SEC Form 4 · accession 0001437749-19-000752
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
Jan 9, 2019
Accepted (ET)
Jan 11, 2019 · 5:15 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 9, 2019 | F | 9,014 | $12.03 | D | 273,451 | D | |
| Common StockF2 | Jan 10, 2019 | F | 3,013 | $12.14 | D | 270,438 | 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 January 9, 2019.
- F2Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on January 10, 2019.