Welcome to our dedicated page for Hercules Capital SEC filings (Ticker: HTGC), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
Hercules Capital, Inc. filings document the regulatory reporting of a specialty finance company that provides senior secured venture growth loans to technology and life sciences businesses. Its Form 8-K filings cover earnings releases, operating and financial condition updates, cash distribution declarations, executive leadership changes and related exhibits.
Proxy materials describe annual meeting matters, board governance, executive compensation and equity-award disclosures. The company’s filings also identify its NYSE-listed common stock under HTGC and its 6.25% Notes due 2033 under HCXY, tying capital-structure disclosures to both equity and debt securities.
Hercules Capital, Inc. insider activity centers on tax withholding for vested stock awards. Chief Legal Officer & CCO Kiersten Zaza Botelho had shares of common stock withheld to cover taxes tied to restricted stock vesting.
On January 9, 2026, 5,510 shares of common stock were withheld at a price of $18.59 per share, leaving her with 92,858 shares beneficially owned directly. On January 11, 2026, an additional 822 shares were withheld at $18.59 per share, resulting in 92,036 shares of common stock held directly after the transactions.
Hercules Capital, Inc. insider activity centers on tax withholding for vested stock awards. Chief Legal Officer & CCO Kiersten Zaza Botelho had shares of common stock withheld to cover taxes tied to restricted stock vesting.
On January 9, 2026, 5,510 shares of common stock were withheld at a price of $18.59 per share, leaving her with 92,858 shares beneficially owned directly. On January 11, 2026, an additional 822 shares were withheld at $18.59 per share, resulting in 92,036 shares of common stock held directly after the transactions.
Hercules Capital, Inc.'s Chief Executive Officer, Scott Bluestein, reported two automatic share withholdings tied to restricted stock vesting. On January 9, 2026, 50,081 shares of common stock were withheld at $18.59 per share to cover taxes on vested restricted stock. On January 11, 2026, an additional 13,431 shares were withheld at $18.59 per share for the same tax purpose. After these transactions, Bluestein directly owned 2,479,379 shares of Hercules Capital common stock.
Hercules Capital, Inc.'s Chief Executive Officer, Scott Bluestein, reported two automatic share withholdings tied to restricted stock vesting. On January 9, 2026, 50,081 shares of common stock were withheld at $18.59 per share to cover taxes on vested restricted stock. On January 11, 2026, an additional 13,431 shares were withheld at $18.59 per share for the same tax purpose. After these transactions, Bluestein directly owned 2,479,379 shares of Hercules Capital common stock.
Hercules Capital, Inc. reported that its Chief Financial Officer, Seth H. Meyer, received a grant of 84,978 shares of common stock on 01/08/2026. The filing lists this as an acquisition at a price of $18.24 per share, bringing his directly owned holdings to 454,570 shares after the transaction.
The shares are described as restricted stock issued under the company’s Amended and Restated Equity Incentive Plan. One-third of this grant is scheduled to vest on the one-year anniversary of the grant date, with the remaining shares vesting quarterly over the following 24 months. These vesting conditions mean the award is tied to continued service over a three-year period.
Hercules Capital, Inc. reported that its Chief Financial Officer, Seth H. Meyer, received a grant of 84,978 shares of common stock on 01/08/2026. The filing lists this as an acquisition at a price of $18.24 per share, bringing his directly owned holdings to 454,570 shares after the transaction.
The shares are described as restricted stock issued under the company’s Amended and Restated Equity Incentive Plan. One-third of this grant is scheduled to vest on the one-year anniversary of the grant date, with the remaining shares vesting quarterly over the following 24 months. These vesting conditions mean the award is tied to continued service over a three-year period.
Hercules Capital, Inc. reported an equity award to its Chief Legal Officer and Chief Compliance Officer, Kiersten Zaza Botelho. On 01/08/2026, she acquired 34,265 shares of common stock at $18.24 per share as a grant of restricted stock under the company’s Amended and Restated Equity Incentive Plan. After this grant, she beneficially owns 98,368 common shares directly.
The restricted stock is subject to forfeiture and a multi‑year vesting schedule. One-third of the grant will vest on the one-year anniversary of the grant date, with the remaining shares vesting quarterly over the following 24 months, aligning her compensation with the company’s longer‑term performance.
Hercules Capital, Inc. reported an equity award to its Chief Legal Officer and Chief Compliance Officer, Kiersten Zaza Botelho. On 01/08/2026, she acquired 34,265 shares of common stock at $18.24 per share as a grant of restricted stock under the company’s Amended and Restated Equity Incentive Plan. After this grant, she beneficially owns 98,368 common shares directly.
The restricted stock is subject to forfeiture and a multi‑year vesting schedule. One-third of the grant will vest on the one-year anniversary of the grant date, with the remaining shares vesting quarterly over the following 24 months, aligning her compensation with the company’s longer‑term performance.
Hercules Capital, Inc. chief operating officer Christian Follmann reported a grant of restricted common stock. On January 8, 2026, he acquired 37,007 shares of common stock at $18.24 per share. These shares were issued under the company’s Amended and Restated Equity Incentive Plan and are subject to forfeiture restrictions, with one-third vesting on the one-year anniversary of the grant date and the remainder vesting quarterly over the following 24 months.
After this grant, Follmann beneficially owns 153,892 shares of common stock directly, plus 350 shares held indirectly through his spouse.
Hercules Capital, Inc. chief operating officer Christian Follmann reported a grant of restricted common stock. On January 8, 2026, he acquired 37,007 shares of common stock at $18.24 per share. These shares were issued under the company’s Amended and Restated Equity Incentive Plan and are subject to forfeiture restrictions, with one-third vesting on the one-year anniversary of the grant date and the remainder vesting quarterly over the following 24 months.
After this grant, Follmann beneficially owns 153,892 shares of common stock directly, plus 350 shares held indirectly through his spouse.
Hercules Capital, Inc. reported an insider equity award for its Chief Executive Officer, Scott Bluestein. On 01/08/2026, he received 298,794 shares of common stock as a restricted stock grant at $18.24 per share under the company’s Amended and Restated Equity Incentive Plan. These shares are subject to forfeiture and vest over time, with one-third vesting on the one-year anniversary of the grant date and the remaining two-thirds vesting quarterly over the following 24 months.
Following this grant, Bluestein directly beneficially owns 2,542,891 shares of Hercules Capital common stock, aligning his compensation further with shareholder interests through performance- and tenure-based vesting.
Hercules Capital, Inc. reported an insider equity award for its Chief Executive Officer, Scott Bluestein. On 01/08/2026, he received 298,794 shares of common stock as a restricted stock grant at $18.24 per share under the company’s Amended and Restated Equity Incentive Plan. These shares are subject to forfeiture and vest over time, with one-third vesting on the one-year anniversary of the grant date and the remaining two-thirds vesting quarterly over the following 24 months.
Following this grant, Bluestein directly beneficially owns 2,542,891 shares of Hercules Capital common stock, aligning his compensation further with shareholder interests through performance- and tenure-based vesting.
Hercules Capital, Inc. reported an equity compensation grant to a senior executive. Chief Operating Officer Christian Follmann received an award of 10,560 restricted stock units on December 4, 2025. Each restricted stock unit gives him the right to receive one share of Hercules Capital common stock in the future. The award is scheduled to vest 100% on December 4, 2032, meaning all units become payable on that date if vesting conditions are met. Following this grant, Follmann beneficially owned 39,448 derivative securities, all held directly.
Hercules Capital, Inc. reported an equity compensation grant to a senior executive. Chief Operating Officer Christian Follmann received an award of 10,560 restricted stock units on December 4, 2025. Each restricted stock unit gives him the right to receive one share of Hercules Capital common stock in the future. The award is scheduled to vest 100% on December 4, 2032, meaning all units become payable on that date if vesting conditions are met. Following this grant, Follmann beneficially owned 39,448 derivative securities, all held directly.
Hercules Capital, Inc. reported that its Chief Legal Officer and Chief Compliance Officer, Kiersten Zaza Botelho, received an award of 10,560 restricted stock units (RSUs) on December 4, 2025. Each RSU represents a contingent right to receive one share of Hercules Capital common stock. According to the disclosure, this RSU grant will vest 100% on December 4, 2032, meaning the shares underlying the units are not delivered until that future vesting date, assuming conditions are met. The filing is made by a single reporting person and reflects an equity-based compensation award rather than an open-market stock purchase or sale.
Hercules Capital, Inc. reported that its Chief Legal Officer and Chief Compliance Officer, Kiersten Zaza Botelho, received an award of 10,560 restricted stock units (RSUs) on December 4, 2025. Each RSU represents a contingent right to receive one share of Hercules Capital common stock. According to the disclosure, this RSU grant will vest 100% on December 4, 2032, meaning the shares underlying the units are not delivered until that future vesting date, assuming conditions are met. The filing is made by a single reporting person and reflects an equity-based compensation award rather than an open-market stock purchase or sale.
Hercules Capital, Inc. reported an insider equity transaction by its Chief Financial Officer on a Form 4. On December 4, 2025, the CFO received an award of 7,920 restricted stock units (RSUs), each representing one share of common stock, which will vest 100% on December 4, 2032. On December 5, 2025, 20 shares of common stock were withheld at a price of $0.00 to cover taxes related to restricted stock vesting. Following these transactions, the CFO beneficially owns 369,592 shares of common stock and 45,184 RSUs, all held directly.
Hercules Capital, Inc. reported an insider equity transaction by its Chief Financial Officer on a Form 4. On December 4, 2025, the CFO received an award of 7,920 restricted stock units (RSUs), each representing one share of common stock, which will vest 100% on December 4, 2032. On December 5, 2025, 20 shares of common stock were withheld at a price of $0.00 to cover taxes related to restricted stock vesting. Following these transactions, the CFO beneficially owns 369,592 shares of common stock and 45,184 RSUs, all held directly.
Hercules Capital, Inc. reported a new equity award to its Chief Executive Officer, who is the reporting person on this Form 4. On December 4, 2025, the CEO received 23,759 restricted stock units, each representing a contingent right to receive one share of Hercules Capital common stock. The filing states that this restricted stock unit award will vest 100% on December 4, 2032, meaning the shares underlying the units become fully earned on that date if the conditions are satisfied.
Following this grant, the CEO beneficially owns 170,957 derivative securities, reported here as restricted stock units held directly. This filing reflects executive equity-based compensation and updates the CEO’s reported ownership in Hercules Capital’s stock-based awards.
Hercules Capital, Inc. reported a new equity award to its Chief Executive Officer, who is the reporting person on this Form 4. On December 4, 2025, the CEO received 23,759 restricted stock units, each representing a contingent right to receive one share of Hercules Capital common stock. The filing states that this restricted stock unit award will vest 100% on December 4, 2032, meaning the shares underlying the units become fully earned on that date if the conditions are satisfied.
Following this grant, the CEO beneficially owns 170,957 derivative securities, reported here as restricted stock units held directly. This filing reflects executive equity-based compensation and updates the CEO’s reported ownership in Hercules Capital’s stock-based awards.