Hercules Capital, Inc. — Director's Dealing 2020

Oct 14, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Hercules Capital, Inc. (HTGC)
CIK: 0001280784
Period of Report: 2020-10-09

Reporting Person: Bluestein Scott (Chief Executive Officer)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-10-09	Common Stock	F	3402	$12.04	Disposed	674759	Direct
2020-10-09	Restricted Stock Units	F	243	$12.04	Disposed	443617	Direct

Footnotes

F1: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on October 9, 2020.

F2: Represents restricted stock units withheld to pay taxes applicable to the vesting of restricted stock units and dividend equivalent shares on October 9, 2020.