Hercules Capital, Inc. — Director's Dealing 2021

Nov 19, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Hercules Capital, Inc. (HTGC)
CIK: 0001280784
Period of Report: 2021-11-17

Reporting Person: Bluestein Scott (N/A)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-11-17	Restricted Stock Units	A	3755.00	$16.94	Acquired	162748.00	Direct
2021-11-17	Restricted Stock Units	D	534.00	$16.94	Disposed	162214.00	Direct
2021-11-17	Common Stock	A	534.00	$16.94	Acquired	845987.00	Direct
2021-11-17	Common Stock	F	237.00	$16.94	Disposed	845750.00	Direct

Footnotes

F1: Represents dividend equivalent shares received on November 17, 2021.

F2: Represents released dividend equivalent shares converted to Hercules Capital, Inc. common stock on November 17, 2021.

F3: Represents Hercules, Inc. common stock received from vested dividend equivalent shares on November 17, 2021.

F4: Represents Hercules, Inc. common stock withheld to pay taxes applicable to the vesting of dividend equivalent shares on November 17, 2021.