Hercules Capital CFO share withholding for taxes

Hercules Capital, Inc. Chief Financial Officer Seth H. Meyer reported routine share withholdings tied to equity compensation.

Accepted by SEC EDGAR 04/13/2026 - 05:21 PM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

Hercules Capital, Inc. Chief Financial Officer Seth H. Meyer reported routine share withholdings tied to equity compensation. On April 9, 2026, a total of 6,469 shares of common stock were withheld as a tax-withholding disposition at $14.74 per share to cover taxes on vesting restricted stock. Following these non‑market transactions, Meyer directly holds 442,079 shares of Hercules Capital common stock.

Insider Trade Summary

Exercise Price or Tax Liability: 6,469 shares

Exercise Price or Tax Liability 2 txns

Insider Meyer Seth H

Role Chief Financial Officer

Type	Security	Shares	Price	Value
Exercise Price or Tax Liability	Common Stock	3,458	$14.74	$51K
Exercise Price or Tax Liability	Common Stock	3,011	$14.74	$44K

Holdings After Transaction: Common Stock — 442,079 shares (Direct)

Footnotes (1)

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

Key Figures

Shares withheld for taxes: 6,469 shares Withholding price per share: $14.74 per share Shares held after transactions: 442,079 shares

3 metrics

Shares withheld for taxes 6,469 shares Tax-withholding disposition for restricted stock vesting on April 9, 2026

Withholding price per share $14.74 per share Valuation used for the Form 4 tax-withholding entries

Shares held after transactions 442,079 shares Direct Hercules Capital common stock owned by CFO after April 9, 2026

Key Terms

tax-withholding disposition, restricted stock, Form 4, Common Stock

4 terms

tax-withholding disposition financial

"transaction_action was labeled as "tax-withholding disposition"."

A tax-withholding disposition is an event or transaction—such as selling or transferring securities, exercising options, or receiving compensation—that triggers a requirement to hold back part of the payment and remit it to tax authorities. It matters to investors because it reduces the cash they receive immediately and can change the timing and amount of taxable income, like a cashier taking a portion of your sale proceeds to pay taxes before you get the rest.

restricted stock financial

"taxes applicable to the vesting of restricted stock on April 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.

Form 4 regulatory

"INSIDER FILING DATA (Form 4) describes these non-derivative transactions."

Form 4 is a official document that company insiders, such as executives or major shareholders, file with regulators whenever they buy or sell company shares. It provides transparency about how those with inside knowledge are trading, helping investors see if insiders are confident in the company's prospects or may be selling for personal reasons. This information can influence investor decisions by revealing insiders' perspectives on the company's value.

Common Stock financial

"security_title for both transactions was listed as 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 insider transaction did Hercules Capital (HTGC) report for its CFO?

Hercules Capital CFO Seth H. Meyer reported a tax-related share withholding. A total of 6,469 common shares were withheld to cover taxes on restricted stock vesting, rather than sold on the open market.

How many Hercules Capital (HTGC) shares were withheld for the CFO’s taxes?

A total of 6,469 Hercules Capital common shares were withheld. These shares covered tax liabilities tied to restricted stock vesting on April 9, 2026, and represent a non-market disposition under Form 4 code F.

At what price were the withheld Hercules Capital (HTGC) shares valued?

The withheld shares were valued at $14.74 per share. This price is used for calculating the value of the 6,469 shares delivered to satisfy tax obligations on the CFO’s restricted stock vesting.

How many Hercules Capital (HTGC) shares does the CFO hold after this Form 4?

After the tax-withholding transactions, the CFO directly holds 442,079 Hercules Capital common shares. This figure reflects his remaining position after 6,469 shares were withheld to cover taxes on restricted stock vesting.

Does the Hercules Capital (HTGC) Form 4 indicate an open-market sale by the CFO?

No, the Form 4 shows tax-withholding dispositions, not open-market sales. Shares were withheld by the company to satisfy tax obligations on vested restricted stock, a common administrative step in equity compensation.

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)
	Chief Financial Officer

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
04/09/2026

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	04/09/2026		F		3,458(1)	D	$14.74	445,090	D
Common Stock	04/09/2026		F		3,011(1)	D	$14.74	442,079	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 April 9, 2026.

Remarks:

	/s /Kiersten Zaza Botelho, Attorney-in-Fact for Seth H Meyer	04/13/2026
	** 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)