Hercules Capital, Inc. — Director's Dealing 2017

Jan 26, 2017

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Hercules Capital, Inc. (HTGC)
CIK: 0001280784
Period of Report: 2017-01-24

Reporting Person: Henriquez Manuel A (N/A)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2017-01-24	Restricted Stock Units	A	351865	—	Acquired	351865	Direct

Footnotes

F1: Each restricted stock unit represents a contingent right to receive one share of Hercules Capital, Inc. stock.

F2: The restricted stock units vest one-third on January 24, 2018 and the remaining two-thirds vest quarterly in equal amounts over the following two years. Vested shares will be delivered to reporting person as soon as reasonably practicable on the earlier of (a) January 24, 2021 and (b) the date (i) reporting person separates from service from Issuer, (ii) dies or becomes disabled or (iii) there is a change in control of the Issuer.