Filing Details
- Accession Number:
- 0001209191-10-044797
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-09-02 12:05:51
- Reporting Period:
- 2010-09-01
- Filing Date:
- 2010-09-02
- Accepted Time:
- 2010-09-02 12:05:51
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1280784 | Hercules Technology Growth Capital Inc | HTGC | () | 743113410 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1395073 | Parag Shah | C/O Hercules Technology Growth Capital 31 St. James Ave., Suite 790 Boston MA 02116 | Senior Managing Director | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock $0.001 Par Value | Acquisiton | 2010-09-01 | 100,554 | $4.21 | 323,218 | No | 4 | M | Direct | |
| Common Stock $0.001 Par Value | Disposition | 2010-09-01 | 100,554 | $9.32 | 222,664 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Option to Purchase Common Stock | Disposition | 2010-09-01 | 100,554 | $4.21 | 100,554 | $4.21 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 578,408 | 2016-03-17 | No | 4 | M | Direct |
Footnotes
- One-third of the options vested on 03/17/2010 and two-thirds of the options vest prorata over the following twenty four months ending 03/17/2012.
Billionaire Hedge Funds
