Company · CIK 0001280784 · NYSE

Hercules Capital, Inc. · HTGC

Insider activity reported against this company. All insider holders · Files at: BOX. On EDGAR ↗

Period1M 3M 6M 1Y 2Y All datashares as filed — not split-adjusted

Open-market activity at this companybuys $176k · 3sales $533k · 9net −$357k

Reported at this company — common stock

Trade	Reported (ET)	Insider	Shares	Avg price	Total	Owned after	Δ stake	Flags
Nov 20, 2017 AForm 4 →	Nov 21, 3:07 pm EST	Manuel A HenriquezPresident & CEO, Director	8,681	$13.44	$116,673	385,076	—	plan?
Oct 10, 2017 FForm 4 →	Oct 11, 4:13 pm EDT	Manuel A HenriquezPresident & CEO, Director	13,752	$12.74	$175,200	1,869,663	—	plan?
Oct 10, 2017 FForm 4 →	Oct 11, 4:10 pm EDT	Melanie GraceGeneral Counsel & CCO	284	$12.74	$3,618	14,662	—	plan?
Oct 10, 2017 FForm 4 →	Oct 11, 4:09 pm EDT	Scott BluesteinChief Investment Officer	2,822	$12.74	$35,952	209,339	—	plan?
Oct 10, 2017 FForm 4 →	Oct 11, 4:08 pm EDT	Mark R HarrisChief Financial Officer	1,037	$12.74	$13,211	52,568	—	plan?
Sep 17, 2017 FForm 4 →	Sep 18, 4:47 pm EDT	Melanie GraceGeneral Counsel & CCO	301	$12.40	$3,732	14,946	—	plan?
Sep 10, 2017 FForm 4 →	Sep 11, 4:05 pm EDT	Scott BluesteinChief Investment Officer	1,297	$12.04	$15,616	212,161	—	plan?
Sep 10, 2017 FForm 4 →	Sep 11, 4:02 pm EDT	Manuel A HenriquezPresident & CEO, Director	13,154	$12.04	$158,374	1,883,415	—	plan?
Aug 21, 2017 AForm 4 →	Aug 22, 4:12 pm EDT	Melanie GraceGeneral Counsel & CCO	529	$12.92	$6,835	22,582	—	plan?
Aug 21, 2017 AForm 4 →	Aug 22, 4:11 pm EDT	Scott BluesteinChief Investment Officer	3,086	$12.92	$39,871	131,737	—	plan?
Aug 21, 2017 AForm 4 →	Aug 22, 4:10 pm EDT	Mark R HarrisChief Financial Officer	881	$12.92	$11,383	37,638	—	plan?
Aug 21, 2017 AForm 4 →	Aug 22, 4:07 pm EDT	Thomas J FallonDirector	40	$12.92	$517	31,836	—	plan?
Aug 21, 2017 AForm 4 →	Aug 22, 4:06 pm EDT	Robert P BadavasDirector	2,936	$12.92	$37,933	128,565	—	plan?
Aug 21, 2017 AForm 4 →	Aug 22, 4:04 pm EDT	Allyn C WoodwardDirector	466	$12.92	$6,021	257,105	—	plan?
Aug 21, 2017 AForm 4 →	Aug 22, 4:03 pm EDT	Manuel A HenriquezPresident & CEO, Director	8,819	$12.92	$113,941	376,395	—	plan?
Aug 15, 2017 AForm 4 →	Aug 16, 6:45 pm EDT	Robert P BadavasDirector	3,903	$12.81	$49,997	125,629	—	plan?
Aug 15, 2017 AForm 4 →	Aug 16, 6:44 pm EDT	Doreen Woo HoDirector	3,903	$12.81	$49,997	7,236	—	plan?
Aug 15, 2017 AForm 4 →	Aug 16, 6:43 pm EDT	Thomas J FallonDirector	3,903	$12.81	$49,997	31,796	—	plan?
Aug 15, 2017 AForm 4 →	Aug 16, 6:42 pm EDT	Allyn C WoodwardDirector	3,903	$12.81	$49,997	256,639	—	plan?
Aug 15, 2017 AForm 4 →	Aug 16, 6:41 pm EDT	Joseph F HoffmanDirector	3,903	$12.81	$49,997	20,478	—	plan?
Aug 6, 2017 FForm 4 →	Aug 7, 12:30 pm EDT	Mark R HarrisChief Financial Officer	1,141	$12.78	$14,582	53,605	—	plan?
Jul 10, 2017 FForm 4 →	Jul 11, 2:02 pm EDT	Manuel A HenriquezPresident & CEO, Director	13,752	$13.43	$184,689	1,896,569	—	plan?
Jul 10, 2017 FForm 4 →	Jul 11, 2:01 pm EDT	Scott BluesteinChief Investment Officer	2,805	$13.43	$37,671	213,458	—	plan?
Jul 10, 2017 FForm 4 →	Jul 11, 1:58 pm EDT	Mark R HarrisChief Financial Officer	1,034	$13.43	$13,887	54,746	—	plan?
Jul 10, 2017 FForm 4 →	Jul 11, 1:57 pm EDT	Melanie GraceGeneral Counsel & CCO	283	$13.43	$3,801	15,247	—	plan?
Jul 10, 2017 FForm 4 →	Jul 11, 1:55 pm EDT	Andrew OlsonVP Finance & Sr Controller	188	$13.43	$2,525	7,446	—	plan?
Jun 17, 2017 FForm 4 →	Jun 19, 12:05 pm EDT	Melanie GraceGeneral Counsel & CCO	302	$13.28	$4,011	15,530	—	plan?
Jun 10, 2017 FForm 4 →	Jun 13, 11:20 am EDT	Andrew OlsonVP Finance & Sr Controller	120	$13.05	$1,566	7,634	—	plan?
Jun 10, 2017 FForm 4 →	Jun 13, 11:19 am EDT	Manuel A HenriquezPresident & CEO, Director	13,226	$13.05	$172,599	1,910,321	—	plan?
Jun 10, 2017 FForm 4 →	Jun 13, 11:17 am EDT	Scott BluesteinChief Investment Officer	1,261	$13.05	$16,456	216,263	—	plan?
May 22, 2017 AForm 4 →	May 24, 4:18 pm EDT	Allyn C WoodwardDirector	1,216	$13.31	$16,185	252,736	—	plan?
May 22, 2017 AForm 4 →	May 24, 4:17 pm EDT	Thomas J FallonDirector	78	$13.31	$1,038	27,893	—	plan?
May 22, 2017 AForm 4 →	May 24, 4:17 pm EDT	Robert P BadavasDirector	2,795	$13.31	$37,201	121,726	—	plan?
May 22, 2017 AForm 4 →	May 23, 4:22 pm EDT	Andrew OlsonVP Finance & Sr Controller	418	$13.31	$5,564	18,378	—	plan?
May 22, 2017 AForm 4 →	May 23, 4:21 pm EDT	Mark R HarrisChief Financial Officer	836	$13.31	$11,127	36,757	—	plan?
May 22, 2017 AForm 4 →	May 23, 4:20 pm EDT	Melanie GraceGeneral Counsel & CCO	501	$13.31	$6,668	22,053	—	plan?
May 22, 2017 AForm 4 →	May 23, 4:19 pm EDT	Manuel A HenriquezPresident & CEO, Director	8,366	$13.31	$111,351	367,576	—	plan?
May 22, 2017 AForm 4 →	May 23, 4:18 pm EDT	Scott BluesteinChief Investment Officer	2,928	$13.31	$38,972	128,651	—	plan?
May 6, 2017 FForm 4 →	May 9, 10:40 am EDT	Mark R HarrisChief Financial Officer	1,302	$13.00	$16,926	55,780	—	plan?
Apr 10, 2017 FForm 4 →	Apr 11, 4:39 pm EDT	Melanie GraceGeneral Counsel & CCO	332	$15.08	$5,007	15,832	—	plan?
Apr 10, 2017 FForm 4 →	Apr 11, 4:38 pm EDT	Scott BluesteinChief Investment Officer	2,822	$15.08	$42,556	217,524	—	plan?
Apr 10, 2017 FForm 4 →	Apr 11, 4:37 pm EDT	Manuel A HenriquezPresident & CEO, Director	13,752	$15.08	$207,380	1,923,547	—	plan?
Apr 10, 2017 FForm 4 →	Apr 11, 4:36 pm EDT	Andrew OlsonVP Finance & Sr Controller	219	$15.08	$3,303	7,754	—	plan?
Apr 10, 2017 FForm 4 →	Apr 11, 4:35 pm EDT	Mark R HarrisChief Financial Officer	1,010	$15.08	$15,231	57,082	—	plan?
Mar 17, 2017 FForm 4 →	Mar 20, 11:38 am EDT	Melanie GraceGeneral Counsel & CCO	353	$15.09	$5,327	16,164	—	plan?
Mar 13, 2017 AForm 4 →	Mar 15, 5:22 pm EDT	Allyn C WoodwardDirector	1,146	$14.85	$17,018	251,520	—	plan?
Mar 13, 2017 AForm 4 →	Mar 15, 5:19 pm EDT	Thomas J FallonDirector	70	$14.85	$1,040	27,815	—	plan?
Mar 13, 2017 AForm 4 →	Mar 15, 5:18 pm EDT	Robert P BadavasDirector	2,429	$14.85	$36,071	122,522	—	plan?
Mar 13, 2017 AForm 4 →	Mar 14, 5:03 pm EDT	Andrew OlsonVP Finance & Sr Controller	367	$14.85	$5,450	17,960	—	plan?
Mar 13, 2017 AForm 4 →	Mar 14, 5:02 pm EDT	Manuel A HenriquezPresident & CEO, Director	7,345	$14.85	$109,073	359,210	—	plan?
Mar 13, 2017 AForm 4 →	Mar 14, 5:00 pm EDT	Mark R HarrisChief Financial Officer	734	$14.85	$10,900	35,921	—	plan?
Mar 13, 2017 AForm 4 →	Mar 14, 4:59 pm EDT	Melanie GraceGeneral Counsel & CCO	440	$14.85	$6,534	21,661	—	plan?
Mar 13, 2017 AForm 4 →	Mar 14, 4:58 pm EDT	Scott BluesteinChief Investment Officer	2,570	$14.85	$38,165	125,723	—	plan?
Mar 10, 2017 FForm 4 →	Mar 13, 6:16 pm EDT	Andrew OlsonVP Finance & Sr Controller	139	$14.69	$2,042	7,973	—	plan?
Mar 10, 2017 FForm 4 →	Mar 13, 6:15 pm EDT	Manuel A HenriquezPresident & CEO, Director	13,154	$14.69	$193,232	1,937,299	—	plan?
Mar 10, 2017 FForm 4 →	Mar 13, 6:12 pm EDT	Scott BluesteinChief Investment Officer	1,297	$14.69	$19,053	220,346	—	plan?
Mar 4, 2017 FForm 4 →	Mar 7, 11:43 am EST	Manuel A HenriquezPresident & CEO, Director	6,079	$14.82	$90,091	1,950,453	—	plan?
Mar 4, 2017 FForm 4 →	Mar 7, 11:41 am EST	Scott BluesteinChief Investment Officer	800	$14.82	$11,856	221,643	—	plan?
Feb 6, 2017 FForm 4 →	Feb 16, 3:15 pm EST	Mark R HarrisChief Financial Officer	1,114	$14.51	$16,164	58,092	—	plan? late
Jan 24, 2017 AForm 4/A →	May 23, 12:43 pm EDT	Melanie GraceGeneral Counsel & CCO	21,112	—	—	21,112	—	plan?
Jan 24, 2017 AForm 4 →	Jan 26, 4:13 pm EST	Andrew OlsonVP Finance & Sr Controller	17,593	—	—	17,593	—	plan?
Jan 24, 2017 AForm 4 →	Jan 26, 4:12 pm EST	Melanie GraceGeneral Counsel & CCO	21,221	—	—	21,221	—	plan? amended
Jan 24, 2017 AForm 4 →	Jan 26, 4:11 pm EST	Mark R HarrisChief Financial Officer	42,224	—	—	42,224	—	plan?
Jan 24, 2017 AForm 4 →	Jan 26, 4:10 pm EST	Manuel A HenriquezPresident & CEO, Director	351,865	—	—	351,865	—	plan?
Jan 24, 2017 AForm 4 →	Jan 26, 4:09 pm EST	Scott BluesteinChief Investment Officer	123,153	—	—	123,153	—	plan?
Jan 10, 2017 FForm 4 →	Jan 12, 1:51 pm EST	Scott BluesteinChief Investment Officer	11,680	$14.21	$165,973	221,443	—	plan?
Jan 10, 2017 FForm 4 →	Jan 12, 1:48 pm EST	Andrew OlsonVP Finance & Sr Controller	876	$14.21	$12,448	8,112	—	plan?
Jan 10, 2017 FForm 4 →	Jan 12, 1:47 pm EST	Mark R HarrisChief Financial Officer	4,656	$14.21	$66,162	59,206	—	plan?
Jan 10, 2017 FForm 4 →	Jan 12, 1:46 pm EST	Melanie GraceGeneral Counsel & CCO	1,326	$14.21	$18,842	16,517	—	plan?
Jan 10, 2017 FForm 4 →	Jan 12, 1:45 pm EST	Manuel A HenriquezPresident & CEO, Director	47,088	$14.21	$669,120	1,956,532	—	plan?
Dec 31, 2016 AForm 5 →	Jan 20, 2017, 3:35 pm EST	Robert P BadavasDirector	168	—	—	120,093	—	plan?
Dec 31, 2016 AForm 5 →	Jan 20, 2017, 3:33 pm EST	Allyn C WoodwardDirector	3,753	—	—	250,374	—	plan?
Dec 31, 2016 AForm 5 →	Jan 20, 2017, 3:32 pm EST	Thomas J FallonDirector	337	—	—	27,745	—	plan?
Dec 17, 2016 FForm 4 →	Dec 19, 3:25 pm EST	Melanie GraceGeneral Counsel & CCO	353	$13.45	$4,748	17,843	—	plan?
Dec 10, 2016 FForm 4 →	Dec 12, 5:09 pm EST	Manuel A HenriquezPresident & CEO, Director	13,154	$13.67	$179,815	2,003,620	—	plan?
Dec 10, 2016 FForm 4 →	Dec 12, 5:08 pm EST	Andrew OlsonVP Finance & Sr Controller	117	$13.67	$1,599	8,988	—	plan?
Dec 10, 2016 FForm 4 →	Dec 12, 5:07 pm EST	Scott BluesteinChief Investment Officer	1,297	$13.67	$17,730	233,123	—	plan?
Dec 4, 2016 FForm 4 →	Dec 6, 3:38 pm EST	Scott BluesteinChief Investment Officer	800	$13.55	$10,840	234,420	—	plan?
Dec 4, 2016 FForm 4 →	Dec 6, 3:37 pm EST	Manuel A HenriquezPresident & CEO, Director	6,079	$13.55	$82,370	2,016,774	—	plan?
Nov 23, 2016 GForm 4 →	Nov 28, 11:57 am EST	Robert P BadavasDirector	20,000	—	—	119,925	—	plan?
Nov 6, 2016 FForm 4 →	Nov 7, 2:59 pm EST	Mark R HarrisChief Financial Officer	1,114	$12.90	$14,371	63,862	—	plan?
Oct 21, 2016 AForm 4 →	Oct 25, 1:08 pm EDT	Doreen Woo HoDirector	3,333	$13.61	$45,362	3,333	—	plan?
Sep 17, 2016 FForm 4 →	Sep 19, 4:34 pm EDT	Melanie GraceGeneral Counsel & CCO	1,204	$13.29	$16,001	18,196	—	plan?
Sep 15, 2016 AForm 4 →	Sep 19, 7:49 pm EDT	Allyn C Woodward Jr.Director	3,720	$13.44	$49,997	246,621	—	plan?
Sep 15, 2016 AForm 4/A →	Sep 19, 7:43 pm EDT	Robert P BadavasDirector	—	—	—	139,925	—	plan?
Sep 15, 2016 AForm 4 →	Sep 19, 4:37 pm EDT	Susanne D LyonsDirector	3,720	$13.44	$49,997	11,575	—	plan?
Sep 15, 2016 AForm 4 →	Sep 19, 4:32 pm EDT	Joseph F HoffmanDirector	3,720	$13.44	$49,997	16,575	—	plan?
Sep 15, 2016 AForm 4 →	Sep 19, 4:31 pm EDT	Robert P BadavasDirector	3,720	$13.44	$49,997	246,621	—	plan?
Sep 15, 2016 AForm 4 →	Sep 19, 4:30 pm EDT	Robert P BadavasDirector	3,720	$13.44	$49,997	139,925	—	plan? amended
Sep 15, 2016 AForm 4 →	Sep 19, 4:28 pm EDT	Thomas J FallonDirector	3,720	$13.44	$49,997	27,408	—	plan?
Sep 10, 2016 FForm 4 →	Sep 13, 12:51 pm EDT	Andrew OlsonVP Finance & Sr Controller	117	$13.53	$1,583	9,105	—	plan?
Sep 10, 2016 FForm 4 →	Sep 13, 12:50 pm EDT	Manuel A HenriquezPresident & CEO, Director	13,154	$13.53	$177,974	2,022,853	—	plan?
Sep 10, 2016 FForm 4 →	Sep 13, 12:49 pm EDT	Scott BluesteinChief Investment Officer	1,297	$13.53	$17,548	235,220	—	plan?
Sep 4, 2016 FForm 4 →	Sep 6, 4:08 pm EDT	Scott BluesteinChief Investment Officer	800	$13.76	$11,008	236,517	—	plan?
Sep 4, 2016 FForm 4 →	Sep 6, 4:07 pm EDT	Manuel A HenriquezPresident & CEO, Director	6,079	$13.76	$83,647	2,036,007	—	plan?
Aug 6, 2016 FForm 4 →	Aug 8, 11:29 am EDT	Mark R HarrisChief Financial Officer	4,454	$13.67	$60,886	64,976	—	plan?
Jul 7, 2016 AForm 4 →	Jul 11, 4:44 pm EDT	Joseph F HoffmanDirector	5,000	$12.47	$62,350	12,855	—	plan?
Jun 10, 2016 FForm 4 →	Jun 13, 7:00 pm EDT	Scott BluesteinChief Investment Officer	1,297	$12.20	$15,823	237,317	—	plan?
Jun 10, 2016 FForm 4 →	Jun 13, 6:57 pm EDT	Andrew OlsonVP Finance & Sr Controller	117	$12.20	$1,427	9,222	—	plan?
Jun 10, 2016 FForm 4 →	Jun 13, 6:56 pm EDT	Manuel A HenriquezPresident & CEO, Director	13,154	$12.20	$160,479	2,042,086	—	plan?

Reported at this company — derivatives (options, RSUs, warrants)

Trade	Reported (ET)	Insider	Shares	Avg price	Total	Owned after	Δ stake
Oct 21, 2016 AForm 4 →	Oct 25, 1:08 pm EDT	Doreen Woo HoDirector	10,000	$13.61	$136,100	10,000	—
Jul 7, 2016 AForm 4 →	Jul 11, 4:44 pm EDT	Joseph F HoffmanDirector	15,000	$12.47	$187,050	25,000	—
Jul 7, 2015 AForm 4 →	Jul 9, 5:02 pm EDT	Rodney A FergusonDirector	10,000	—	—	10,000	—
Jul 7, 2015 AForm 4 →	Jul 9, 5:00 pm EDT	Allyn C Woodward Jr.Director	15,000	—	—	25,000	—
Jul 7, 2015 AForm 4 →	Jul 9, 5:00 pm EDT	Thomas J FallonDirector	15,000	—	—	25,000	—
Apr 3, 2015 AForm 4 →	Apr 7, 5:02 pm EDT	Joseph F HoffmanDirector	10,000	—	—	10,000	—
Mar 7, 2015 AForm 4 →	Mar 10, 4:10 pm EDT	Susanne D LyonsDirector	10,000	—	—	10,000	—

Filed by this entity as an insider elsewhere — common stock

Trade	Reported (ET)	Company	Shares	Avg price	Total	Owned after	Δ stake	Flags
Jan 28, 2015 CJForm 4 →	Jan 29, 4:14 pm EST	BOX INCBOX	2,929,494	—	—	0	—	plan?

Filed by this entity as an insider elsewhere — derivatives (options, RSUs, warrants)

Trade	Reported (ET)	Company	Shares	Avg price	Total	Owned after	Δ stake	Flags
Jan 22, 2015 CJForm 4 →	Jan 29, 4:14 pm EST	BOX INCBOX	2,929,494	—	—	661,695	—	late