Hercules Capital COO has shares withheld for taxes

Each withholding entry lists a price of $16.51 per share; 350 common shares were held indirectly by Follmann’s spouse.

Rhea-AI Filing Summary

Hercules Capital, Inc. Chief Operating Officer Christian Follmann reported 1,365 and 1,433 common shares withheld to pay taxes applicable to restricted-stock vesting on October 9, 2026. Each entry lists a price of $16.51 per share. The report also lists 350 common shares held indirectly by his spouse.

Insider Trade Summary

Tax Withholding: 2,798 shares

Tax Withholding 3 txns

Insider Follmann Christian

Role Chief Operating Officer

Type	Security	Shares	Price	Value
Tax Withholding	Common Stock F1	1,365	$16.51	$23K
Tax Withholding	Common Stock F1	1,433	$16.51	$24K
holding	Common Stock	--	--	--

Holdings After Transaction: Common Stock — 141,741 shares (Direct); Common Stock — 350 shares (Indirect, By Spouse)

Footnotes (1)

1. F1. Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on October 9, 2026.

Key Figures

Shares withheld for taxes: 1,365 shares Shares withheld for taxes: 1,433 shares Reported price per share: $16.51 per share +1 more

4 metrics

Shares withheld for taxes 1,365 shares Restricted-stock vesting on October 9, 2026

Shares withheld for taxes 1,433 shares Restricted-stock vesting on October 9, 2026

Reported price per share $16.51 per share Listed for both withholding entries on October 9, 2026

Common shares held indirectly 350 shares Held by Follmann’s spouse on October 9, 2026

Key Terms

restricted stock, vesting, tax liability

3 terms

restricted stock financial

"vesting of restricted stock"

Shares granted to an individual that carry limits on transfer or sale until certain conditions are met, such as staying with the company for a set time or hitting performance targets. Think of them as a locked gift that gradually opens; for investors they matter because they affect how many shares may enter the market later, signal management incentives and potential dilution, and reveal confidence in future company performance.

vesting financial

"applicable to the vesting of restricted stock"

Vesting is the process by which you earn full ownership of something, like company stock or a retirement benefit, over time. It’s like earning the right to keep a gift piece by piece the longer you stay with a company, making sure employees stay committed before they receive all the benefits.

tax liability financial

"Payment of tax liability by delivering or withholding securities"

FAQ

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

How many shares did Hercules Capital (HCXY) COO Christian Follmann have withheld for taxes?

Two entries report 1,365 shares and 1,433 shares withheld to pay taxes applicable to restricted-stock vesting on October 9, 2026; each lists a price of $16.51 per share.

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

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Available on EDGAR 10/13/2026 - 03:12 PM EDT Accepted by SEC EDGAR 10/13/2026 - 03:12 PM EDT Learn about SEC filing dates

SEC Form 4

FORM 4

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

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Follmann Christian

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

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

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

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
10/09/2026

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

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

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

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Common Stock	10/09/2026		F		1,365(1)	D	$16.51	143,174	D
Common Stock	10/09/2026		F		1,433(1)	D	$16.51	141,741	D
Common Stock								350	I	By Spouse

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

1. Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on October 9, 2026.

Remarks:

	/s /Kiersten Zaza Botelho, Attorney-in-Fact for Christian Follmann	10/13/2026
	** 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 4 (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 4: SEC 1474 (03-26)