Hercules Capital, Inc. — Director's Dealing 2021

Aug 3, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Hercules Capital, Inc. (HTGC)
CIK: 0001280784
Period of Report: 2021-07-31

Reporting Person: Grace Melanie (N/A)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-07-31	Restricted Stock Units	D	1390.00	$17.27	Disposed	20613.00	Direct
2021-07-31	Common Stock	A	1390.00	$17.27	Acquired	66594.00	Direct
2021-07-31	Common Stock	F	531.00	$17.27	Disposed	66063.00	Direct

Footnotes

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

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