Hercules Capital (HTGC) CFO discloses 30,386 shares and 25,756 RSUs

Q: How many Hercules Capital common shares does Andrew Olson directly own?

Andrew Olson directly owns 30,386 shares of Hercules Capital common stock . This figure reflects his reported beneficial ownership after the Form 3 filing and represents his current direct equity stake separate from unvested restricted stock and restricted stock unit awards.

Q: What restricted stock unit (RSU) holdings did the Hercules Capital CFO disclose?

The CFO disclosed 25,756 unvested restricted stock units , each linked to one share of Hercules Capital common stock. These RSUs were granted under the 2018 Amended Equity Incentive Plan and are scheduled to vest 100% on May 15, 2033, if vesting conditions are met.

Q: How do Andrew Olson’s unvested restricted stock awards vest at Hercules Capital (HTGC)?

One award covering 25,756 unvested restricted shares vests in stages. One third vests approximately one year after, but not before, the first anniversary of the May 15, 2026 grant date, with the remaining shares vesting in equal quarterly installments over about two additional years.

Filing Impact

(Neutral)

Filing Sentiment

(Neutral)

Form Type

Rhea-AI Filing Summary

Hercules Capital, Inc. Chief Financial Officer Andrew Olson filed an initial ownership report showing his equity stake in the company. He directly holds 30,386 shares of common stock. He also has 25,756 unvested restricted stock units tied to common stock, which will vest over time under the company’s 2018 Amended Equity Incentive Plan.

Footnotes explain that one award of 25,756 unvested restricted shares vests in stages over roughly three years after the first anniversary of the grant date, while another award of 25,756 restricted stock units is scheduled to vest in full on May 15, 2033.

Insider Trade Summary

2 transactions reported

Mixed 2 txns

Insider Olson Andrew

Role Chief Financial Officer

Type	Security	Shares	Price	Value
holding	Restricted Stock Units	--	--	--
holding	Common Stock	--	--	--

Holdings After Transaction: Restricted Stock Units — 25,756 shares (Direct, null); Common Stock — 30,386 shares (Direct, null)

Footnotes (1)

Includes 25,756 shares of an unvested restricted stock award granted on May 15, 2026 pursuant to the 2018 Amended Equity Incentive Plan. The grant vests as to one third of the shares approximately one year after, but not before, the first anniversary of the grant date followed by equal quarterly vestings over approximately two years. Represents 25,756 units of an unvested restricted stock unit award granted on May 15, 2026 pursuant to the 2018 Amended Equity Incentive Plan. The grant will vest 100% on May 15, 2033.

Key Figures

Common stock held: 30,386 shares Unvested RSUs: 25,756 units Unvested restricted stock award size: 25,756 shares +2 more

5 metrics

Common stock held 30,386 shares Direct beneficial ownership after Form 3

Unvested RSUs 25,756 units Restricted stock units linked to common stock

Unvested restricted stock award size 25,756 shares Restricted stock granted May 15, 2026

RSU vesting date May 15, 2033 100% vesting for 25,756 RSUs

Initial vesting portion One third of shares Vests about one year after first anniversary of May 15, 2026 grant

Key Terms

Restricted Stock Units, 2018 Amended Equity Incentive Plan, unvested restricted stock award, vest

4 terms

Restricted Stock Units financial

"Represents 25,756 units of an unvested restricted stock unit award granted on May 15, 2026"

Restricted stock units are a type of company reward where employees are promised shares of stock, but they only fully own these shares after meeting certain conditions, like staying with the company for a set time. They matter because they can become valuable assets and are often used to motivate employees to help the company succeed.

2018 Amended Equity Incentive Plan financial

"granted on May 15, 2026 pursuant to the 2018 Amended Equity Incentive Plan"

unvested restricted stock award financial

"Includes 25,756 shares of an unvested restricted stock award granted on May 15, 2026"

vest financial

"The grant vests as to one third of the shares approximately one year after"

A vest is the process by which an employee earns the right to receive certain benefits or ownership interests, such as stock or retirement funds, over time. It’s similar to earning a reward gradually, ensuring that the benefit becomes fully yours only after a set period or meeting specific conditions. This makes it important for investors because it determines when they can actually claim or use those benefits.

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Understanding Insider Trading Forms →

05/28/2026 - 02:24 PM

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0104
Estimated average burden
hours per response:			0.5

1. Name and Address of Reporting Person^*

Olson Andrew

(Last)

(First)

(Middle)

C/O HERCULES CAPITAL, INC.

1 NORTH B STREET, SUITE 2000

(Street)

SAN MATEO

CALIFORNIA

94401

(City)

(State)

(Zip)

UNITED STATES

(Country)

2. Date of Event Requiring Statement (Month/Day/Year)
05/18/2026

3. Issuer Name and Ticker or Trading Symbol
Hercules Capital, Inc. [ HTGC ]

3a. Foreign Trading Symbol

5. If Amendment, Date of Original Filed (Month/Day/Year)

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
	Chief Financial Officer

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock	30,386⁽¹⁾	D

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
1. Title of Derivative Security (Instr. 4)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
Restricted Stock Units⁽²⁾	⁽²⁾	⁽²⁾	Common Stock	25,756	$0.00	D

Explanation of Responses:

1. Includes 25,756 shares of an unvested restricted stock award granted on May 15, 2026 pursuant to the 2018 Amended Equity Incentive Plan. The grant vests as to one third of the shares approximately one year after, but not before, the first anniversary of the grant date followed by equal quarterly vestings over approximately two years.

2. Represents 25,756 units of an unvested restricted stock unit award granted on May 15, 2026 pursuant to the 2018 Amended Equity Incentive Plan. The grant will vest 100% on May 15, 2033.

Remarks:

	/s /Kiersten Zaza Botelho, Attorney-in-Fact for Andrew Olson	05/28/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 3: SEC 1473 (03-26)

Source: View Original Filing on SEC EDGAR

FAQ

What insider position did Hercules Capital CFO Andrew Olson report on Form 3?

Andrew Olson reported his initial beneficial ownership as CFO of Hercules Capital. He directly holds 30,386 shares of common stock and has additional unvested equity awards in the form of restricted stock and restricted stock units that vest over future years.

How many Hercules Capital common shares does Andrew Olson directly own?

Andrew Olson directly owns 30,386 shares of Hercules Capital common stock. This figure reflects his reported beneficial ownership after the Form 3 filing and represents his current direct equity stake separate from unvested restricted stock and restricted stock unit awards.

What restricted stock unit (RSU) holdings did the Hercules Capital CFO disclose?

The CFO disclosed 25,756 unvested restricted stock units, each linked to one share of Hercules Capital common stock. These RSUs were granted under the 2018 Amended Equity Incentive Plan and are scheduled to vest 100% on May 15, 2033, if vesting conditions are met.

How do Andrew Olson’s unvested restricted stock awards vest at Hercules Capital (HTGC)?

One award covering 25,756 unvested restricted shares vests in stages. One third vests approximately one year after, but not before, the first anniversary of the May 15, 2026 grant date, with the remaining shares vesting in equal quarterly installments over about two additional years.

Under which plan were the Hercules Capital CFO’s equity awards granted?

Both the restricted stock and restricted stock unit awards were granted under Hercules Capital’s 2018 Amended Equity Incentive Plan. This plan governs the terms, vesting schedules, and other conditions associated with the equity compensation disclosed in Andrew Olson’s Form 3 filing.