SEC Form 4/A · accession 0001209191-15-076422
Hercules Capital, Inc. · HTGC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Manuel A Henriquez
Officer — President & CEO · Director
Period of report
Oct 9, 2015
Accepted (ET)
Oct 22, 2015 · 2:37 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 | 2,526 | $10.68 | D | 1,878,363 | D | |
| Common Stock | Oct 10, 2015 | F | 17,009 | $10.68 | D | 1,861,354 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Due to an administrative error, the number of shares withheld by the Company in connection with Mr. Henriquez' October 15, 2015 restricted stock vesting was over-stated by 2,046 shares.