Hercules Capital (NASDAQ: HTGC) director trust buys 3,300 shares at $14.98

Rhea-AI Filing Summary

Hercules Capital director Wade Loo, through the Loo Revocable Trust, bought 3,300 shares of common stock in an open-market purchase at $14.98 per share. After this indirect purchase, the trust held 32,767 shares, and Loo also held 6,630 shares directly.

Insider Trade Summary

Net Buyer: 3,300 shares ($49,434)

Net Buy 2 txns

Insider Loo Wade

Role Director

Bought 3,300 shs ($49K)

Type	Security	Shares	Price	Value
Purchase	Common Stock	3,300	$14.98	$49K
holding	Common Stock	--	--	--

Holdings After Transaction: Common Stock — 32,767 shares (Indirect, By Trust); Common Stock — 6,630 shares (Direct)

Footnotes (1)

1. The number of shares includes shares acquired pursuant to the Hercules Capital, Inc. dividend reinvestment plan, exempt under Rule 16a-11. Held by the Loo Revocable Trust

See more from StockTitan in Google Search and AI answers. Adds StockTitan as a preferred source · opens Google

Add on Google Not now

Form 4 Insider Transactions: What Each Field Means →

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^*

Loo Wade

(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)

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

3. Date of Earliest Transaction (Month/Day/Year)
02/25/2026

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	02/25/2026		P		3,300	A	$14.98	32,767(1)	I	By Trust(2)
Common Stock								6,630	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. The number of shares includes shares acquired pursuant to the Hercules Capital, Inc. dividend reinvestment plan, exempt under Rule 16a-11.

2. Held by the Loo Revocable Trust

Remarks:

	/s /Kiersten Zaza Botelho, Attorney-in-Fact for Wade Loo	02/26/2026
	** 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 (HTGC) director Wade Loo report?

Director Wade Loo reported an open-market purchase of 3,300 Hercules Capital common shares. The transaction was executed at a price of $14.98 per share and was held indirectly through the Loo Revocable Trust as disclosed in the Form 4 filing.

At what price did Wade Loo’s trust buy Hercules Capital (HTGC) shares?

The Loo Revocable Trust bought Hercules Capital common stock at $14.98 per share. This open-market purchase covered 3,300 shares and increased the trust’s total indirect holdings as reported in the Form 4 insider transaction for the director.

How many Hercules Capital (HTGC) shares does Wade Loo hold after this transaction?

After the reported transaction, the Loo Revocable Trust held 32,767 shares of Hercules Capital common stock indirectly. Separately, Wade Loo also held 6,630 shares directly, according to the ownership details disclosed in the Form 4 filing for this transaction.

How is Wade Loo’s ownership in Hercules Capital (HTGC) structured?

Wade Loo’s Hercules Capital holdings are split between indirect and direct ownership. The indirect holdings are held by the Loo Revocable Trust, while a separate block of 6,630 shares is reported as directly owned, reflecting two distinct ownership categories in the Form 4.

What does the Form 4 say about dividend reinvestment for Hercules Capital (HTGC) shares?

The filing notes that the reported share count includes stock acquired through Hercules Capital’s dividend reinvestment plan. These plan purchases are described as exempt under Rule 16a-11, meaning some shares were accumulated automatically via reinvested dividends rather than regular market transactions.