SEC Form 4 · accession 0001209191-16-107756
Hercules Capital, Inc. · HTGC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Scott Bluestein
Officer — Chief Investment Officer
Period of report
Mar 9, 2016
Accepted (ET)
Mar 11, 2016 · 2:33 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 | Mar 9, 2016 | F | 232 | $11.11 | D | 247,410 | D | |
| Common StockF2 | Mar 10, 2016 | F | 5,147 | $11.38 | D | 242,263 | 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 March 9, 2016.
- F2Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on March 10, 2016.