Hercules Capital, Inc. — Director's Dealing 2016

Oct 25, 2016

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Hercules Capital, Inc. (HTGC)
CIK: 0001280784
Period of Report: 2016-10-21

Reporting Person: Ho Doreen Woo (N/A)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2016-10-21	Common Stock	A	3333	$13.61	Acquired	3333	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2016-10-21	Option (right to buy)	$13.61	A	10000	Acquired	2026-10-21	Common (10000)	Direct

Footnotes

F1: Restricted Stock issued as an automatic grant upon election to the board of directors pursuant to the Amended and Restated Non-Employee Incentive Plan and subject to forfeiture restrictions. One-half vests on 10/21/2017 and the remaining one-half vests on 10/21/2018.

F2: Stock option granted as an automatic grant upon election to the board of directors pursuant to the Amended and Restated Non-Employee Incentive Plan.

F3: Stock option vests as to one-half of he underlying shares on 10/21/2017 and the remaining one-half vests on 10/21/2018.