Form Type: 4

SEC EDGAR Link
Accession Number:0001562180-22-005784
Date:2022-08-01
Issuer: HERCULES CAPITAL, INC. (HTGC)
Original Submission Date:

Reporting Person:

FALLON THOMAS J
C/O HERCULES CAPITAL, INC.
400 HAMILTON AVENUE SUITE 310 PALO ALTO, CA 94301

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
COMMON STOCK 2022-08-01 D 230 d $0.00 7,231 direct
COMMON STOCK 2022-08-01 A 4,339 a $16.13 11,570 direct
COMMON STOCK 2022-08-01 A 230 a $0.00 61,834 indirect f3
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 230 shares previously reported as directly owned are now being reported as indirectly owned.
f2 shares purchased based on reporting person's election to receive stock in lieu of cash compensation fee otherwise due to reporting person as a director of the issuer.
f3 held by the fallon family revocable trust
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