SEC Form 4 · accession 0001437749-19-001788
Hercules Capital, Inc. · HTGC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Manuel A Henriquez
Officer — Chairman & CEO · Director
Period of report
Jan 31, 2019
Accepted (ET)
Feb 4, 2019 · 4:38 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 |
|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F2 | Jan 31, 2019 | A | 570,776 | $13.14 | A | 1,249,994 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of Hercules Capital, Inc. stock.
- F2The restricted stock units vest one-third on January 31, 2020 and the remaining two-thirds vest quarterly in equal amounts over the following two years.