Hercules Capital, Inc. president Seth H. Meyer reported two Form 4 transactions involving common stock on July 9, 2026. A total of 6,469 shares were disposed of at $15.69 per share as tax-withholding dispositions to cover taxes on the vesting of restricted stock. These were not open-market sales. After the transactions, Meyer continued to hold over 435,000 shares of Hercules Capital common stock directly.
Hercules Capital, Inc. Chief Executive Officer Scott Bluestein reported two Form 4 transactions involving the company’s common stock on July 9, 2026. In both cases, shares were disposed of under code F, which reflects shares withheld to cover tax obligations rather than open-market sales.
The transactions relate to the vesting of restricted stock, with an aggregate of 20,393 shares of common stock withheld at a reference price of $15.69 per share to pay applicable taxes. After these tax-withholding dispositions, Bluestein continues to hold a direct ownership position of more than 2.4 million shares of Hercules Capital common stock.
Hercules Capital, Inc. officer Kiersten Zaza Botelho, Chief Legal Officer & CCO, reported two tax-withholding dispositions of common stock on July 9, 2026. A total of 1,974 shares were withheld at $15.69 per share to cover taxes on vesting restricted stock, with substantial share ownership reported remaining afterward.
BADAVAS ROBERT P reported acquisition or exercise transactions in this Form 4 filing.
Hercules Capital director Robert P. Badavas reported updated holdings and a new share grant. He received 3,873 shares of common stock as a restricted stock award at $15.49 per share, issued automatically upon his re-election to the board under the 2026 Non-Employee Director Plan. Following this grant, he directly holds 8,943 shares, and a trust identified as the Robert P. Badavas Trust of 2007 holds 122,073 shares indirectly. The restricted stock is subject to forfeiture, with one-third vesting on each anniversary of the grant over three years.
BADAVAS ROBERT P reported acquisition or exercise transactions in this Form 4 filing.
Hercules Capital director Robert P. Badavas reported an equity award and updated holdings. He received 3,873 shares of restricted common stock on June 18, 2026 at $15.49 per share as an automatic grant upon re-election to the board under the 2026 Non-Employee Director Plan. These shares are subject to forfeiture, with one-third vesting on each anniversary of the grant over three years. After this award, he directly holds 8,943 shares of common stock and indirectly holds 122,073 shares through the Robert P. Badavas Trust of 2007.
BADAVAS ROBERT P reported acquisition or exercise transactions in this Form 4 filing.
Hercules Capital director Robert P. Badavas reported new equity compensation and updated holdings. He received 3,873 shares of restricted common stock at $15.49 per share as an automatic grant upon re-election to the board under the 2026 Non-Employee Director Plan. These restricted shares are subject to forfeiture, with one-third vesting on each anniversary of the grant over three years, and bring his directly held common stock to 8,943 shares. In addition, 122,073 shares of common stock are held indirectly by the Robert P. Badavas Trust of 2007.
BADAVAS ROBERT P reported acquisition or exercise transactions in this Form 4 filing.
Hercules Capital director Robert P. Badavas received a grant of 3,873 shares of common stock as restricted stock. The award was issued automatically upon his re-election to the board under the 2026 Non-Employee Director Plan at a reference price of $15.49 per share.
Following the grant, Badavas holds 8,943 shares directly and 122,073 shares indirectly through the Robert P. Badavas Trust of 2007. The restricted stock is subject to forfeiture, with one-third scheduled to vest on each anniversary of the grant over three years, reflecting routine equity-based director compensation rather than an open-market purchase.
Hercules Capital, Inc. reported the results of its 2026 Annual Meeting of Stockholders held on June 18, 2026. As of April 9, 2026, 187,133,158 shares of common stock were outstanding and entitled to vote.
Stockholders elected Robert P. Badavas as a Class I independent director to serve until 2029, approved on an advisory basis the compensation of named executive officers, and chose a 1-year frequency for future advisory votes on executive pay. They also approved amendments and restatements of the 2018 Equity Incentive Plan and the 2018 Non-Employee Director Plan, and ratified PricewaterhouseCoopers LLP as independent public accountant for the year ending December 31, 2026.
Hercules Capital Chief Financial Officer Seth H. Meyer reported a small tax-related share disposition. On June 9, 2026, 5 shares of common stock were withheld at $15.45 per share to cover taxes upon the vesting of restricted stock. After this routine tax withholding, he directly holds 442,074 shares of Hercules Capital common stock.
Hercules Capital, Inc. Chief Financial Officer Andrew Olson filed an initial ownership report showing his equity stake in the company. He directly holds 30,386 shares of common stock. He also has 25,756 unvested restricted stock units tied to common stock, which will vest over time under the company’s 2018 Amended Equity Incentive Plan.
Footnotes explain that one award of 25,756 unvested restricted shares vests in stages over roughly three years after the first anniversary of the grant date, while another award of 25,756 restricted stock units is scheduled to vest in full on May 15, 2033.