Hercules Capital, Inc. — Director's Dealing 2021

Jan 12, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Hercules Capital, Inc. (HTGC)
CIK: 0001280784
Period of Report: 2021-01-09

Reporting Person: Grace Melanie (General Counsel & CCO)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-01-09	Common Stock	F	427	$14.80	Disposed	35164	Direct
2021-01-09	Restricted Stock Units	F	122	$14.80	Disposed	55434	Direct

Footnotes

F1: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on January 9, 2021.

F2: Represents restricted stock units withheld to pay taxes applicable to the vesting of restricted stock units and dividend equivalent shares on January 9, 2021.