SEC Form 5 · accession 0001593968-17-000108
Hercules Capital, Inc. · HTGC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas J Fallon
Director
Period of report
Dec 31, 2016
Accepted (ET)
Jan 20, 2017 · 3:32 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 31, 2016 | A | 337 | $0.00 | A | 27,745 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan.