SEC Form 4 · accession 0001593968-17-000151
Hercules Capital, Inc. · HTGC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark R Harris
Officer — Chief Financial Officer
Period of report
Jan 24, 2017
Accepted (ET)
Jan 26, 2017 · 4:11 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 24, 2017 | A | 42,224 | $0.00 | A | 42,224 | 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 24, 2018 and the remaining two-thirds vest quarterly in equal amounts over the following two years. Vested shares will be delivered to reporting person as soon as reasonably practicable on the earlier of (a) January 24, 2021 and (b) the date (i) reporting person separates from service from Issuer, (ii) dies or becomes disabled or (iii) there is a change in control of the Issuer.