Hercules Capital (HTGC) CLO reports 1,974 shares withheld for taxes

Rhea-AI Filing Summary

Hercules Capital, Inc. Chief Legal Officer & CCO Kiersten Zaza Botelho reported routine tax-related share dispositions connected to vesting of restricted stock. On April 9, shares of common stock totaling 1,974 were withheld by the company to cover applicable taxes at a reference price of $14.74 per share. After these withholding transactions, she directly holds 91,362 shares of Hercules Capital common stock.

Insider Trade Summary

2 transactions reported

Mixed 2 txns

Insider Botelho Kiersten Zaza

Role Chief Legal Officer & CCO

Type	Security	Shares	Price	Value
Tax Withholding	Common Stock	956	$14.74	$14K
Tax Withholding	Common Stock	1,018	$14.74	$15K

Holdings After Transaction: Common Stock — 92,380 shares (Direct)

Footnotes (1)

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Key Figures

Tax-withheld shares (lot 1): 956 shares Tax-withheld shares (lot 2): 1,018 shares Total tax-withheld shares: 1,974 shares +3 more

6 metrics

Tax-withheld shares (lot 1) 956 shares Common stock withheld for taxes on April 9, 2026

Tax-withheld shares (lot 2) 1,018 shares Common stock withheld for taxes on April 9, 2026

Total tax-withheld shares 1,974 shares Aggregate tax-withholding dispositions on April 9, 2026

Reference price per share $14.74/share Price applied to tax-withholding entries

Shares held after first withholding 92,380 shares Direct common stock holding after 956-share withholding

Shares held after second withholding 91,362 shares Final direct common stock holding after 1,018-share withholding

Key Terms

restricted stock, tax-withholding disposition, Chief Legal Officer & CCO, Form 4, +1 more

5 terms

restricted stock financial

"vesting of restricted stock on April 9, 2026"

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.

tax-withholding disposition financial

"transaction_action": "tax-withholding disposition""

A tax-withholding disposition is an event or transaction—such as selling or transferring securities, exercising options, or receiving compensation—that triggers a requirement to hold back part of the payment and remit it to tax authorities. It matters to investors because it reduces the cash they receive immediately and can change the timing and amount of taxable income, like a cashier taking a portion of your sale proceeds to pay taxes before you get the rest.

Chief Legal Officer & CCO financial

"officer_title": "Chief Legal Officer & CCO""

Form 4 regulatory

"INSIDER FILING DATA (Form 4):"

Form 4 is a official document that company insiders, such as executives or major shareholders, file with regulators whenever they buy or sell company shares. It provides transparency about how those with inside knowledge are trading, helping investors see if insiders are confident in the company's prospects or may be selling for personal reasons. This information can influence investor decisions by revealing insiders' perspectives on the company's value.

Common Stock financial

"security_title": "Common Stock""

Common stock represents ownership shares in a company, giving investors a stake in its success and a say in important decisions through voting rights. It is the most common type of stock traded on markets and can provide income through dividends, as well as potential for value growth. For investors, holding common stock means sharing in the company’s profits and risks.

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^*

Botelho Kiersten Zaza

(Last) (First) (Middle)

C/O HERCULES CAPITAL, INC.

31 ST. JAMES AVENUE, SUITE 1005

(Street)

BOSTON MASSACHUSETTS 02116

(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)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	Chief Legal Officer & CCO

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
04/09/2026

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	04/09/2026		F		956(1)	D	$14.74	92,380	D
Common Stock	04/09/2026		F		1,018(1)	D	$14.74	91,362	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 April 9, 2026.

Remarks:

	Kiersten Zaza Botelho	04/13/2026
	** 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)

FAQ

What did Hercules Capital (HTGC) insider Kiersten Zaza Botelho report on this Form 4?

She reported tax-related dispositions of Hercules Capital common stock. A total of 1,974 shares were withheld on April 9, 2026 to pay taxes arising from restricted stock vesting, leaving her with 91,362 shares held directly after the transactions.

Were the Form 4 transactions for Hercules Capital (HTGC) open-market sales?

No, the transactions were tax-withholding dispositions. The 1,974 Hercules Capital shares were withheld to satisfy tax obligations tied to restricted stock vesting, rather than sold in the open market, according to the transaction codes and footnote description.

How many Hercules Capital (HTGC) shares were withheld for taxes in this filing?

A total of 1,974 Hercules Capital common shares were withheld. The Form 4 shows two tax-withholding entries of 956 and 1,018 shares, both dated April 9, 2026, to cover taxes on restricted stock vesting.

What is Kiersten Zaza Botelho’s direct Hercules Capital (HTGC) shareholding after these Form 4 transactions?

Following the tax-withholding dispositions, she directly holds 91,362 shares of Hercules Capital common stock. This post-transaction figure reflects her position after 1,974 shares were withheld to cover tax liabilities on restricted stock vesting.

What price per share was used for the Hercules Capital (HTGC) tax-withholding entries?

Each tax-withholding entry used a price of $14.74 per Hercules Capital share. This reference price applies to the 956-share and 1,018-share withholding transactions recorded on April 9, 2026, linked to restricted stock vesting.