Hercules Capital director granted 3,483 shares

A Hercules Capital director received a time-vested restricted stock grant totaling 3,483 shares under the 2026 Non-Employee Director Plan.

Rhea-AI Filing Summary

Hercules Capital, Inc. (symbol: HCXY) is the issuer of record for a Form 4 filing submitted to the SEC. Fichera Alfred reported acquisition or exercise transactions in this Form 4 filing.

Hercules Capital, Inc. (HCXY) director Alfred Fichera received an automatic grant of 3,483 shares of restricted common stock on September 17, 2026, valued at $17.76 per share. All 3,483 shares are held directly and are subject to time-based vesting and forfeiture conditions.

The award was granted under the 2026 Non-Employee Director Plan. The shares vest in three equal installments of 1,161 shares on August 15, 2027, July 11, 2028, and June 18, 2029, if service conditions are met.

Insider Trade Summary

Grant/Award: 3,483 shares

Grant/Award 1 txn

Insider Fichera Alfred

Role Director

Type	Security	Shares	Price	Value
Grant/Award	Common Stock F1	3,483	$17.76	$62K

Holdings After Transaction: Common Stock — 3,483 shares (Direct)

Footnotes (1)

1. F1. Restricted stock issued as an automatic grant upon election to the board of directors pursuant to the 2026 Non-Employee Director Plan and subject to forfeiture restrictions. 1,161 shares vest on August 15, 2027, 1,161 shares vest on July 11, 2028, and 1,161 shares vest on June 18, 2029

Key Figures

Restricted shares granted: 3,483 shares Grant value per share: $17.76 per share Approximate total grant value: $61,858.08 +4 more

7 metrics

Restricted shares granted 3,483 shares Automatic grant to director on September 17, 2026

Grant value per share $17.76 per share Value used for the restricted stock award

Approximate total grant value $61,858.08 3,483 restricted shares at $17.76 per share

Post-transaction holdings 3,483 shares Director’s direct ownership after the grant

First vesting tranche 1,161 shares Vest on August 15, 2027, subject to forfeiture restrictions

Second vesting tranche 1,161 shares Vest on July 11, 2028, subject to forfeiture restrictions

Third vesting tranche 1,161 shares Vest on June 18, 2029, subject to forfeiture restrictions

Key Terms

Restricted stock, Non-Employee Director Plan, subject to forfeiture restrictions

3 terms

Restricted stock financial

"Restricted stock issued as an automatic grant upon election to the board"

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.

Non-Employee Director Plan financial

"pursuant to the 2026 Non-Employee Director Plan and subject to forfeiture"

A non-employee director plan is a structured program that pays board members who are not company employees with cash, stock, or stock options for their oversight work. It matters to investors because these payments align outside directors’ incentives with shareholders—like paying an outside advisor with company stock—while also creating potential costs and share dilution that can affect earnings and ownership stakes.

subject to forfeiture restrictions financial

"pursuant to the 2026 Non-Employee Director Plan and subject to forfeiture restrictions"

FAQ

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

What insider transaction did Hercules Capital (HCXY) report for Alfred Fichera?

Alfred Fichera received a grant of 3,483 shares of restricted common stock on September 17, 2026, as an automatic award upon election to the board under the 2026 Non-Employee Director Plan.

At what price was the restricted stock grant to the Hercules Capital (HCXY) director valued?

The 3,483 restricted shares granted to Alfred Fichera were valued at $17.76 per share, implying a total grant value of about $61,858, subject to vesting and forfeiture conditions.

How does the restricted stock granted to the Hercules Capital (HCXY) director vest?

The restricted stock vests in three equal tranches of 1,161 shares each, on August 15, 2027, July 11, 2028, and June 18, 2029, subject to forfeiture restrictions.

How many Hercules Capital (HCXY) shares does Alfred Fichera hold after this Form 4 transaction?

Following the reported grant, Alfred Fichera holds 3,483 shares of Hercules Capital common stock directly, all of which are restricted and subject to the stated vesting schedule.

Was the Hercules Capital (HCXY) director’s grant made under a Rule 10b5-1 trading plan?

No. The filing indicates the Rule 10b5-1 checkbox is not affirmed, and the transaction is described as an automatic restricted stock grant under the 2026 Non-Employee Director Plan.

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

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Available on EDGAR 09/21/2026 - 06:58 PM Accepted by SEC EDGAR 09/21/2026 - 06:58 PM 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^*

Fichera Alfred

(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)

X	Director		10% Owner
	Officer (give title below)		Other (specify below)

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
09/17/2026

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	09/17/2026		A		3,483(1)	A	$17.76	3,483	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. Restricted stock issued as an automatic grant upon election to the board of directors pursuant to the 2026 Non-Employee Director Plan and subject to forfeiture restrictions. 1,161 shares vest on August 15, 2027, 1,161 shares vest on July 11, 2028, and 1,161 shares vest on June 18, 2029

Remarks:

	/s /Kiersten Zaza Botelho, Attorney-in-Fact for Alfred Fichera	09/21/2026
	** 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)