Hercules Capital, Inc. — Director's Dealing 2021

Mar 16, 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: Fallon Thomas J (Director)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-03-15	Common Stock	A	90	$16.60	Acquired	49937	Direct
2021-03-15	Common Stock	M	15000	$11.44	Acquired	64937	Direct
2021-03-15	Common Stock	S	15000	$16.56	Disposed	49937	Direct

Footnotes

F1: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan.

F2: Average sale price. Shares sold at prices between $16.55 and $16.59.