SEC Form 4 · accession 0001209191-15-075235
Hercules Capital, Inc. · HTGC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Manuel A Henriquez
Officer — President & CEO · Director
Period of report
Oct 9, 2015
Accepted (ET)
Oct 13, 2015 · 4:15 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 | Oct 9, 2015 | F | 3,099 | $10.68 | D | 1,877,790 | D | |
| Common StockF2 | Oct 10, 2015 | F | 20,570 | $10.68 | D | 1,857,220 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on October 9, 2015.
- F2Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on October 10, 2015.