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 |
|---|---|---|---|---|---|---|---|
| Bluestein Scott | Chief Executive Officer | Award / Grant | 56,157 | $14.15 | $794,622 | 1,614,231 | Nov 17, 2022 |
| Follmann Christian | Chief Operating Officer | Tax Withholding | 415 | $12.10 | $5,022 | 47,840 | Oct 13, 2022 |
| Meyer Seth H | Chief Financial Officer | Tax Withholding | 3,125 | $12.66 | $39,563 | 201,659 | Oct 12, 2022 |
| Bluestein Scott | Chief Executive Officer | Tax Withholding | 10,421 | $12.66 | $131,930 | 1,046,621 | Oct 12, 2022 |
| Loo Wade | — | Purchase | 57 | $15.63 | $891 | 3,469 | Aug 19, 2022 |
| Loo Wade | — | Disposition | 2,170 | — | — | 4,514 | Aug 16, 2022 |
| Koenig Bradford C. | — | Award / Grant | 1,157 | — | — | 26,885 | Aug 16, 2022 |
| Fallon Thomas J | — | Disposition | 5,496 | — | — | 6,074 | Aug 16, 2022 |
| CROWELL GAYLE A | — | Award / Grant | 718 | $15.76 | $11,316 | 29,643 | Aug 16, 2022 |
| Follmann Christian | Chief Operating Officer | Award / Grant | 218 | $15.62 | $3,405 | 48,255 | Aug 16, 2022 |
| Bluestein Scott | Chief Executive Officer | Award / Grant | 48,508 | $15.56 | $754,784 | 1,558,074 | Aug 16, 2022 |
| Randhawa Paramjeet K | — | Award / Grant | 723 | $16.13 | $11,662 | 2,694 | Aug 1, 2022 |
| Fallon Thomas J | — | Award / Grant | 4,339 | $16.13 | $69,988 | 11,570 | Aug 1, 2022 |
| Loo Wade | — | Award / Grant | 2,170 | $16.13 | $35,002 | 6,684 | Aug 1, 2022 |
| Koenig Bradford C. | — | Disposition | 120 | — | — | 7,231 | Aug 1, 2022 |
| CROWELL GAYLE A | — | Award / Grant | 4,339 | $16.13 | $69,988 | 28,724 | Aug 1, 2022 |
| Bluestein Scott | Chief Executive Officer | Tax Withholding | 2,844 | $13.82 | $39,304 | 1,065,782 | Jul 17, 2022 |
| Meyer Seth H | Chief Financial Officer | Tax Withholding | 3,125 | $13.78 | $43,063 | 207,867 | Jul 12, 2022 |
| Follmann Christian | Chief Operating Officer | Tax Withholding | 418 | $13.78 | $5,760 | 48,037 | Jul 12, 2022 |
| Bluestein Scott | Chief Executive Officer | Tax Withholding | 10,421 | $13.78 | $143,601 | 1,068,626 | Jul 12, 2022 |
| Loo Wade | — | Award / Grant | 374 | — | — | 1,215 | Jun 23, 2022 |
| Aguirre DeAnne | — | Award / Grant | 5,079 | $13.29 | $67,500 | 5,079 | Jun 23, 2022 |
| Follmann Christian | Chief Operating Officer | Award / Grant | 213 | $13.89 | $2,959 | 48,869 | May 26, 2022 |
| Koenig Bradford C. | — | Award / Grant | 120 | $15.06 | $1,807 | 7,351 | May 24, 2022 |
| Loo Wade | — | Award / Grant | 11 | $13.88 | $153 | 374 | May 24, 2022 |
| Fallon Thomas J | — | Award / Grant | 230 | $15.06 | $3,464 | 7,461 | May 24, 2022 |
| CROWELL GAYLE A | — | Award / Grant | 799 | $13.82 | $11,042 | 24,385 | May 24, 2022 |
| Bluestein Scott | Chief Executive Officer | Award / Grant | 51,208 | $13.67 | $700,013 | 1,509,566 | May 24, 2022 |
| Fallon Thomas J | — | Disposition | 7,231 | — | — | 7,231 | May 12, 2022 |
| Bluestein Scott | Chief Executive Officer | Award / Grant | 1,458,358 | — | — | 1,458,358 | May 6, 2022 |
| Follmann Christian | Chief Operating Officer | Tax Withholding | 144 | $17.96 | $2,586 | 48,656 | Apr 24, 2022 |
| Bluestein Scott | Chief Executive Officer | Tax Withholding | 2,843 | $18.59 | $52,851 | 1,087,787 | Apr 17, 2022 |
| Follmann Christian | Chief Operating Officer | Tax Withholding | 415 | $18.30 | $7,595 | 48,803 | Apr 13, 2022 |
| Meyer Seth H | Chief Financial Officer | Tax Withholding | 3,083 | $18.30 | $56,419 | 217,200 | Apr 13, 2022 |
| Bluestein Scott | Chief Executive Officer | Tax Withholding | 8,740 | $18.30 | $159,942 | 1,101,051 | Apr 13, 2022 |
| Loo Wade | — | Purchase | 75 | $17.89 | $1,342 | 1,176 | Mar 24, 2022 |
| Follmann Christian | Chief Operating Officer | Disposition | 10 | $17.12 | $171 | 415 | Mar 16, 2022 |
| Loo Wade | — | Award / Grant | 10 | $16.99 | $170 | 1,101 | Mar 16, 2022 |
| Koenig Bradford C. | — | Award / Grant | 214 | $16.99 | $3,636 | 28,379 | Mar 16, 2022 |
| Fallon Thomas J | — | Award / Grant | 205 | $16.99 | $3,483 | 58,835 | Mar 16, 2022 |
| CROWELL GAYLE A | — | Award / Grant | 643 | $17.17 | $11,040 | 23,586 | Mar 16, 2022 |
| Meyer Seth H | Chief Financial Officer | Tax Withholding | 1,668 | $17.02 | $28,389 | 220,283 | Mar 14, 2022 |
| Bluestein Scott | Chief Executive Officer | Disposition | 24,683 | $17.88 | $441,332 | — | Jan 31, 2022 |
| Bluestein Scott | Chief Executive Officer | Tax Withholding | 10,421 | $17.73 | $184,764 | 1,098,898 | Jan 17, 2022 |
| Meyer Seth H | Chief Financial Officer | Tax Withholding | 2,180 | $17.73 | $38,651 | 221,951 | Jan 13, 2022 |
| Meyer Seth H | Chief Financial Officer | Tax Withholding | 9,020 | $17.75 | $160,105 | 224,131 | Jan 12, 2022 |
| Bluestein Scott | Chief Executive Officer | Tax Withholding | 35,314 | $17.75 | $626,824 | 1,109,319 | Jan 12, 2022 |
| Meyer Seth H | Chief Financial Officer | Award / Grant | 72,857 | $17.50 | $1,274,998 | 233,151 | Jan 11, 2022 |
| Bluestein Scott | Chief Executive Officer | Award / Grant | 211,429 | $17.50 | $3,700,008 | 1,144,633 | Jan 11, 2022 |
| Botelho Kiersten Zaza | General Counsel & CCO | Award / Grant | 5,875 | $17.02 | $99,993 | 5,875 | Jan 10, 2022 |