Accession Number: | 0001437749-20-016510 |
Date: | 2020-07-31 |
Issuer: | HERCULES CAPITAL, INC. (HTGC) |
Original Submission Date: |
BLUESTEIN SCOTT
C/O HERCULES CAPITAL, INC.
31 ST. JAMES AVENUE, SUITE 790
BOSTON, MA 02116
Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature of Indirect Ownership |
---|---|---|---|---|---|---|---|---|---|
RESTRICTED STOCK UNITS | 2020-07-31 | D | 25,568 | d | $11.04 | 433,887 | direct | ||
COMMON STOCK | 2020-07-31 | A | 25,568 | a | $11.04 | 688,402 | direct | ||
COMMON STOCK | 2020-07-31 | F | 11,340 | d | $11.04 | 677,062 | direct |
Title of Derivative Security | Conversion or Exercise Price of Derivative Security | Transaction Date | Deemed Execution Date | Transaction Code | Number of Derivative Securities Acquired (A) or Disposed of (D) | Date Exercisable | Expiration Date | Title and Amount of Securities Underlying Derivative Security | Price of Derivative Security | Number of derivative Securities Beneficially Owned Following Reported Transaction(s) | Ownership Form: Direct (D) or Indirect (I) | Nature of Indirect Beneficial Ownership |
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ID | footnote |
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f1 | represents vested restricted stock units and dividend equivalent shares converted to hercules capital, inc. common stock on july 31, 2020. |
f2 | represents hercules, inc. common stock received from vested restricted stock units and dividend equivalent shares on july 31, 2020. |
f3 | represents hercules, inc. common stock withheld to pay taxes applicable to the vesting of restricted stock units and dividend equivalent shares on july 31, 2020. |