Welcome to our dedicated page for Hercules Capital SEC filings (Ticker: HTGC), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
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Air Industries Group (AIRI) filed a Form S-8 on 31 Jul 2025 to register 300,000 additional shares of common stock for issuance under its 2022 Equity Incentive Plan. The amendment, approved at the 2024 annual meeting, raises the plan鈥檚 share reserve from 350,000 to 650,000.
The company is classified as a non-accelerated filer and smaller reporting company. The filing automatically incorporates by reference AIRI鈥檚 2024 Form 10-K, Q1-25 Form 10-Q, numerous 2025 Form 8-Ks, and its 2025 definitive proxy, ensuring that all subsequent Exchange Act filings will also be deemed incorporated until the offering is completed or withdrawn.
Key exhibits include: (1) legal opinion from Ellenoff Grossman & Schole LLP, (2) the amended 2022 Equity Incentive Plan, (3) auditor consent from Marcum LLP, and (4) the Rule 457 filing-fee table. Part II outlines Nevada law鈥揵ased indemnification provisions for directors and officers and confirms the company carries D&O insurance. Standard undertakings commit AIRI to file post-effective amendments if material changes arise.
Hercules Capital, Inc. (HTGC) 鈥� Form 4 insider filing
Chief Operating Officer Christian Follmann reported a tax-related transaction on 11 July 2025. In connection with the vesting of restricted stock, 829 common shares were automatically withheld (Transaction Code F) at a price of $18.94 to satisfy statutory tax obligations. Following the withholding, Follmann still directly owns 119,423 common shares and indirectly holds 350 shares through his spouse.
No open-market purchase or sale occurred; the event does not reflect a discretionary change in ownership. The filing indicates the executive maintains a substantial equity position, keeping his economic interests aligned with shareholders.
Hercules Capital, Inc. (HTGC) 鈥� Form 4 insider filing
Chief Operating Officer Christian Follmann reported a tax-related transaction on 11 July 2025. In connection with the vesting of restricted stock, 829 common shares were automatically withheld (Transaction Code F) at a price of $18.94 to satisfy statutory tax obligations. Following the withholding, Follmann still directly owns 119,423 common shares and indirectly holds 350 shares through his spouse.
No open-market purchase or sale occurred; the event does not reflect a discretionary change in ownership. The filing indicates the executive maintains a substantial equity position, keeping his economic interests aligned with shareholders.
Hercules Capital, Inc. (HTGC) 鈥� Form 4 insider transaction
CEO Scott Bluestein reported a single non-derivative transaction on 11 Jul 2025. Transaction code 鈥淔鈥� indicates shares were withheld to satisfy tax obligations triggered by the vesting of restricted stock. Exactly 13,431 common shares were surrendered at an implied price of $18.94. Following the withholding, Bluestein鈥檚 direct ownership stands at 2,268,180 shares. No derivative securities were acquired or disposed of, and there were no other insider participants in this filing.
The transaction represents roughly 0.6 % of the CEO鈥檚 post-transaction holdings and appears routine rather than discretionary selling or buying.
Hercules Capital, Inc. (HTGC) 鈥� Form 4 insider transaction
CEO Scott Bluestein reported a single non-derivative transaction on 11 Jul 2025. Transaction code 鈥淔鈥� indicates shares were withheld to satisfy tax obligations triggered by the vesting of restricted stock. Exactly 13,431 common shares were surrendered at an implied price of $18.94. Following the withholding, Bluestein鈥檚 direct ownership stands at 2,268,180 shares. No derivative securities were acquired or disposed of, and there were no other insider participants in this filing.
The transaction represents roughly 0.6 % of the CEO鈥檚 post-transaction holdings and appears routine rather than discretionary selling or buying.
Hercules Capital, Inc. (HTGC) 鈥� Form 4 insider filing: Chief Operating Officer Christian Follmann reported a routine tax-related share disposition on 07/09/2025. The filing shows 960 common shares were automatically withheld at $18.56 each to satisfy payroll taxes triggered by the vesting of restricted stock units. Because the shares were not sold on the open market, the transaction is classified with code 鈥淔.鈥�
After the withholding, Follmann still owns 120,252 shares directly and 350 shares indirectly through a spouse, indicating that less than 1% of his direct position was used for tax settlement. No derivative securities were acquired or disposed of, and no new purchase or open-market sale occurred. The filing does not alter the executive鈥檚 status as an officer and suggests no change in strategic outlook; it simply records administrative tax withholding associated with equity compensation.
Hercules Capital, Inc. (HTGC) 鈥� Form 4 insider filing: Chief Operating Officer Christian Follmann reported a routine tax-related share disposition on 07/09/2025. The filing shows 960 common shares were automatically withheld at $18.56 each to satisfy payroll taxes triggered by the vesting of restricted stock units. Because the shares were not sold on the open market, the transaction is classified with code 鈥淔.鈥�
After the withholding, Follmann still owns 120,252 shares directly and 350 shares indirectly through a spouse, indicating that less than 1% of his direct position was used for tax settlement. No derivative securities were acquired or disposed of, and no new purchase or open-market sale occurred. The filing does not alter the executive鈥檚 status as an officer and suggests no change in strategic outlook; it simply records administrative tax withholding associated with equity compensation.
Hercules Capital, Inc. (HTGC) 鈥� Form 4 filing: Chief Legal Officer & Chief Compliance Officer Kiersten Zaza Botelho reported an automatic share withholding on 9 July 2025 related to the vesting of restricted stock. The company withheld 912 common shares at a price of $18.56 per share to cover applicable taxes (Transaction Code F). Following the transaction, the executive retains 66,651 directly held shares. Because the shares were not sold on the open market and merely satisfied tax obligations, the event neither increases nor decreases the executive鈥檚 economic exposure to HTGC and is typically viewed as administrative rather than directional trading activity.
Hercules Capital, Inc. (HTGC) 鈥� Form 4 filing reports an internal share withholding transaction by Chief Executive Officer Scott Bluestein on 07/09/2025. The transaction was coded 鈥淔鈥�, indicating that 10,593 common shares were withheld by the company to cover taxes triggered by the vesting of previously granted restricted stock. No open-market purchase or sale occurred. Following the withholding, Bluestein鈥檚 direct beneficial ownership stands at 2,281,611 common shares. No derivative securities were involved, and the filing does not alter the executive鈥檚 status or the company鈥檚 capital structure. For investors, the event is procedural and does not reflect a change in the CEO鈥檚 net economic exposure to HTGC.
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