Hercules Capital CFO Form 4: 3,458 shares withheld for taxes

Hercules Capital, Inc. (HTGC) reported an insider transaction by its Chief Financial Officer.

Accepted by SEC EDGAR 10/14/2025 - 05:36 PM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

Hercules Capital, Inc. (HTGC) reported an insider transaction by its Chief Financial Officer. On October 9, 2025, the CFO had 3,458 shares of common stock withheld under transaction code F at $17.06 per share to cover taxes upon the vesting of restricted stock. Following this administrative withholding, the officer beneficially owns 373,663 shares, held directly.

Insider Trade Summary

Exercise Price or Tax Liability: 3,458 shares

Exercise Price or Tax Liability 1 txn

Insider Meyer Seth H

Role Chief Financial Officer

Type	Security	Shares	Price	Value
Exercise Price or Tax Liability	Common Stock	3,458	$17.06	$59K

Holdings After Transaction: Common Stock — 373,663 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, 2025.

FAQ

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

What did Hercules Capital (HTGC) disclose in this Form 4?

The CFO reported a tax withholding of 3,458 shares (code F) tied to restricted stock vesting on October 9, 2025 at $17.06 per share.

How many HTGC shares does the CFO own after the transaction?

After the withholding, the officer beneficially owns 373,663 shares, held directly.

What does transaction code F mean on Form 4 for HTGC?

Code F indicates shares were withheld to satisfy tax obligations arising from an equity award vesting.

Was this an open market sale of HTGC shares?

No. The filing states the shares were withheld to pay taxes on restricted stock vesting, not sold in the open market.

What price is associated with the HTGC withholding event?

The filing reports a price of $17.06 per share for the tax withholding transaction.

Who is the reporting person in this HTGC Form 4?

The reporting person is the Chief Financial Officer of Hercules Capital, Inc.

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).

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 CA 94401

(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 Financial Officer

3. Date of Earliest Transaction (Month/Day/Year)
10/09/2025

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	10/09/2025		F		3,458(1)	D	$17.06	373,663	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, 2025.

Remarks:

	/s/ /Eileen Bagarella, Attorney-in-Fact for Seth H. Meyer	10/14/2025
	** 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.