SEC Form 4 · accession 0001209191-15-025625
Hercules Capital, Inc. · HTGC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Scott Bluestein
Officer — Chief Investment Officer
Period of report
Mar 10, 2015
Accepted (ET)
Mar 12, 2015 · 4:19 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 10, 2015 | A | 47,804 | $14.02 | A | 190,191 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Restricted stock issued as a grant pursuant to the Amended and Restated Equity Incentive Plan vesting as to one-third of the shares on the one year anniversary of the grant date and vests as to the remaining shares in equal amounts on a quarterly basis over the two years following the initial vesting date.