Hercules Capital, Inc. — Insider Transactions
Form 4 filings by directors, officers, and 10%+ shareholders
SEC rules require corporate insiders — including directors, executive officers, and any shareholder owning more than 10% of a company's shares — to report changes in their ownership within two business days of a transaction. These disclosures are filed as Form 4. Open-market purchases (code P) are generally considered the most meaningful signal, as insiders are spending their own money.
| Insider | Title | Type | Shares | Price | Value | Owns After | Date |
|---|---|---|---|---|---|---|---|
| Olson Andrew | Corporate Controller | Award / Grant | 6,000 | $12.01 | $72,060 | 9,804 | Jan 10, 2016 |
| Henriquez Manuel A | President & CEO | Award / Grant | 333,500 | $12.01 | $4,005,335 | 2,159,450 | Jan 10, 2016 |
| Harris Mark R | Chief Financial Officer | Award / Grant | 33,000 | $12.01 | $396,330 | 69,430 | Jan 10, 2016 |
| Grace Melanie | General Counsel & CCO | Award / Grant | 9,400 | $12.01 | $112,894 | 19,400 | Jan 10, 2016 |
| Bluestein Scott | Chief Investment Officer | Award / Grant | 104,000 | $12.01 | $1,249,040 | 251,826 | Jan 10, 2016 |
| Henriquez Manuel A | President & CEO | Tax Withholding | 2,235 | $12.01 | $26,842 | 1,839,092 | Jan 10, 2016 |
| Bluestein Scott | Chief Investment Officer | Tax Withholding | 276 | $12.01 | $3,315 | 149,009 | Jan 10, 2016 |
| WOODWARD ALLYN C JR | — | Award / Grant | 4,875 | — | — | 241,513 | Dec 31, 2015 |
| Fallon Thomas J | — | Award / Grant | 522 | — | — | 23,509 | Dec 31, 2015 |
| BADAVAS ROBERT P | — | Award / Grant | 424 | — | — | 136,115 | Dec 31, 2015 |
| WOODWARD ALLYN C JR | — | Award / Grant | 2,050 | $12.19 | $24,990 | 236,638 | Dec 31, 2015 |
| Lyons Susanne D | — | Award / Grant | 2,050 | $12.19 | $24,990 | 7,855 | Dec 31, 2015 |
| Hoffman Joseph F | — | Award / Grant | 2,050 | $12.19 | $24,990 | 7,855 | Dec 31, 2015 |
| FERGUSON RODNEY A | — | Award / Grant | 2,050 | $12.19 | $24,990 | 7,855 | Dec 31, 2015 |
| Fallon Thomas J | — | Award / Grant | 2,050 | $12.19 | $24,990 | 22,987 | Dec 31, 2015 |
| BADAVAS ROBERT P | — | Award / Grant | 2,050 | $12.19 | $24,990 | 135,691 | Dec 31, 2015 |
| Henriquez Manuel A | President & CEO | Purchase | 1,000 | $10.99 | $10,990 | 1,841,327 | Dec 14, 2015 |
| Bluestein Scott | Chief Investment Officer | Tax Withholding | 325 | $11.75 | $3,819 | 149,285 | Dec 9, 2015 |
| Henriquez Manuel A | President & CEO | Tax Withholding | 2,526 | $11.75 | $29,681 | 1,840,327 | Dec 9, 2015 |
| Bluestein Scott | Chief Investment Officer | Tax Withholding | 1,093 | $11.77 | $12,865 | 149,610 | Dec 4, 2015 |
| Henriquez Manuel A | President & CEO | Tax Withholding | 6,079 | $11.77 | $71,550 | 1,842,853 | Dec 4, 2015 |
| Fallon Thomas J | — | Purchase | 10,000 | $11.16 | $111,600 | 20,937 | Nov 23, 2015 |
| Bluestein Scott | Chief Investment Officer | Tax Withholding | 325 | $11.36 | $3,692 | 150,703 | Nov 9, 2015 |
| Henriquez Manuel A | President & CEO | Tax Withholding | 2,526 | $11.36 | $28,695 | 1,848,932 | Nov 9, 2015 |
| Henriquez Manuel A | President & CEO | Tax Withholding | 11,942 | $10.42 | $124,436 | 1,845,278 | Oct 15, 2015 |
| Henriquez Manuel A | President & CEO | Tax Withholding | 9,896 | $10.42 | $103,116 | 1,851,458 | Oct 15, 2015 |
| Bluestein Scott | Chief Investment Officer | Tax Withholding | 2,184 | $10.47 | $22,866 | 151,028 | Oct 14, 2015 |
| Henriquez Manuel A | President & CEO | Tax Withholding | 3,099 | $10.68 | $33,097 | 1,877,790 | Oct 10, 2015 |
| Henriquez Manuel A | President & CEO | Tax Withholding | 2,526 | $10.68 | $26,978 | 1,878,363 | Oct 10, 2015 |
| Bluestein Scott | Chief Investment Officer | Tax Withholding | 1,018 | $10.68 | $10,872 | 153,212 | Oct 9, 2015 |
| BADAVAS ROBERT P | — | Award / Grant | 2,472 | $10.11 | $24,992 | 133,641 | Sep 30, 2015 |
| Fallon Thomas J | — | Award / Grant | 2,472 | $10.11 | $24,992 | 10,937 | Sep 30, 2015 |
| FERGUSON RODNEY A | — | Award / Grant | 2,472 | $10.11 | $24,992 | 5,805 | Sep 30, 2015 |
| Hoffman Joseph F | — | Award / Grant | 2,472 | $10.11 | $24,992 | 5,805 | Sep 30, 2015 |
| Lyons Susanne D | — | Award / Grant | 2,472 | $10.11 | $24,992 | 5,805 | Sep 30, 2015 |
| WOODWARD ALLYN C JR | — | Award / Grant | 2,472 | $10.11 | $24,992 | 234,588 | Sep 30, 2015 |
| Grace Melanie | General Counsel & CCO | Award / Grant | 10,000 | $11.25 | $112,500 | 10,000 | Sep 17, 2015 |
| Henriquez Manuel A | President & CEO | Tax Withholding | 2,526 | $11.31 | $28,569 | 1,880,889 | Sep 9, 2015 |
| Bluestein Scott | Chief Investment Officer | Tax Withholding | 238 | $11.31 | $2,692 | 154,468 | Sep 9, 2015 |
| Henriquez Manuel A | President & CEO | Tax Withholding | 6,079 | $11.32 | $68,814 | 1,883,415 | Sep 4, 2015 |
| Bluestein Scott | Chief Investment Officer | Tax Withholding | 800 | $11.32 | $9,056 | 154,706 | Sep 4, 2015 |
| Henriquez Manuel A | President & CEO | Tax Withholding | 2,526 | $11.90 | $30,059 | 1,889,494 | Aug 9, 2015 |
| Bluestein Scott | Chief Investment Officer | Tax Withholding | 238 | $11.90 | $2,832 | 155,506 | Aug 9, 2015 |
| Harris Mark R | Chief Financial Officer | Award / Grant | 36,430 | $10.98 | $400,001 | 36,430 | Aug 6, 2015 |
| Henriquez Manuel A | President & CEO | Tax Withholding | 9,896 | $11.76 | $116,377 | 1,892,020 | Jul 15, 2015 |
| Bluestein Scott | Chief Investment Officer | Tax Withholding | 1,831 | $11.76 | $21,533 | 155,744 | Jul 14, 2015 |
| Henriquez Manuel A | President & CEO | Tax Withholding | 2,526 | $11.35 | $28,670 | 1,918,925 | Jul 10, 2015 |
| Bluestein Scott | Chief Investment Officer | Tax Withholding | 1,018 | $11.59 | $11,799 | 157,575 | Jul 9, 2015 |
| FERGUSON RODNEY A | — | Award / Grant | 3,333 | $11.44 | $38,130 | 3,333 | Jul 7, 2015 |
| WOODWARD ALLYN C JR | — | Award / Grant | 5,000 | $11.44 | $57,200 | 232,116 | Jul 7, 2015 |