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
Mar 10, 2015 AForm 4 →	Mar 12, 4:19 pm EDT	Manuel A HenriquezPresident & CEO, Director	318,983	$14.02	$4,472,142	2,037,330	—	plan?
Mar 10, 2015 AForm 4 →	Mar 12, 4:19 pm EDT	Scott BluesteinChief Investment Officer	47,804	$14.02	$670,212	190,191	—	plan?
Mar 10, 2015 AForm 4 →	Mar 12, 4:19 pm EDT	Jessica T BaronCFO	19,104	$14.02	$267,838	111,783	—	plan?
Mar 9, 2015 FForm 4 →	Mar 11, 4:18 pm EDT	Manuel A HenriquezPresident & CEO, Director	1,919	$14.53	$27,883	1,718,347	—	plan?
Mar 9, 2015 FForm 4 →	Mar 11, 4:17 pm EDT	Scott BluesteinChief Investment Officer	277	$14.53	$4,025	142,387	—	plan?
Mar 9, 2015 FForm 4 →	Mar 11, 4:17 pm EDT	Jessica T BaronCFO	320	$14.53	$4,650	92,679	—	plan?
Mar 7, 2015 AForm 4 →	Mar 10, 4:10 pm EDT	Susanne D LyonsDirector	3,333	$14.60	$48,662	3,333	—	plan?
Mar 4, 2015 FForm 4 →	Mar 6, 4:08 pm EST	Manuel A HenriquezPresident & CEO, Director	9,549	$14.46	$138,079	1,720,266	—	plan?
Mar 4, 2015 FForm 4 →	Mar 6, 4:07 pm EST	Scott BluesteinChief Investment Officer	1,675	$14.46	$24,221	142,664	—	plan?
Mar 4, 2015 FForm 4 →	Mar 6, 4:07 pm EST	Jessica T BaronCFO	1,271	$14.46	$18,379	92,999	—	plan?
Feb 28, 2015 FForm 4 →	Mar 2, 6:41 pm EST	Manuel A HenriquezPresident & CEO, Director	1,159	$15.55	$18,022	1,729,815	—	plan?
Feb 28, 2015 FForm 4 →	Mar 2, 6:41 pm EST	Scott BluesteinChief Investment Officer	60	$15.55	$933	144,339	—	plan?
Feb 27, 2015 FForm 4 →	Mar 2, 6:40 pm EST	Jessica T BaronCFO	343	$15.55	$5,334	94,270	—	plan?
Feb 23, 2015 SForm 4 →	Feb 25, 3:38 pm EST	Jessica T BaronCFO	2,000	$15.44	$30,880	94,613	−2.07%	plan?
Feb 19, 2015 SForm 4 →	Feb 23, 2:38 pm EST	Scott BluesteinChief Investment Officer	6,000	$15.36	$92,160	144,399	−3.99%	plan?
Feb 9, 2015 FForm 4 →	Feb 11, 5:13 pm EST	Manuel A HenriquezPresident & CEO, Director	1,893	$15.49	$29,323	1,730,974	—	plan?
Feb 9, 2015 FForm 4 →	Feb 11, 5:13 pm EST	Scott BluesteinChief Investment Officer	276	$15.49	$4,275	149,089	—	plan?
Feb 9, 2015 FForm 4 →	Feb 11, 5:12 pm EST	Jessica T BaronCFO	320	$15.49	$4,957	96,613	—	plan?
Jan 30, 2015 FForm 4 →	Feb 2, 4:50 pm EST	Manuel A HenriquezPresident & CEO, Director	1,135	$15.02	$17,048	1,732,867	—	plan?
Jan 30, 2015 FForm 4 →	Feb 2, 4:50 pm EST	Scott BluesteinChief Investment Officer	60	$15.02	$901	149,365	—	plan?
Jan 30, 2015 FForm 4 →	Feb 2, 4:50 pm EST	Jessica T BaronCFO	115	$15.02	$1,727	96,933	—	plan?
Jan 27, 2015 FForm 4 →	Jan 28, 6:02 pm EST	Jessica T BaronCFO	229	$14.75	$3,378	97,048	—	plan?
Jan 23, 2015 SForm 4 →	Jan 26, 4:15 pm EST	Jessica T BaronCFO	2,000	$15.00	$30,000	97,277	−2.01%	plan?
Jan 20, 2015 SForm 4 →	Jan 22, 4:25 pm EST	Scott BluesteinChief Investment Officer	6,000	$13.96	$83,760	149,425	−3.86%	plan?
Jan 9, 2015 FForm 4 →	Jan 12, 4:11 pm EST	Manuel A HenriquezPresident & CEO, Director	2,235	$14.58	$32,586	1,734,002	—	plan?
Jan 9, 2015 FForm 4 →	Jan 12, 4:10 pm EST	Scott BluesteinChief Investment Officer	276	$14.58	$4,024	155,425	—	plan?
Jan 9, 2015 FForm 4 →	Jan 12, 4:10 pm EST	Jessica T BaronCFO	320	$14.58	$4,666	99,277	—	plan?
Dec 31, 2014 AForm 5 →	Feb 13, 2015, 1:52 pm EST	Allyn C Woodward Jr.Director	3,505	—	—	227,116	—	plan?
Dec 31, 2014 AForm 5 →	Feb 13, 2015, 1:51 pm EST	Thomas J FallonDirector	132	—	—	3,465	—	plan?
Dec 31, 2014 AForm 5 →	Feb 13, 2015, 1:51 pm EST	Scott BluesteinChief Investment Officer	1,310	—	—	150,399	—	plan?
Dec 31, 2014 AForm 5 →	Feb 13, 2015, 1:50 pm EST	Robert P BadavasDirector	270	—	—	131,169	—	plan?
Dec 30, 2014 FForm 4/A →	Feb 10, 2016, 4:12 pm EST	Manuel A HenriquezPresident & CEO, Director	1,289	$15.07	$19,425	1,736,263	—	plan?
Dec 22, 2014 GForm 4/A →	Feb 9, 2015, 5:09 pm EST	Robert P BadavasDirector	4,500	—	—	130,899	—	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