Hercules Capital CEO has stock withheld for taxes

Tax withholding on restricted-stock vesting accounts for the reported share dispositions.

Rhea-AI Filing Summary

Hercules Capital, Inc. reported that its Chief Executive Officer, Scott Bluestein, had 9,741 and 10,652 shares of common stock withheld on October 9, 2026, to pay taxes applicable to restricted-stock vesting. Each transaction lists a price of $16.51 per share.

Insider Trade Summary

Tax Withholding: 20,393 shares

Tax Withholding 2 txns

Insider Bluestein Scott

Role Chief Executive Officer

Type	Security	Shares	Price	Value
Tax Withholding	Common Stock F1	9,741	$16.51	$161K
Tax Withholding	Common Stock F1	10,652	$16.51	$176K

Holdings After Transaction: Common Stock — 2,455,200 shares (Direct)

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: 9,741 shares Shares withheld for taxes: 10,652 shares Reported price per share: $16.51 per share

3 metrics

Shares withheld for taxes 9,741 shares October 9, 2026 transaction

Shares withheld for taxes 10,652 shares October 9, 2026 transaction

Reported price per share $16.51 per share Each October 9, 2026 transaction

Key Terms

restricted stock, tax liability, withheld

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.

tax liability financial

"Payment of tax liability by delivering or withholding securities"

withheld financial

"shares of common stock withheld to pay taxes"

FAQ

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

How many HCXY shares did CEO Scott Bluestein have withheld for taxes?

Scott Bluestein reported 9,741 and 10,652 shares withheld on October 9, 2026, at $16.51 per share for each transaction. The shares were withheld to pay taxes applicable to restricted-stock vesting.

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

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Available on EDGAR 10/13/2026 - 03:17 PM EDT Accepted by SEC EDGAR 10/13/2026 - 03:17 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^*

Bluestein Scott

(Last) (First) (Middle)

C/O HERCULES CAPITAL, INC.

31 ST. JAMES AVENUE, SUITE 1005

(Street)

BOSTON MASSACHUSETTS 02116

(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)

X	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	Chief Executive 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		9,741(1)	D	$16.51	2,465,852	D
Common Stock	10/09/2026		F		10,652(1)	D	$16.51	2,455,200	D

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 Scott Bluestein	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)