SEC Form 4 · accession 0001593968-16-001145
Hercules Capital, Inc. · HTGC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Doreen Woo Ho
Director
Period of report
Oct 21, 2016
Accepted (ET)
Oct 25, 2016 · 1:08 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 | Oct 21, 2016 | A | 3,333 | $13.61 | A | 3,333 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option (right to buy)F2,F3 | $13.61 | Oct 21, 2016 | A | 10,000 | A | Oct 21, 2017 | Oct 21, 2026 | Common | 10,000 | 10,000 | D |
Explanation of responses
- F1Restricted Stock issued as an automatic grant upon election to the board of directors pursuant to the Amended and Restated Non-Employee Incentive Plan and subject to forfeiture restrictions. One-half vests on 10/21/2017 and the remaining one-half vests on 10/21/2018.
- F2Stock option granted as an automatic grant upon election to the board of directors pursuant to the Amended and Restated Non-Employee Incentive Plan.
- F3Stock option vests as to one-half of he underlying shares on 10/21/2017 and the remaining one-half vests on 10/21/2018.