SEC Form 4/A · accession 0001593968-16-001062
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
Robert P Badavas
Director
Period of report
Sep 15, 2016
Accepted (ET)
Sep 19, 2016 · 7:43 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 | Sep 15, 2016 | A | 0 | $0.00 | A | 139,925 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On September 19, 2016, the reporting person mistakenly filed a Form 4 reporting an acquisition of 3,720 shares of common stock that did not in fact occur. As of September 19, 2016, the reporting person owned 139,925.