Hercules Capital, Inc. — Director's Dealing 2021

Jan 14, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Hercules Capital, Inc. (HTGC)
CIK: 0001280784
Period of Report: 2021-01-12

Reporting Person: Bluestein Scott (Chief Executive Officer)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-01-12	Common Stock	A	236463	$14.59	Acquired	920047	Direct
2021-01-13	Common Stock	F	34238	$14.65	Disposed	885809	Direct

Footnotes

F1: Restricted stock issued as a grant pursuant to the Amended and Restated Equity Incentive Plan and subject to forfeiture restrictions with one-third vesting on January 12, 2022 followed by quarterly vesting over the following 24 months.

F2: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on January 13, 2021.