Accession Number: | 0001562180-22-005784 |
Date: | 2022-08-01 |
Issuer: | HERCULES CAPITAL, INC. (HTGC) |
Original Submission Date: |
FALLON THOMAS J
C/O HERCULES CAPITAL, INC.
400 HAMILTON AVENUE SUITE 310
PALO ALTO, CA 94301
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 |
---|---|---|---|---|---|---|---|---|---|
COMMON STOCK | 2022-08-01 | D | 230 | d | $0.00 | 7,231 | direct | ||
COMMON STOCK | 2022-08-01 | A | 4,339 | a | $16.13 | 11,570 | direct | ||
COMMON STOCK | 2022-08-01 | A | 230 | a | $0.00 | 61,834 | indirect | f3 |
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 | 230 shares previously reported as directly owned are now being reported as indirectly owned. |
f2 | shares purchased based on reporting person's election to receive stock in lieu of cash compensation fee otherwise due to reporting person as a director of the issuer. |
f3 | held by the fallon family revocable trust |