SEC Form 4 · accession 0001209191-15-060296
Hercules Capital, Inc. · HTGC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Allyn C Woodward Jr.
Director
Period of report
Jul 7, 2015
Accepted (ET)
Jul 9, 2015 · 5:00 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 | Jul 7, 2015 | A | 5,000 | $11.44 | A | 232,116 | 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 | $11.44 | Jul 7, 2015 | A | 15,000 | A | — | Jul 7, 2025 | Common Stock $0.001 | 15,000 | 25,000 | D |
Explanation of responses
- F1Restricted shares issued as an automatic grant upon re-election to the board of directors pursuant to the Amended and Restated Non-Employee Director Plan and are subject to forfeiture restrictions of one-third vests on 07/07/2016, one-third vests on 07/07/2017 and the remaining one-third vests on 07/07/2018.
- F2Stock option granted as an automatic grant upon re-election to the board of directors pursuant to the Amended and Restated Non-Employee Director Plan
- F3Stock option vests as to one-third of the underlying shares on 07/07/2016, one-third on 07/07/2017 and the remaining one-third vests on 07/07/2018.