Hercules Capital, Inc. — Director's Dealing 2021

Jan 12, 2021

SEC Form 4/A — Form 4/A

Issuer: Hercules Capital, Inc. (HTGC)
CIK: 0001280784
Period of Report: 2020-11-16

Reporting Person: Grace Melanie (General Counsel & CCO)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-11-16	Restricted Stock Units	D	104	$12.89	Disposed	55556	Direct
2020-11-16	Common Stock	A	104	$12.89	Acquired	35627	Direct
2020-11-16	Common Stock	F	36	$12.89	Disposed	35591	Direct

Footnotes

F1: The original Form 4 is being amended by this Form 4 to correct an administrative error that reported the released dividend equivalent shares as 1,326. As a result, the amount of securities beneficially owned was reported as 54,334. shares.

F2: The original Form 4 is being amended by this Form 4 to correct an administrative error that reported the released dividend equivalent shares as 1,326. As a result, the amount of securities beneficially owned was reported as 36,849. shares.

F3: The original Form 4 is being amended by this Form 4 to correct an administrative error that reflected the amount of securities beneficially owned as 36,813.