Hercules Capital, Inc. — Director's Dealing 2021

Jan 26, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Hercules Capital, Inc. (HTGC)
CIK: 0001280784
Period of Report: 2021-01-24

Reporting Person: Bluestein Scott (Chief Executive Officer)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-01-24	Restricted Stock Units	F	77254	$15.28	Disposed	351170	Direct
2021-01-24	Restricted Stock Units	D	105712	$15.28	Disposed	245458	Direct
2021-01-24	Common Stock	A	105712	$15.28	Acquired	988678	Direct

Footnotes

F1: Represents restricted stock units withheld to pay taxes applicable to the release of restricted stock units and dividend equivalent shares on January 24, 2021.

F2: Represents released restricted stock units and dividend equivalent shares converted to Hercules Capital, Inc. common stock on January 24, 2021.

F3: Acquired pursuant to the vesting and release of shares pursuant to a restricted stock award granted on January 24, 2017.