SEC Form 4 · accession 0001593968-16-001276
Hercules Capital, Inc. · HTGC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Manuel A Henriquez
Officer — President & CEO · Director
Period of report
Dec 4, 2016
Accepted (ET)
Dec 6, 2016 · 3:37 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 | Dec 4, 2016 | F | 6,079 | $13.55 | D | 2,016,774 | 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 December 4, 2016.