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 |
|---|---|---|---|---|---|---|---|
| Grace Melanie | General Counsel & CCO | Award / Grant | 1,453 | $13.91 | $20,211 | 59,269 | Nov 18, 2019 |
| Bluestein Scott | Chief Executive Officer & Pres | Award / Grant | 13,483 | $13.91 | $187,549 | 549,395 | Nov 18, 2019 |
| BADAVAS ROBERT P | — | Gift | 15,250 | $14.11 | $215,178 | 144,453 | Nov 14, 2019 |
| Bluestein Scott | Chief Executive Officer & Pres | Disposition | 3,435 | $13.14 | $45,136 | 337,110 | Oct 9, 2019 |
| Grace Melanie | General Counsel & CCO | Disposition | 409 | $13.14 | $5,374 | 21,712 | Oct 9, 2019 |
| Foster Carol L | — | Sale | 1,328 | $13.27 | $17,623 | 6,057 | Oct 7, 2019 |
| Titinger Jorge | — | Award / Grant | 3,759 | $13.30 | $49,995 | 7,962 | Sep 26, 2019 |
| Hoffman Joseph F | — | Award / Grant | 3,759 | $13.30 | $49,995 | 32,745 | Sep 26, 2019 |
| Foster Carol L | — | Award / Grant | 3,759 | $13.30 | $49,995 | 7,385 | Sep 26, 2019 |
| Fallon Thomas J | — | Award / Grant | 3,759 | $13.30 | $49,995 | 44,938 | Sep 26, 2019 |
| CROWELL GAYLE A | — | Award / Grant | 3,759 | $13.30 | $49,995 | 8,300 | Sep 26, 2019 |
| Foster Carol L | — | Award / Grant | 94 | $12.74 | $1,198 | 3,626 | Aug 19, 2019 |
| Ho Doreen Woo | — | Award / Grant | 109 | $12.74 | $1,389 | 17,043 | Aug 19, 2019 |
| CROWELL GAYLE A | — | Award / Grant | 118 | $12.74 | $1,503 | 4,541 | Aug 19, 2019 |
| Titinger Jorge | — | Award / Grant | 109 | $12.74 | $1,389 | 4,203 | Aug 19, 2019 |
| Koenig Bradford C. | — | Award / Grant | 108 | $12.74 | $1,376 | 10,755 | Aug 19, 2019 |
| BADAVAS ROBERT P | — | Award / Grant | 4,149 | $12.74 | $52,858 | 159,703 | Aug 19, 2019 |
| Fallon Thomas J | — | Award / Grant | 117 | $12.74 | $1,491 | 41,179 | Aug 19, 2019 |
| Grace Melanie | General Counsel & CCO | Award / Grant | 1,501 | $12.74 | $19,123 | 57,816 | Aug 19, 2019 |
| Bluestein Scott | Chief Executive Officer & Pres | Award / Grant | 13,929 | $12.74 | $177,455 | 535,912 | Aug 19, 2019 |
| Bluestein Scott | Chief Executive Officer & Pres | Award / Grant | 76,923 | $13.00 | $999,999 | 340,545 | Jul 17, 2019 |
| Bluestein Scott | Interim Chief Executive Off | Disposition | 3,406 | $12.91 | $43,971 | 263,622 | Jul 9, 2019 |
| Grace Melanie | General Counsel & CCO | Disposition | 410 | $12.91 | $5,293 | 22,121 | Jul 9, 2019 |
| Ho Doreen Woo | — | Award / Grant | 4,604 | $13.03 | $59,990 | 16,934 | May 30, 2019 |
| Hoffman Joseph F | — | Award / Grant | 4,604 | $13.03 | $59,990 | 28,986 | May 30, 2019 |
| Foster Carol L | — | Award / Grant | 86 | $13.13 | $1,129 | 3,532 | May 20, 2019 |
| CROWELL GAYLE A | — | Award / Grant | 108 | $13.13 | $1,418 | 4,423 | May 20, 2019 |
| Titinger Jorge | — | Award / Grant | 100 | $13.13 | $1,313 | 4,094 | May 20, 2019 |
| Koenig Bradford C. | — | Award / Grant | 98 | $13.13 | $1,287 | 10,647 | May 20, 2019 |
| Ho Doreen Woo | — | Award / Grant | 100 | $13.13 | $1,313 | 12,330 | May 20, 2019 |
| Fallon Thomas J | — | Award / Grant | 107 | $13.13 | $1,405 | 41,062 | May 20, 2019 |
| BADAVAS ROBERT P | — | Award / Grant | 3,753 | $13.13 | $49,277 | 155,554 | May 20, 2019 |
| Henriquez Manuel A | — | Award / Grant | 32,138 | $13.13 | $421,972 | 1,310,898 | May 20, 2019 |
| Grace Melanie | General Counsel & CCO | Award / Grant | 1,379 | $13.13 | $18,106 | 56,315 | May 20, 2019 |
| Bluestein Scott | Interim Chief Executive Off | Award / Grant | 12,796 | $13.13 | $168,011 | 521,983 | May 20, 2019 |
| Grace Melanie | General Counsel & CCO | Disposition | 409 | $12.64 | $5,170 | 22,531 | Apr 9, 2019 |
| Henriquez Manuel A | — | Disposition | 9,509 | $12.64 | $120,194 | 1,972,708 | Apr 9, 2019 |
| Bluestein Scott | Interim Chief Executive Off | Disposition | 3,410 | $12.64 | $43,102 | 267,028 | Apr 9, 2019 |
| CROWELL GAYLE A | — | Award / Grant | 4,315 | $12.44 | $53,679 | 4,315 | Mar 27, 2019 |
| Foster Carol L | — | Award / Grant | 3,446 | $12.44 | $42,868 | 3,446 | Mar 27, 2019 |
| Meyer Seth H | Chief Financial Officer | Award / Grant | 40,355 | $12.39 | $499,998 | 40,355 | Mar 14, 2019 |
| Titinger Jorge | — | Award / Grant | 90 | $13.47 | $1,212 | 3,994 | Mar 11, 2019 |
| Koenig Bradford C. | — | Award / Grant | 238 | $13.47 | $3,206 | 10,549 | Mar 11, 2019 |
| Ho Doreen Woo | — | Award / Grant | 90 | $13.47 | $1,212 | 12,230 | Mar 11, 2019 |
| Fallon Thomas J | — | Award / Grant | 96 | $13.47 | $1,293 | 40,955 | Mar 11, 2019 |
| BADAVAS ROBERT P | — | Award / Grant | 3,469 | $13.47 | $46,727 | 151,801 | Mar 11, 2019 |
| Henriquez Manuel A | Chairman & CEO | Award / Grant | 28,766 | $13.47 | $387,478 | 1,278,760 | Mar 11, 2019 |
| Grace Melanie | General Counsel & CCO | Award / Grant | 1,234 | $13.47 | $16,622 | 54,936 | Mar 11, 2019 |
| Bluestein Scott | Chief Investment Officer | Award / Grant | 11,454 | $13.47 | $154,285 | 509,187 | Mar 11, 2019 |
| Henriquez Manuel A | Chairman & CEO | Award / Grant | 570,776 | $13.14 | $7,499,997 | 1,249,994 | Jan 31, 2019 |