Filing Details
- Accession Number:
- 0001562180-24-005252
- Form Type:
- 4/A
- Zero Holdings:
- No
- Publication Time:
- 2024-06-24 17:00:28
- Reporting Period:
- 2024-06-18
- Accepted Time:
- 2024-06-24 17:00:28
- Original Submission Date:
- 2024-06-21
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1280784 | Hercules Capital Inc. | HTGC | () | 4/A |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1207407 | P Robert Badavas | C/O Hercules Capital, Inc. 1 North B Street, Suite 2000 San Mateo CA 94401 | No | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2024-06-18 | 1,700 | $16.34 | 5,934 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2024-06-18 | 1,700 | $19.60 | 4,234 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2024-06-20 | 13,300 | $16.34 | 17,534 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2024-06-20 | 13,300 | $19.69 | 4,234 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (Right to Buy) | Disposition | 2024-06-18 | 1,700 | $0.00 | 1,700 | $16.34 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2024-06-20 | 13,300 | $0.00 | 13,300 | $16.34 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 13,300 | 2024-07-08 | No | 4 | M | Direct | |
| 0 | 2024-07-08 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 107,452 | Indirect | By Trust |
Footnotes
- This transaction was executed in multiple trades at prices ranging from $19.61 USD to $19.815 USD; the price reported above reflects the weighted average sale price.
- This Form 4 is being amended to add the reporting person's indirect holdings.
- Held by the Robert P. Badavas Trust of 2007
- Vested one-third each year starting July 8, 2015.
Billionaire Hedge Funds
