Hercules Capital, Inc. — Director's Dealing 2021

Mar 17, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Hercules Capital, Inc. (HTGC)
CIK: 0001280784
Period of Report: 2021-03-15

Reporting Person: Bluestein Scott (Chief Executive Officer)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-03-15	Restricted Stock Units	A	4958	$16.60	Acquired	225230	Direct
2021-03-15	Restricted Stock Units	F	66	$16.60	Disposed	225164	Direct
2021-03-15	Restricted Stock Units	D	1440	$16.60	Disposed	223724	Direct
2021-03-15	Common Stock	A	1440	$16.60	Acquired	1003725	Direct
2021-03-15	Common Stock	F	639	$16.60	Disposed	1003086	Direct

Footnotes

F1: Represents dividend equivalent shares received on March 15, 2021.

F2: Represents dividend equivalent shares withheld to pay taxes applicable to the vesting of deferred dividend equivalent shares on March 15, 2021.

F3: Represents released dividend equivalent shares converted to Hercules Capital, Inc. common stock on March 15, 2021.

F4: Represents Hercules, Inc. common stock received from vested dividend equivalent shares on March 15, 2021.

F5: Represents Hercules, Inc. common stock withheld to pay taxes applicable to the vesting of dividend equivalent shares on March 15, 2021.