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Hercules Capital Board Member DeAnne Aguirre Restructures Stock Holdings Through Trust

Filing Impact
(Moderate)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

Form 4 filing reveals insider trading activity for DeAnne Aguirre, Director at Hercules Capital (HTGC). On June 18, 2025, Aguirre underwent multiple transactions:

  • Acquisition: Received 3,329 shares of restricted stock at $18.02 per share as an automatic grant upon board re-election, subject to three-year vesting schedule (one-third annually)
  • Ownership Transfer: 5,999 shares were transferred from direct ownership to indirect ownership through the Aguirre Family 2004 Trust

Following these transactions, Aguirre's holdings include:

  • Direct ownership: 5,067 shares (including 45 shares from dividend reinvestment on May 20, 2025)
  • Indirect ownership: 18,180 shares held through the family trust

Positive

  • Director DeAnne Aguirre received 3,329 shares of restricted stock at $18.02 per share as part of standard board compensation, demonstrating continued alignment with shareholder interests

Negative

  • None.
Insider Aguirre DeAnne
Role Director
Type Security Shares Price Value
Grant/Award Common Stock 3,329 $18.02 $60K
Disposition Common Stock 5,999 $0.00 --
Grant/Award Common Stock 5,999 $0.00 --
Holdings After Transaction: Common Stock — 11,021 shares (Direct); Common Stock — 18,180 shares (Indirect, By Trust)
Footnotes (1)
  1. Restricted Stock issued as an automatic grant upon re-election to the board of directors pursuant to the 2018 Non-Employee Director Plan and subject to forfeiture restrictions. One-third vests on the anniversary of the grant over three years. Shares previously reported as directly owned are now being reported as indirectly owned. Includes 45 dividend reinvestment shares acquired on May 20, 2025. Held by the Aguirre Family 2004 Trust.
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*
Aguirre DeAnne
(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)
06/18/2025
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 06/18/2025 A 3,329(1) A $18.02 11,021 D
Common Stock 06/18/2025 D 5,999(2) D $0.00 5,067(3) D
Common Stock 06/18/2025 A 5,999(2) A $0.00 18,180 I By Trust(4)
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 re-election to the board of directors pursuant to the 2018 Non-Employee Director Plan and subject to forfeiture restrictions. One-third vests on the anniversary of the grant over three years.
2. Shares previously reported as directly owned are now being reported as indirectly owned.
3. Includes 45 dividend reinvestment shares acquired on May 20, 2025.
4. Held by the Aguirre Family 2004 Trust.
Remarks:
/s/ /Eileen Bagarella, Attorney-in-Fact for DeAnne Aguirre 06/20/2025
** 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.

Source: View Original Filing on SEC EDGAR

FAQ

How many shares of HTGC stock did DeAnne Aguirre receive as a director grant in June 2025?

DeAnne Aguirre received 3,329 shares of restricted stock on June 18, 2025, as an automatic grant upon re-election to the board of directors. This grant was made pursuant to the 2018 Non-Employee Director Plan, with one-third vesting annually over three years.

What was the price of HTGC restricted stock granted to DeAnne Aguirre in the June 2025 transaction?

The restricted stock was granted at a price of $18.02 per share according to the Form 4 filing.

How many HTGC shares does DeAnne Aguirre own directly after the June 2025 transactions?

After the reported transactions, DeAnne Aguirre directly owns 5,067 shares of HTGC, which includes 45 dividend reinvestment shares acquired on May 20, 2025.

How many HTGC shares does DeAnne Aguirre own indirectly through the Aguirre Family Trust?

DeAnne Aguirre indirectly owns 18,180 shares of HTGC through the Aguirre Family 2004 Trust following the transfer of 5,999 shares from direct to indirect ownership.

What changes in HTGC share ownership were reported in DeAnne Aguirre's June 2025 Form 4?

The Form 4 reported three main transactions: 1) acquisition of 3,329 new restricted shares as a director grant, 2) disposition of 5,999 shares from direct ownership, and 3) acquisition of those same 5,999 shares as indirect ownership through the Aguirre Family 2004 Trust.