HTGC · Hercules Capital, Inc. · Insider Trading

Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on October 9, 2026.

Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on October 9, 2026.

Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on October 9, 2026.

Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on October 9, 2026.

Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on October 9, 2026.

Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on October 9, 2026.

Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on October 9, 2026.

Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on October 9, 2026.

Restricted stock issued as an automatic grant upon election to the board of directors pursuant to the 2026 Non-Employee Director Plan and subject to forfeiture restrictions. 1,161 shares vest on August 15, 2027, 1,161 shares vest on July 11, 2028, and 1,161 shares vest on June 18, 2029

Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on September 9, 2026.

Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on July 9, 2026.

Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on July 9, 2026.

Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on July 9, 2026.

Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on July 9, 2026.

Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on July 9, 2026.

Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on July 9, 2026.

Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on July 9, 2026.

Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on July 9, 2026.

Restricted Stock issued as an automatic grant upon re-election to the board of directors pursuant to the 2026 Non-Employee Director Plan and subject to forfeiture restrictions. One-third vests on the anniversary of the grant over three years.

Restricted Stock issued as an automatic grant upon re-election to the board of directors pursuant to the 2026 Non-Employee Director Plan and subject to forfeiture restrictions. One-third vests on the anniversary of the grant over three years.

Restricted Stock issued as an automatic grant upon re-election to the board of directors pursuant to the 2026 Non-Employee Director Plan and subject to forfeiture restrictions. One-third vests on the anniversary of the grant over three years.

Restricted Stock issued as an automatic grant upon re-election to the board of directors pursuant to the 2026 Non-Employee Director Plan and subject to forfeiture restrictions. One-third vests on the anniversary of the grant over three years.

Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on June 9, 2026.

Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on April 9, 2026.

Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on April 9, 2026.

Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on April 9, 2026.

Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on April 9, 2026.

Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on April 9, 2026.

Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on April 9, 2026.

Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on April 9, 2026.

Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on April 9, 2026.

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.

Held by the Fallon Family Revocable Trust.

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.

Average purchase price. Shares purchased at prices between $14.31 and $14.39.

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.

Average purchase price. Shares purchased at prices between $14.31 and $14.39.

The number of shares includes shares acquired pursuant to the Hercules Capital, Inc. dividend reinvestment plan, exempt under Rule 16a-11.

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.

Average purchase price. Shares purchased at prices between $14.31 and $14.39.

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.

Average purchase price. Shares purchased at prices between $14.31 and $14.39.

The number of shares includes shares acquired pursuant to the Hercules Capital, Inc. dividend reinvestment plan, exempt under Rule 16a-11.

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.

Average purchase price. Shares purchased at prices between $14.31 and $14.39.

The number of shares includes shares acquired pursuant to the Hercules Capital, Inc. dividend reinvestment plan, exempt under Rule 16a-11.

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.

Average purchase price. Shares purchased at prices between $14.31 and $14.39.

The number of shares includes shares acquired pursuant to the Hercules Capital, Inc. dividend reinvestment plan, exempt under Rule 16a-11.

Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on March 5, 2026.

Average purchase price. Shares purchased at prices between $14.60 and $14.78.

This Form 4 amendment corrects an administrative error in reporting the type of transaction executed by the Reporting Person.

The number of shares includes shares acquired pursuant to the Hercules Capital, Inc. dividend reinvestment plan, exempt under Rule 16a-11.

This Form 4 amendment corrects an administrative error in reporting the number of shares purchased by the Reporting Person. There is no change to the resulting amount of securities beneficially owned by the Reporting Person, which was correct in the original Form 4.

Average purchase price. Shares purchased at prices between $14.30 and $14.35.

Average purchase price. Shares purchased at prices between $14.16 and $14.22.

Held by the Fallon Family Revocable Trust

Held by the Robert P. Badavas Trust of 2007

Average purchase price. Shares purchased at prices between $14.30 and $14.36.

The number of shares includes shares acquired pursuant to the Hercules Capital, Inc. dividend reinvestment plan, exempt under Rule 16a-11.

Held by the Loo Revocable Trust

Average purchase price. Shares purchased at prices between $15.04 and $15.10.

Average purchase price. Shares purchased at prices between $15.01 and $15.02.

Held by the Robert P. Badavas Trust of 2007