SEC Form 4 · accession 0001209191-15-064896
Hercules Capital, Inc. · HTGC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark R Harris
Officer — Chief Financial Officer
Period of report
Aug 6, 2015
Accepted (ET)
Aug 10, 2015 · 4:23 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 | Aug 6, 2015 | A | 36,430 | $10.98 | A | 36,430 | 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 and subject to forfeiture restrictions of one-third vesting on August 6, 2016 followed by quarterly vesting over the following 24 months.