SEC Form 4 · accession 0001209191-16-090983
Hercules Capital, Inc. · HTGC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Andrew Olson
Officer — Corporate Controller
Period of report
Jan 10, 2016
Accepted (ET)
Jan 12, 2016 · 4:41 pm EST
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 | Jan 10, 2016 | A | 6,000 | $12.01 | A | 9,804 | 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 January 10, 2017 followed by quarterly vesting over the following 24 months.