Hercules Capital president withholds 5 shares for tax

Hercules Capital’s president reported a small tax-withholding share disposition tied to restricted stock vesting, leaving a sizable direct holding.

Available on EDGAR 09/11/2026 - 09:51 AM EDT Accepted by SEC EDGAR 09/11/2026 - 09:50 AM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

Hercules Capital, Inc. (HCXY) reported that President Seth H. Meyer had 5 shares of common stock disposed of on September 9, 2026 in a transaction reported as shares delivered or withheld for payment of tax liability related to vesting of restricted stock. Following this tax-withholding event, he directly holds 435,600 shares of Hercules Capital common stock.

Insider Trade Summary

Tax Withholding: 5 shares

Tax Withholding 1 txn

Insider Meyer Seth H

Role President

Type	Security	Shares	Price	Value
Tax Withholding	Common Stock F1	5	$17.61	$88.05

Holdings After Transaction: Common Stock — 435,600 shares (Direct)

Footnotes (1)

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

Key Figures

Shares disposed for tax withholding: 5 shares Transaction valuation price: $17.61 per share Shares held after transaction: 435,600 shares +1 more

4 metrics

Shares disposed for tax withholding 5 shares Shares withheld on September 9, 2026 to pay tax liability on restricted stock vesting

Transaction valuation price $17.61 per share Value applied to the 5 shares withheld for tax liability

Shares held after transaction 435,600 shares Directly owned Hercules Capital common stock following the September 9, 2026 transaction

Transactions reported as tax-liability related 1 transaction Single Form 4 entry coded as payment of tax liability by delivering or withholding securities

Key Terms

restricted stock, withheld to pay taxes, tax liability

3 terms

restricted stock financial

"vesting of restricted stock on September 9, 2026"

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.

withheld to pay taxes financial

"Represents shares of common stock withheld to pay taxes applicable"

tax liability financial

"withheld to pay taxes applicable to the vesting of restricted stock"

FAQ

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

What insider transaction did Hercules Capital (HCXY) report for President Seth H. Meyer?

President Seth H. Meyer reported a disposition of 5 shares of Hercules Capital common stock on September 9, 2026, consisting of shares delivered or withheld to cover tax liability from the vesting of restricted stock.

How many Hercules Capital (HCXY) shares does Seth H. Meyer hold after this Form 4 transaction?

After the tax-withholding transaction, Seth H. Meyer directly holds 435,600 shares of Hercules Capital common stock, as reported in the Form 4 filing.

What was the price used for the tax-withholding shares in the Hercules Capital (HCXY) Form 4?

The 5 shares of common stock withheld for taxes were valued at $17.61 per share, according to the Form 4 transaction details.

Was the Hercules Capital (HCXY) insider transaction an open-market sale?

No. The Form 4 states the transaction was a disposition of 5 shares to pay tax liability upon restricted stock vesting, not an open-market sale.

Does the Hercules Capital (HCXY) Form 4 mention a Rule 10b5-1 trading plan?

No. The filing’s Rule 10b5-1 checkbox is unchecked, and the single transaction is described as shares withheld to pay taxes on restricted stock vesting.

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

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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^*

Meyer Seth H

(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)
	President

2a. Foreign Trading Symbol

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

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	09/09/2026		F		5(1)	D	$17.61	435,600	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 September 9, 2026.

Remarks:

	/s /Kiersten Zaza Botelho, Attorney-in-Fact for Seth H Meyer	09/11/2026
	** 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)