Director buys 2,600 Hercules Capital (NYSE: HCXY) shares in open market

Rhea-AI Filing Summary

Hercules Capital, Inc. director Nikos Theodosopoulos reported an open-market purchase of common stock. He bought 2,600 shares at a price of $14.21 per share. Following this transaction, his directly held stake increased to 21,523 shares of Hercules Capital common stock.

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^*

Theodosopoulos Nikos

(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)
02/27/2026

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		2,600	A	$14.21	21,523	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:

	/s /Kiersten Zaza Botelho, Attorney-in-Fact for Nikos Theodosopoulos	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) disclose in this Form 4?

Hercules Capital reported that director Nikos Theodosopoulos purchased 2,600 shares of common stock. The open-market transaction was executed at a price of $14.21 per share, increasing his directly owned position in the company’s stock.

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

Director Nikos Theodosopoulos bought 2,600 Hercules Capital common shares at $14.21 each. This was an open-market purchase, meaning he acquired the shares on the public market at prevailing trading prices.

What is the director’s total Hercules Capital (HCXY) ownership after this trade?

After the reported transaction, director Nikos Theodosopoulos owns 21,523 shares of Hercules Capital common stock. This figure reflects his directly held position following the 2,600-share open-market purchase disclosed in the Form 4.

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

The transaction was a purchase. Director Nikos Theodosopoulos executed an open-market buy of 2,600 Hercules Capital common shares, as indicated by transaction code “P” and the description of an open-market purchase.

What does transaction code “P” mean in the Hercules Capital (HCXY) Form 4?

Transaction code “P” signifies a purchase in an open market or private transaction. In this case, it confirms that director Nikos Theodosopoulos bought 2,600 Hercules Capital common shares rather than selling or disposing of shares.