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[Form 4] Hercules Capital, Inc. Insider Trading Activity

Filing Impact
(Low)
Filing Sentiment
(Negative)
Form Type
4
Rhea-AI Filing Summary

Hercules Capital, Inc. (HTGC) 鈥� Form 4 filing: Chief Legal Officer & Chief Compliance Officer Kiersten Zaza Botelho reported an automatic share withholding on 9 July 2025 related to the vesting of restricted stock. The company withheld 912 common shares at a price of $18.56 per share to cover applicable taxes (Transaction Code F). Following the transaction, the executive retains 66,651 directly held shares. Because the shares were not sold on the open market and merely satisfied tax obligations, the event neither increases nor decreases the executive鈥檚 economic exposure to HTGC and is typically viewed as administrative rather than directional trading activity.

Hercules Capital, Inc. (HTGC) 鈥� Comunicazione Form 4: Kiersten Zaza Botelho, Chief Legal Officer & Chief Compliance Officer, ha segnalato un ritenuto automatico di azioni il 9 luglio 2025 relativo al consolidamento di azioni vincolate. La societ脿 ha trattenuto 912 azioni ordinarie al prezzo di 18,56 $ per azione per coprire le tasse dovute (Codice Transazione F). Dopo questa operazione, l鈥檈secutivo detiene ancora 66.651 azioni direttamente possedute. Poich茅 le azioni non sono state vendute sul mercato aperto ma utilizzate esclusivamente per adempiere agli obblighi fiscali, l鈥檈vento non modifica l鈥檈sposizione economica dell鈥檈secutivo verso HTGC ed 猫 generalmente considerato un鈥檕perazione amministrativa piuttosto che una transazione direzionale.

Hercules Capital, Inc. (HTGC) 鈥� Presentaci贸n Formulario 4: Kiersten Zaza Botelho, Directora Legal y de Cumplimiento, report贸 una retenci贸n autom谩tica de acciones el 9 de julio de 2025 relacionada con la consolidaci贸n de acciones restringidas. La compa帽铆a retuvo 912 acciones comunes a un precio de $18.56 por acci贸n para cubrir impuestos aplicables (C贸digo de Transacci贸n F). Tras esta operaci贸n, la ejecutiva mantiene 66,651 acciones directamente en su poder. Dado que las acciones no se vendieron en el mercado abierto y solo se usaron para cumplir obligaciones fiscales, el evento no aumenta ni disminuye la exposici贸n econ贸mica de la ejecutiva a HTGC y se considera t铆picamente una actividad administrativa m谩s que una operaci贸n direccional.

Hercules Capital, Inc. (HTGC) 鈥� Form 4 鞝滌稖: 斓滉碃 氩曤 毂呾瀯鞛� 瓴� 斓滉碃 欷�氩� 臧愳嫓鞚� Kiersten Zaza Botelho臧� 2025雲� 7鞗� 9鞚� 鞝滍暅 欤检嫕鞚� 甓岆Μ 頇曥爼瓿� 甏�霠悳 鞛愲彊 欤检嫕 鞗愳矞歆曥垬毳� 氤搓碃頄堨姷雼堧嫟. 須岇偓電� 頃措嫻 靹戈笀鞚� 於╇嫻頃橁赴 鞙勴暣 912 氤错喌欤�毳� 欤茧嫻 $18.56鞐� 鞗愳矞歆曥垬頄堨姷雼堧嫟(瓯半灅 旖旊摐 F). 鞚� 瓯半灅 鞚错泟 鞛勳洂鞚� 歆侅爲 氤挫湢頃� 66,651欤�毳� 鞙犾頃橁碃 鞛堨姷雼堧嫟. 欤检嫕鞚� 瓿店皽 鞁滌灔鞐愳劀 毵る弰霅� 瓴冹澊 鞎勲媹霛� 靹戈笀 雮╇秬毳� 鞙勴暅 瓴冹瀯鞙茧, 鞚� 靷贝鞚� 鞛勳洂鞚� HTGC鞐� 雽�頃� 瓴届牅鞝� 雲胳稖鞚� 歃濌皜鞁滍偆瓯半倶 臧愳唽鞁滍偆歆� 鞎婌溂氅� 鞚茧皹鞝侅溂搿� 頄夓爼鞝� 臁办箻搿� 臧勳＜霅╇媹雼�.

Hercules Capital, Inc. (HTGC) 鈥� D茅p么t du formulaire 4 : Kiersten Zaza Botelho, Directrice juridique et de la conformit茅, a d茅clar茅 une retenue automatique d鈥檃ctions le 9 juillet 2025 li茅e 脿 l鈥檃cquisition d鈥檃ctions restreintes. La soci茅t茅 a retenu 912 actions ordinaires au prix de 18,56 $ par action pour couvrir les imp么ts applicables (Code de transaction F). Apr猫s cette op茅ration, la dirigeante d茅tient toujours 66 651 actions d茅tenues directement. Comme les actions n鈥檕nt pas 茅t茅 vendues sur le march茅 ouvert mais simplement utilis茅es pour s鈥檃cquitter des obligations fiscales, cet 茅v茅nement n鈥檃ugmente ni ne diminue l鈥檈xposition 茅conomique de la dirigeante 脿 HTGC et est g茅n茅ralement consid茅r茅 comme une op茅ration administrative plut么t qu鈥檜ne transaction directionnelle.

Hercules Capital, Inc. (HTGC) 鈥� Form 4 Einreichung: Chief Legal Officer & Chief Compliance Officer Kiersten Zaza Botelho meldete am 9. Juli 2025 eine automatische Aktieneinbehaltung im Zusammenhang mit der Vesting von Restricted Stock. Das Unternehmen behielt 912 Stammaktien zum Preis von 18,56 $ pro Aktie ein, um die anfallenden Steuern zu begleichen (Transaktionscode F). Nach der Transaktion h盲lt die F眉hrungskraft weiterhin 66.651 direkt gehaltene Aktien. Da die Aktien nicht auf dem offenen Markt verkauft wurden, sondern lediglich zur Begleichung der Steuerverpflichtungen dienten, erh枚ht oder verringert dieses Ereignis die wirtschaftliche Beteiligung der F眉hrungskraft an HTGC nicht und wird typischerweise als administrative und nicht als richtungsweisende Handelsaktivit盲t betrachtet.

Positive
  • None.
Negative
  • None.

Insights

TL;DR: Routine tax-related share withholding; neutral market signal.

The reported Form 4 shows a Code F transaction鈥攕hares withheld by the issuer to cover taxes at vesting. Only 912 shares (鈮�1.4% of the executive鈥檚 67k total holdings) were involved, leaving 66,651 shares still owned. Such non-discretionary dispositions generally carry no informational value regarding management鈥檚 view of the stock. There is no dilution, cash sale, or open-market purchase, so the filing is unlikely to influence valuation or sentiment.

Hercules Capital, Inc. (HTGC) 鈥� Comunicazione Form 4: Kiersten Zaza Botelho, Chief Legal Officer & Chief Compliance Officer, ha segnalato un ritenuto automatico di azioni il 9 luglio 2025 relativo al consolidamento di azioni vincolate. La societ脿 ha trattenuto 912 azioni ordinarie al prezzo di 18,56 $ per azione per coprire le tasse dovute (Codice Transazione F). Dopo questa operazione, l鈥檈secutivo detiene ancora 66.651 azioni direttamente possedute. Poich茅 le azioni non sono state vendute sul mercato aperto ma utilizzate esclusivamente per adempiere agli obblighi fiscali, l鈥檈vento non modifica l鈥檈sposizione economica dell鈥檈secutivo verso HTGC ed 猫 generalmente considerato un鈥檕perazione amministrativa piuttosto che una transazione direzionale.

Hercules Capital, Inc. (HTGC) 鈥� Presentaci贸n Formulario 4: Kiersten Zaza Botelho, Directora Legal y de Cumplimiento, report贸 una retenci贸n autom谩tica de acciones el 9 de julio de 2025 relacionada con la consolidaci贸n de acciones restringidas. La compa帽铆a retuvo 912 acciones comunes a un precio de $18.56 por acci贸n para cubrir impuestos aplicables (C贸digo de Transacci贸n F). Tras esta operaci贸n, la ejecutiva mantiene 66,651 acciones directamente en su poder. Dado que las acciones no se vendieron en el mercado abierto y solo se usaron para cumplir obligaciones fiscales, el evento no aumenta ni disminuye la exposici贸n econ贸mica de la ejecutiva a HTGC y se considera t铆picamente una actividad administrativa m谩s que una operaci贸n direccional.

Hercules Capital, Inc. (HTGC) 鈥� Form 4 鞝滌稖: 斓滉碃 氩曤 毂呾瀯鞛� 瓴� 斓滉碃 欷�氩� 臧愳嫓鞚� Kiersten Zaza Botelho臧� 2025雲� 7鞗� 9鞚� 鞝滍暅 欤检嫕鞚� 甓岆Μ 頇曥爼瓿� 甏�霠悳 鞛愲彊 欤检嫕 鞗愳矞歆曥垬毳� 氤搓碃頄堨姷雼堧嫟. 須岇偓電� 頃措嫻 靹戈笀鞚� 於╇嫻頃橁赴 鞙勴暣 912 氤错喌欤�毳� 欤茧嫻 $18.56鞐� 鞗愳矞歆曥垬頄堨姷雼堧嫟(瓯半灅 旖旊摐 F). 鞚� 瓯半灅 鞚错泟 鞛勳洂鞚� 歆侅爲 氤挫湢頃� 66,651欤�毳� 鞙犾頃橁碃 鞛堨姷雼堧嫟. 欤检嫕鞚� 瓿店皽 鞁滌灔鞐愳劀 毵る弰霅� 瓴冹澊 鞎勲媹霛� 靹戈笀 雮╇秬毳� 鞙勴暅 瓴冹瀯鞙茧, 鞚� 靷贝鞚� 鞛勳洂鞚� HTGC鞐� 雽�頃� 瓴届牅鞝� 雲胳稖鞚� 歃濌皜鞁滍偆瓯半倶 臧愳唽鞁滍偆歆� 鞎婌溂氅� 鞚茧皹鞝侅溂搿� 頄夓爼鞝� 臁办箻搿� 臧勳＜霅╇媹雼�.

Hercules Capital, Inc. (HTGC) 鈥� D茅p么t du formulaire 4 : Kiersten Zaza Botelho, Directrice juridique et de la conformit茅, a d茅clar茅 une retenue automatique d鈥檃ctions le 9 juillet 2025 li茅e 脿 l鈥檃cquisition d鈥檃ctions restreintes. La soci茅t茅 a retenu 912 actions ordinaires au prix de 18,56 $ par action pour couvrir les imp么ts applicables (Code de transaction F). Apr猫s cette op茅ration, la dirigeante d茅tient toujours 66 651 actions d茅tenues directement. Comme les actions n鈥檕nt pas 茅t茅 vendues sur le march茅 ouvert mais simplement utilis茅es pour s鈥檃cquitter des obligations fiscales, cet 茅v茅nement n鈥檃ugmente ni ne diminue l鈥檈xposition 茅conomique de la dirigeante 脿 HTGC et est g茅n茅ralement consid茅r茅 comme une op茅ration administrative plut么t qu鈥檜ne transaction directionnelle.

Hercules Capital, Inc. (HTGC) 鈥� Form 4 Einreichung: Chief Legal Officer & Chief Compliance Officer Kiersten Zaza Botelho meldete am 9. Juli 2025 eine automatische Aktieneinbehaltung im Zusammenhang mit der Vesting von Restricted Stock. Das Unternehmen behielt 912 Stammaktien zum Preis von 18,56 $ pro Aktie ein, um die anfallenden Steuern zu begleichen (Transaktionscode F). Nach der Transaktion h盲lt die F眉hrungskraft weiterhin 66.651 direkt gehaltene Aktien. Da die Aktien nicht auf dem offenen Markt verkauft wurden, sondern lediglich zur Begleichung der Steuerverpflichtungen dienten, erh枚ht oder verringert dieses Ereignis die wirtschaftliche Beteiligung der F眉hrungskraft an HTGC nicht und wird typischerweise als administrative und nicht als richtungsweisende Handelsaktivit盲t betrachtet.

SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
Botelho Kiersten Zaza
(Last) (First) (Middle)
C/O HERCULES CAPITAL, INC.
31 ST. JAMES AVENUE, SUITE 1005
(Street)
BOSTON MA 02116
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
Hercules Capital, Inc. [ HTGC ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
Chief Legal Officer & CCO
3. Date of Earliest Transaction (Month/Day/Year)
07/09/2025
4. If Amendment, Date of Original Filed (Month/Day/Year)
 6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 07/09/2025 F 912(1) D $18.56 66,651 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Explanation of Responses:
1. Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on July 9, 2025.
Remarks:
/s/ /Eileen Bagarella, Attorney-in-Fact for Kiersten Zaza Botelho 07/11/2025
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.

Source:

FAQ

How many HTGC shares were involved in the Form 4 filing?

A total of 912 common shares were withheld to satisfy tax obligations.

What was the transaction price for the withheld HTGC shares?

The shares were valued at $18.56 each for tax-withholding purposes.

How many HTGC shares does the executive own after the transaction?

Kiersten Zaza Botelho now directly owns 66,651 shares of Hercules Capital.

Was the transaction an open-market sale?

No. It was a Code F transaction鈥攕hares withheld by the company to pay taxes on vested restricted stock.

Does this Form 4 indicate bullish or bearish sentiment from the insider?

Because it is a routine tax-withholding event, it is generally considered neutral and not indicative of insider sentiment.
Stock HTGC logo
Hercules Capital Inc

NYSE:HTGC

HTGC Rankings

#2259 Ranked by Market Cap
#310 Ranked by Dividends

HTGC Latest News

Aug 5, 2025
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Jul 31, 2025
Hercules Capital Reports Second Quarter 2025 Financial Results
Jul 29, 2025
Hercules Capital Declares a Total Cash Distribution of $0.47 per Share for the Second Quarter 2025
Jul 28, 2025
Hercules Capital鈥檚 Wholly-Owned Investment Adviser Launches Fourth Institutional Private Credit Fund
Jul 17, 2025
Hercules Capital Announces Date for Release of Second Quarter 2025 Financial Results and Conference Call

HTGC Latest SEC Filings

Jul 31, 2025
[8-K] Hercules Capital, Inc. Reports Material Event
Jul 31, 2025
[10-Q] Hercules Capital, Inc. Quarterly Earnings Report
Jul 15, 2025
[Form 4] Hercules Capital, Inc. Insider Trading Activity
Jul 15, 2025
[Form 4] Hercules Capital, Inc. Insider Trading Activity
Jul 15, 2025
[Form 4] Hercules Capital, Inc. Insider Trading Activity

HTGC Stock Data

3.54B
172.03M
1.81%
25.05%
2.86%
Asset Management
Financial Services
United States
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