Fallon Thomas J — SEC Form 4 filings
SEC reporting owner CIK 1399121. 7 Form 4 filings on record with FilingPulse; latest filed 2026-03-30.
Transaction summary — filings shown
Covers all 7 filings on record, filed 2024-06-24 to 2026-03-30. Counts and totals are arithmetic on values as filed — descriptive data, not a recommendation.
- Open-market purchases (code P, non-derivative): 6 legs across 6 filings — 68,999 shares, $1,065,434 total (shares × price as filed).
- Open-market sales (code S, non-derivative): none reported.
- Other reported legs (grants, option exercises, tax withholding, gifts, derivative-security transactions, …): 5.
- Largest priced transaction: purchase of 20,000 shares @ $15.88 ($317,600) in Hercules Capital, Inc., filed 2026-02-19.
By issuer — same filings
Open-market purchase/sale legs on non-derivative securities, grouped by issuer. Role is as filed on the newest filing for that issuer. Dollar totals cover priced legs only (shares × price as filed). Ordered by priced transaction value, largest first.
| Issuer | Role (as filed) | Filings | Purchases (P) | Sales (S) | Other legs |
|---|---|---|---|---|---|
| Hercules Capital, Inc. (HTGC) | Director | 7 | 6 legs · 68,999 sh · $1,065,434 | — | 5 |
Form 4 filings — Fallon Thomas J
| Filed | Form | Issuer | Reported transactions | Source |
|---|---|---|---|---|
| 2026-03-30 | 4 | Hercules Capital, Inc. (HTGC) | Purchase (P): 7,300 @ $14.30 | EDGAR |
| 2026-02-27 | 4 | Hercules Capital, Inc. (HTGC) | Purchase (P): 20,000 @ $14.20 | EDGAR |
| 2026-02-25 | 4 | Hercules Capital, Inc. (HTGC) | Purchase (P): 10,000 @ $14.98 | EDGAR |
| 2026-02-19 | 4 | Hercules Capital, Inc. (HTGC) | Purchase (P): 20,000 @ $15.88 | EDGAR |
| 2025-05-09 | 4 | Hercules Capital, Inc. (HTGC) | Purchase (P): 5,976 @ $17.53 | EDGAR |
| 2024-08-08 | 4 | Hercules Capital, Inc. (HTGC) | Disposition to issuer (D): 1,158 @ $0 · Grant/award (A): 1,158 @ $0 · Purchase (P): 5,723 @ $18.33 | EDGAR |
| 2024-06-24 | 4 | Hercules Capital, Inc. (HTGC) | Grant/award (A): 3,030 @ $19.80 · Disposition to issuer (D): 149 @ $0 · Grant/award (A): 149 @ $0 | EDGAR |
FilingPulse's Form 4 archive currently extends back to 2024-01-11 and is expanding backward through EDGAR history — earlier filings by this insider may not be indexed yet. Names and roles are shown as filed.
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