Insider buys 1,300 Hercules Capital (HCXY) shares in open market

Rhea-AI Filing Summary

Hercules Capital, Inc. Chief Legal Officer & CCO Kiersten Zaza Botelho bought 1,300 shares of common stock in an open-market purchase at an average price of $14.21 per share. After this transaction, she directly owns 93,336 Hercules Capital common shares.

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

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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^*

Botelho Kiersten Zaza

(Last) (First) (Middle)

C/O HERCULES CAPITAL, INC.

31 ST. JAMES AVENUE, SUITE 1005

(Street)

BOSTON MA 02116

(City) (State) (Zip)

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 Legal Officer & CCO

3. Date of Earliest Transaction (Month/Day/Year)
02/27/2026

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

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 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	02/27/2026		P		1,300	A	$14.21	93,336	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:

Remarks:

	Kiersten Zaza Botelho	02/27/2026
	** 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.

FAQ

What insider transaction did Hercules Capital (HCXY) report in this Form 4?

Hercules Capital reported that Chief Legal Officer & CCO Kiersten Zaza Botelho made an open-market purchase of common stock. She bought 1,300 shares, adding to her existing holdings, and this filing updates the market on her revised ownership position in the company.

How many Hercules Capital (HCXY) shares did the insider buy and at what price?

Kiersten Zaza Botelho bought 1,300 shares of Hercules Capital common stock. The purchase was executed in the open market at an average price of $14.21 per share, as disclosed, giving a clear view of the transaction size and price level.

What is Kiersten Zaza Botelho’s total Hercules Capital (HCXY) share ownership after the trade?

After the reported open-market purchase, Kiersten Zaza Botelho directly owns 93,336 shares of Hercules Capital common stock. This total reflects her updated beneficial ownership position following the 1,300-share acquisition described in the Form 4 filing.

What role does the reporting person hold at Hercules Capital (HCXY)?

The reporting person, Kiersten Zaza Botelho, serves as Chief Legal Officer & Chief Compliance Officer of Hercules Capital. Her role combines responsibility for the company’s legal affairs and oversight of compliance functions, and this Form 4 reflects her personal equity position in the business.

Was the Hercules Capital (HCXY) insider transaction a purchase or a sale?

The transaction was a purchase. The Form 4 identifies it with code “P” and describes it as an open-market purchase of common stock, indicating that Kiersten Zaza Botelho bought, rather than sold, 1,300 Hercules Capital shares for her direct account.