC Form 4 · accession 0001209191-15-024549
Hercules Capital, Inc. · HTGC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Susanne D Lyons
Director
Period of report
Mar 7, 2015
Accepted (ET)
Mar 10, 2015 · 4:10 pm EDT
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 | Mar 7, 2015 | A | 3,333 | $14.60 | A | 3,333 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F2,F3 | $14.60 | Mar 7, 2015 | A | 10,000 | A | — | Mar 7, 2025 | Common Stock | 10,000 | 10,000 | D |
Explanation of responses
- F1Restricted stock issued as an automatic grant upon election to the board of directors pursuant to the Amended and Restated Non-Employee Director Plan and are subject to forfeiture restrictions whereby one-half vests on 03/07/2016 and the remaining one-half vests on 03/07/2017.
- F2Stock option granted as an automatic grant upon election to the board of directors pursuant to the Amended and Restated Non-Employee Director Plan
- F3This stock option vests as to one-half of the underlying shares on 03/07/2016 and the remaining one-half of the shares vest on 03/07/2017.