Hercules Capital, Inc. — Director's Dealing 2021

Nov 2, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Hercules Capital, Inc. (HTGC)
CIK: 0001280784
Period of Report: 2021-10-31

Reporting Person: Bluestein Scott (N/A)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-10-31	Restricted Stock Units	D	24630.00	$17.67	Disposed	155353.00	Direct
2021-10-31	Common Stock	A	24630.00	$17.67	Acquired	936377.00	Direct
2021-10-31	Common Stock	F	10924.00	$17.67	Disposed	925453.00	Direct

Footnotes

F1: Represents vested restricted stock and dividend equivalent shares converted to Hercules Capital, Inc. common stock on October 31, 2021.

F2: Represents Hercules, Inc. common stock received from vested restricted stock units and dividend equivalent shares on October 31, 2021.

F3: Represents Hercules, Inc. common stock withheld to pay taxes applicable to the vesting of restricted stock units and dividend equivalent shares on October 31, 2021.