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
Jun 4, 2016 FForm 4 →	Jun 7, 12:53 pm EDT	Manuel A HenriquezPresident & CEO, Director	6,078	$12.33	$74,942	2,055,240	—	plan?
Jun 4, 2016 FForm 4 →	Jun 7, 12:52 pm EDT	Scott BluesteinChief Investment Officer	800	$12.33	$9,864	238,614	—	plan?
Apr 15, 2016 FForm 4 →	Apr 18, 4:24 pm EDT	Manuel A HenriquezPresident & CEO, Director	9,896	$12.17	$120,434	2,061,318	—	plan?
Apr 14, 2016 FForm 4 →	Apr 18, 4:24 pm EDT	Scott BluesteinChief Investment Officer	1,831	$12.13	$22,210	239,414	—	plan?
Apr 10, 2016 FForm 4 →	Apr 11, 4:07 pm EDT	Manuel A HenriquezPresident & CEO, Director	17,009	$12.23	$208,020	2,071,214	—	plan?
Apr 10, 2016 FForm 4 →	Apr 11, 4:06 pm EDT	Scott BluesteinChief Investment Officer	1,018	$12.23	$12,450	241,245	—	plan?
Mar 14, 2016 AForm 4 →	Mar 15, 5:28 pm EDT	Allyn C Woodward Jr.Director	1,388	$11.51	$15,976	242,901	—	plan?
Mar 14, 2016 AForm 4 →	Mar 15, 5:28 pm EDT	Thomas J FallonDirector	179	$11.51	$2,060	23,688	—	plan?
Mar 14, 2016 AForm 4 →	Mar 15, 5:27 pm EDT	Robert P BadavasDirector	90	$11.51	$1,036	136,205	—	plan?
Mar 10, 2016 FForm 4 →	Mar 11, 2:34 pm EST	Andrew OlsonCorporate Controller	465	$11.38	$5,292	9,339	—	plan?
Mar 9, 2016 FForm 4 →	Mar 11, 2:33 pm EST	Manuel A HenriquezPresident & CEO, Director	55,132	$11.37	$626,720	2,088,223	—	plan?
Mar 9, 2016 FForm 4 →	Mar 11, 2:33 pm EST	Scott BluesteinChief Investment Officer	5,379	$11.37	$61,150	242,263	—	plan?
Mar 4, 2016 FForm 4 →	Mar 7, 6:08 pm EST	Manuel A HenriquezPresident & CEO, Director	6,079	$11.22	$68,206	2,143,355	—	plan?
Mar 4, 2016 FForm 4 →	Mar 7, 6:08 pm EST	Scott BluesteinChief Investment Officer	778	$11.22	$8,729	247,642	—	plan?
Feb 9, 2016 FForm 4/A →	Jan 13, 2017, 12:31 pm EST	Scott BluesteinChief Investment Officer	276	$10.32	$2,848	249,420	—	plan?
Feb 9, 2016 FForm 4 →	Feb 10, 4:13 pm EST	Scott BluesteinChief Investment Officer	276	$10.32	$2,848	248,420	—	plan? amended
Feb 9, 2016 FForm 4 →	Feb 10, 4:12 pm EST	Manuel A HenriquezPresident & CEO, Director	2,526	$10.32	$26,068	2,149,434	—	plan?
Jan 15, 2016 FForm 4 →	Jan 19, 4:08 pm EST	Manuel A HenriquezPresident & CEO, Director	7,516	$10.90	$81,924	2,151,934	—	plan?
Jan 14, 2016 FForm 4/A →	Apr 11, 4:06 pm EDT	Scott BluesteinChief Investment Officer	2,130	$13.83	$29,458	249,696	—	plan?
Jan 14, 2016 FForm 4 →	Jan 19, 4:08 pm EST	Scott BluesteinChief Investment Officer	2,130	$2,130.00	$4,536,900	249,696	—	plan? amended
Jan 10, 2016 AForm 4 →	Jan 12, 4:41 pm EST	Andrew OlsonCorporate Controller	6,000	$12.01	$72,060	9,804	—	plan?
Jan 10, 2016 AForm 4 →	Jan 12, 4:40 pm EST	Manuel A HenriquezPresident & CEO, Director	333,500	$12.01	$4,005,335	2,159,450	—	plan?
Jan 10, 2016 AForm 4 →	Jan 12, 4:40 pm EST	Mark R HarrisChief Financial Officer	33,000	$12.01	$396,330	69,430	—	plan?
Jan 10, 2016 AForm 4 →	Jan 12, 4:40 pm EST	Melanie GraceGeneral Counsel & CCO	9,400	$12.01	$112,894	19,400	—	plan?
Jan 10, 2016 AForm 4 →	Jan 12, 4:39 pm EST	Scott BluesteinChief Investment Officer	104,000	$12.01	$1,249,040	251,826	—	plan?
Jan 9, 2016 FForm 4 →	Jan 11, 2:50 pm EST	Manuel A HenriquezPresident & CEO, Director	15,377	$12.01	$184,678	1,825,950	—	plan?
Jan 9, 2016 FForm 4 →	Jan 11, 2:50 pm EST	Scott BluesteinChief Investment Officer	1,459	$12.01	$17,523	147,826	—	plan?
Dec 31, 2015 AForm 5 →	Feb 12, 2016, 4:27 pm EST	Allyn C Woodward Jr.Director	4,875	—	—	241,513	—	plan?
Dec 31, 2015 AForm 5 →	Feb 12, 2016, 4:26 pm EST	Thomas J FallonDirector	522	—	—	23,509	—	plan?
Dec 31, 2015 AForm 5 →	Feb 12, 2016, 4:26 pm EST	Robert P BadavasDirector	424	—	—	136,115	—	plan?
Dec 31, 2015 AForm 4 →	Jan 5, 2016, 4:17 pm EST	Allyn C Woodward Jr.Director	2,050	$12.19	$24,990	236,638	—	plan?
Dec 31, 2015 AForm 4 →	Jan 5, 2016, 4:17 pm EST	Susanne D LyonsDirector	2,050	$12.19	$24,990	7,855	—	plan?
Dec 31, 2015 AForm 4 →	Jan 5, 2016, 4:16 pm EST	Joseph F HoffmanDirector	2,050	$12.19	$24,990	7,855	—	plan?
Dec 31, 2015 AForm 4 →	Jan 5, 2016, 4:16 pm EST	Rodney A FergusonDirector	2,050	$12.19	$24,990	7,855	—	plan?
Dec 31, 2015 AForm 4 →	Jan 5, 2016, 4:15 pm EST	Thomas J FallonDirector	2,050	$12.19	$24,990	22,987	—	plan?
Dec 31, 2015 AForm 4 →	Jan 5, 2016, 4:15 pm EST	Robert P BadavasDirector	2,050	$12.19	$24,990	135,691	—	plan?
Dec 14, 2015 PForm 4 →	Dec 14, 3:08 pm EST	Manuel A HenriquezPresident & CEO, Director	1,000	$10.99	$10,990	1,841,327	+0.05%	plan?
Dec 9, 2015 FForm 4 →	Dec 10, 4:05 pm EST	Manuel A HenriquezPresident & CEO, Director	2,526	$11.75	$29,681	1,840,327	—	plan?
Dec 9, 2015 FForm 4 →	Dec 10, 4:04 pm EST	Scott BluesteinChief Investment Officer	325	$11.75	$3,819	149,285	—	plan?
Dec 4, 2015 FForm 4 →	Dec 8, 2:57 pm EST	Manuel A HenriquezPresident & CEO, Director	6,079	$11.77	$71,550	1,842,853	—	plan?
Dec 4, 2015 FForm 4 →	Dec 8, 2:56 pm EST	Scott BluesteinChief Investment Officer	1,093	$11.77	$12,865	149,610	—	plan?
Nov 23, 2015 PForm 4 →	Nov 24, 12:52 pm EST	Thomas J FallonDirector	10,000	$11.16	$111,600	20,937	+91.4%	plan?
Nov 9, 2015 FForm 4 →	Nov 12, 1:38 pm EST	Manuel A HenriquezPresident & CEO, Director	2,526	$11.36	$28,695	1,848,932	—	plan? late
Nov 9, 2015 FForm 4 →	Nov 12, 1:37 pm EST	Scott BluesteinChief Investment Officer	325	$11.36	$3,692	150,703	—	plan? late
Oct 15, 2015 FForm 4/A →	Oct 22, 2:37 pm EDT	Manuel A HenriquezPresident & CEO, Director	9,896	$10.42	$103,116	1,851,458	—	plan?
Oct 15, 2015 FForm 4 →	Oct 16, 4:05 pm EDT	Manuel A HenriquezPresident & CEO, Director	11,942	$10.42	$124,436	1,845,278	—	plan? amended
Oct 14, 2015 FForm 4 →	Oct 16, 4:05 pm EDT	Scott BluesteinChief Investment Officer	2,184	$10.47	$22,866	151,028	—	plan?
Oct 9, 2015 FForm 4/A →	Oct 22, 2:37 pm EDT	Manuel A HenriquezPresident & CEO, Director	19,535	$10.68	$208,634	1,861,354	—	plan?
Oct 9, 2015 FForm 4 →	Oct 13, 4:15 pm EDT	Manuel A HenriquezPresident & CEO, Director	23,669	$10.68	$252,785	1,857,220	—	plan? amended
Oct 9, 2015 FForm 4 →	Oct 13, 4:15 pm EDT	Scott BluesteinChief Investment Officer	1,256	$10.68	$13,414	153,212	—	plan?
Sep 30, 2015 AForm 4 →	Oct 2, 4:18 pm EDT	Allyn C Woodward Jr.Director	2,472	$10.11	$24,992	234,588	—	plan?
Sep 30, 2015 AForm 4 →	Oct 2, 4:18 pm EDT	Susanne D LyonsDirector	2,472	$10.11	$24,992	5,805	—	plan?
Sep 30, 2015 AForm 4 →	Oct 2, 4:17 pm EDT	Joseph F HoffmanDirector	2,472	$10.11	$24,992	5,805	—	plan?
Sep 30, 2015 AForm 4 →	Oct 2, 4:17 pm EDT	Rodney A FergusonDirector	2,472	$10.11	$24,992	5,805	—	plan?
Sep 30, 2015 AForm 4 →	Oct 2, 4:16 pm EDT	Thomas J FallonDirector	2,472	$10.11	$24,992	10,937	—	plan?
Sep 30, 2015 AForm 4 →	Oct 2, 4:15 pm EDT	Robert P BadavasDirector	2,472	$10.11	$24,992	133,641	—	plan?
Sep 17, 2015 AForm 4 →	Sep 21, 11:26 am EDT	Melanie GraceGeneral Counsel & CCO	10,000	$11.25	$112,500	10,000	—	plan?
Sep 9, 2015 FForm 4 →	Sep 10, 4:38 pm EDT	Manuel A HenriquezPresident & CEO, Director	2,526	$11.31	$28,569	1,880,889	—	plan?
Sep 9, 2015 FForm 4 →	Sep 10, 4:38 pm EDT	Scott BluesteinChief Investment Officer	238	$11.31	$2,692	154,468	—	plan?
Sep 4, 2015 FForm 4 →	Sep 8, 4:24 pm EDT	Manuel A HenriquezPresident & CEO, Director	6,079	$11.32	$68,814	1,883,415	—	plan?
Sep 4, 2015 FForm 4 →	Sep 8, 4:24 pm EDT	Scott BluesteinChief Investment Officer	800	$11.32	$9,056	154,706	—	plan?
Aug 9, 2015 FForm 4 →	Aug 11, 3:22 pm EDT	Manuel A HenriquezPresident & CEO, Director	2,526	$11.90	$30,059	1,889,494	—	plan?
Aug 9, 2015 FForm 4 →	Aug 11, 3:21 pm EDT	Scott BluesteinChief Investment Officer	238	$11.90	$2,832	155,506	—	plan?
Aug 6, 2015 AForm 4 →	Aug 10, 4:23 pm EDT	Mark R HarrisChief Financial Officer	36,430	$10.98	$400,001	36,430	—	plan?
Jul 15, 2015 FForm 4 →	Jul 16, 2:11 pm EDT	Manuel A HenriquezPresident & CEO, Director	9,896	$11.76	$116,377	1,892,020	—	plan?
Jul 14, 2015 FForm 4 →	Jul 16, 2:11 pm EDT	Scott BluesteinChief Investment Officer	1,831	$11.76	$21,533	155,744	—	plan?
Jul 9, 2015 FForm 4 →	Jul 13, 5:14 pm EDT	Manuel A HenriquezPresident & CEO, Director	19,535	$11.56	$225,804	1,901,916	—	plan?
Jul 9, 2015 FForm 4 →	Jul 13, 5:14 pm EDT	Scott BluesteinChief Investment Officer	1,256	$11.54	$14,500	157,575	—	plan?
Jul 7, 2015 AForm 4 →	Jul 9, 5:02 pm EDT	Rodney A FergusonDirector	3,333	$11.44	$38,130	3,333	—	plan?
Jul 7, 2015 AForm 4 →	Jul 9, 5:00 pm EDT	Allyn C Woodward Jr.Director	5,000	$11.44	$57,200	232,116	—	plan?
Jul 7, 2015 AForm 4 →	Jul 9, 5:00 pm EDT	Thomas J FallonDirector	5,000	$11.44	$57,200	8,465	—	plan?
Jun 19, 2015 PForm 4 →	Jun 19, 1:52 pm EDT	Manuel A HenriquezPresident & CEO, Director	4,500	$11.78	$53,000	1,921,451	+0.23%	plan?
Jun 9, 2015 FForm 4 →	Jun 11, 4:09 pm EDT	Manuel A HenriquezPresident & CEO, Director	2,526	$12.51	$31,600	1,916,951	—	plan?
Jun 9, 2015 FForm 4 →	Jun 11, 4:08 pm EDT	Scott BluesteinChief Investment Officer	238	$12.51	$2,977	158,831	—	plan?
Jun 9, 2015 FForm 4 →	Jun 11, 4:08 pm EDT	Jessica T BaronCFO	274	$12.51	$3,428	98,269	—	plan?
Jun 4, 2015 FForm 4 →	Jun 5, 5:16 pm EDT	Manuel A HenriquezPresident & CEO, Director	6,078	$12.73	$77,373	1,919,477	—	plan?
Jun 4, 2015 FForm 4 →	Jun 5, 5:16 pm EDT	Scott BluesteinChief Investment Officer	800	$12.73	$10,184	159,069	—	plan?
Jun 4, 2015 FForm 4 →	Jun 5, 5:15 pm EDT	Jessica T BaronCFO	425	$12.73	$5,410	98,543	—	plan?
May 29, 2015 AForm 4 →	Jun 2, 4:59 pm EDT	Robert C LakeChief Credit Officer	19,750	$12.83	$253,393	19,750	—	plan?
May 27, 2015 FForm 4 →	May 28, 4:05 pm EDT	Jessica T BaronCFO	196	$12.75	$2,499	98,968	—	plan?
May 19, 2015 SForm 4 →	May 20, 1:39 pm EDT	Scott BluesteinChief Investment Officer	6,000	$12.65	$75,900	159,869	−3.62%	plan?
May 9, 2015 FForm 4 →	May 11, 4:08 pm EDT	Manuel A HenriquezPresident & CEO, Director	2,526	$12.88	$32,535	1,925,555	—	plan?
May 9, 2015 FForm 4 →	May 11, 4:07 pm EDT	Scott BluesteinChief Investment Officer	238	$12.88	$3,065	165,869	—	plan?
May 9, 2015 FForm 4 →	May 11, 4:07 pm EDT	Jessica T BaronCFO	274	$12.88	$3,529	99,164	—	plan?
Apr 27, 2015 FForm 4 →	Apr 28, 4:21 pm EDT	Jessica T BaronCFO	196	$13.75	$2,695	99,438	—	plan?
Apr 23, 2015 SForm 4 →	Apr 24, 5:13 pm EDT	Jessica T BaronCFO	2,000	$14.06	$28,120	99,634	−1.97%	plan?
Apr 20, 2015 SForm 4 →	Apr 21, 4:19 pm EDT	Scott BluesteinChief Investment Officer	6,000	$13.90	$83,400	166,107	−3.49%	plan?
Apr 15, 2015 FForm 4 →	Apr 16, 4:14 pm EDT	Manuel A HenriquezPresident & CEO, Director	39,584	$13.73	$543,488	1,928,081	—	plan?
Apr 14, 2015 FForm 4 →	Apr 16, 4:13 pm EDT	Scott BluesteinChief Investment Officer	7,324	$13.79	$100,998	172,107	—	plan?
Apr 14, 2015 FForm 4 →	Apr 16, 4:13 pm EDT	Jessica T BaronCFO	3,289	$13.79	$45,355	101,634	—	plan?
Apr 9, 2015 FForm 4 →	Apr 13, 4:47 pm EDT	Manuel A HenriquezPresident & CEO, Director	68,501	$13.75	$941,615	1,967,665	—	plan?
Apr 9, 2015 FForm 4 →	Apr 13, 4:46 pm EDT	Scott BluesteinChief Investment Officer	4,700	$13.74	$64,592	179,431	—	plan?
Apr 9, 2015 FForm 4 →	Apr 13, 4:46 pm EDT	Jessica T BaronCFO	4,516	$13.74	$62,057	104,923	—	plan?
Apr 3, 2015 AForm 4 →	Apr 7, 5:02 pm EDT	Joseph F HoffmanDirector	3,333	$13.62	$45,395	3,333	—	plan?
Mar 30, 2015 FForm 4 →	Mar 31, 2:23 pm EDT	Manuel A HenriquezPresident & CEO, Director	1,164	$13.64	$15,877	2,036,166	—	plan?
Mar 30, 2015 FForm 4 →	Mar 31, 2:23 pm EDT	Scott BluesteinChief Investment Officer	60	$13.64	$818	184,131	—	plan?
Mar 27, 2015 FForm 4 →	Mar 31, 2:22 pm EDT	Jessica T BaronCFO	344	$13.65	$4,694	109,439	—	plan?
Mar 23, 2015 SForm 4 →	Mar 24, 6:08 pm EDT	Jessica T BaronCFO	2,000	$13.99	$27,980	109,783	−1.79%	plan?
Mar 19, 2015 SForm 4 →	Mar 23, 5:35 pm EDT	Scott BluesteinChief Investment Officer	6,000	$13.48	$80,880	184,191	−3.15%	plan?
Mar 10, 2015 AForm 4 →	Mar 12, 4:20 pm EDT	Andrew OlsonCorporate Controller	3,804	$14.02	$53,332	3,804	—	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