Hercules Capital director reports zero shares

Director Alfred Fichera reports zero beneficial ownership of Hercules Capital, Inc. common stock on his Form 3.

Available on EDGAR 09/21/2026 - 06:52 PM EDT Accepted by SEC EDGAR 09/21/2026 - 06:51 PM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

Hercules Capital, Inc. (HCXY) reported that director Alfred Fichera currently holds no shares of the company’s Common Stock. A Form 3 filing dated September 17, 2026 lists a direct ownership position of 0 shares of Common Stock following the reported holdings entry.

Insider Trade Summary

Holdings reported, no transactions

Holdings

Insider Fichera Alfred

Role Director

Type	Security	Shares	Price	Value
Holding	Common Stock	--	--	--

Holdings: Common Stock — 0 shares (Direct)

Key Figures

Common Stock directly owned after reporting: 0 shares Holdings entries reported: 1 entry Reporting person role: Director

3 metrics

Common Stock directly owned after reporting 0 shares Beneficial ownership position reported for September 17, 2026

Holdings entries reported 1 entry Single Common Stock holdings line in the Form 3

Reporting person role Director Role of Alfred Fichera at Hercules Capital, Inc.

Key Terms

Form 3, beneficial ownership, Common Stock

3 terms

Form 3 regulatory

"The Form 3 functions as an initial statement of beneficial ownership"

Form 3 is the initial public filing that officers, directors and large shareholders must submit to report their ownership of a company’s securities when they become insiders. It acts like an opening inventory sheet that gives investors a starting point to see who holds significant stakes and to spot later trades or potential conflicts of interest, helping assess insider confidence and transparency.

beneficial ownership financial

"The filing shows that director Alfred Fichera has no beneficial ownership"

Beneficial ownership means the person or entity that actually enjoys the benefits of owning shares or other assets — such as receiving dividends, voting rights, or price gains — even if the legal title is held in another name. For investors it matters because knowing who truly controls and profits from a company reveals who can influence decisions, exposes potential conflicts of interest or hidden concentration of power, and affects transparency and risk in the stock.

Common Stock financial

"The filing shows that director Alfred Fichera has no shares of the company’s Common Stock"

Common stock represents ownership shares in a company, giving investors a stake in its success and a say in important decisions through voting rights. It is the most common type of stock traded on markets and can provide income through dividends, as well as potential for value growth. For investors, holding common stock means sharing in the company’s profits and risks.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What does the Form 3 filing disclose about Alfred Fichera’s holdings in HCXY?

The filing shows that director Alfred Fichera has no beneficial ownership of Hercules Capital, Inc. Common Stock, with 0 shares reported as directly owned following the holdings entry dated September 17, 2026.

What security is covered in Alfred Fichera’s Form 3 for HCXY?

The Form 3 covers Common Stock of Hercules Capital, Inc. It reports Alfred Fichera’s beneficial ownership position in this class of security as of September 17, 2026.

How many HTGC (HCXY) shares does Alfred Fichera own after the reported Form 3 entry?

The Form 3 reports that Alfred Fichera owns 0 shares of Hercules Capital, Inc. Common Stock directly following the reported holdings entry on September 17, 2026.

Is the Form 3 for HCXY reporting a purchase or sale by Alfred Fichera?

No specific purchase or sale is reported. The Form 3 functions as an initial statement of beneficial ownership and shows a direct Common Stock holding of 0 shares for Alfred Fichera.

What is Alfred Fichera’s role at Hercules Capital, Inc. (HCXY) as noted in the Form 3?

Alfred Fichera is identified as a director of Hercules Capital, Inc. in the Form 3 reporting his beneficial ownership position in the company’s Common Stock.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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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^*

Fichera Alfred

(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)
09/17/2026

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)

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

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	0.00	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)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

Remarks:

	/s /Kiersten Zaza Botelho, Attorney-in-Fact for Alfred Fichera	09/21/2026
	** 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)