Form Type: 4

SEC EDGAR Link
Accession Number:0001437749-20-016511
Date:2020-07-31
Issuer: HERCULES CAPITAL, INC. (HTGC)
Original Submission Date:

Reporting Person:

BLUESTEIN SCOTT
C/O HERCULES CAPITAL, INC.
31 ST. JAMES AVENUE, SUITE 790 BOSTON, MA 02116

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
RESTRICTED STOCK UNITS 2020-07-31 D 25,568 d $11.04 433,887 direct
COMMON STOCK 2020-07-31 A 25,568 a $11.04 688,402 direct
COMMON STOCK 2020-07-31 F 11,340 d $11.04 677,062 direct
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
Footnotes
IDfootnote
f1 represents vested restricted stock units and dividend equivalent shares converted to hercules capital, inc. common stock on july 31, 2020.
f2 represents hercules, inc. common stock received from vested restricted stock units and dividend equivalent shares on july 31, 2020.
f3 represents hercules, inc. common stock withheld to pay taxes applicable to the vesting of restricted stock units and dividend equivalent shares on july 31, 2020.
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