Christian Follmann - Feb 1, 2022 Form 3 Insider Report for Hercules Capital, Inc. (HTGC)

Role: Chief Operating Officer
Signature: /s /Eileen Bagarella, Attorney-in-Fact for Christian Follmann
Stock symbol: HTGC
Transactions as of: Feb 1, 2022
Transactions value $: $0
Form type: 3
Date filed: 2/2/2022, 03:35 PM
Next filing: Mar 18, 2022

Transactions Table

Type	Sym	Class	Shares After	Date	Ownership	Footnotes
holding	HTGC	Common Stock	49K	Feb 1, 2022	Direct	F1
holding	HTGC	Restricted Stock Units	413	Feb 1, 2022	Direct	F2
holding	HTGC	Common Stock	350	Feb 1, 2022	By Spouse

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
F1	Includes 4,830 shares of unvested restricted stock from a previous grant of 14,488 shares granted on January 13, 2020, 9,596 shares of unvested restricted stock from a previous grant of 14,393 shares granted on January 12, 2021 and 14,286 shares of unvested restricted stock from a previous grant of 14,286 shares granted on January 11, 2022 issued under the 2018 Amended Equity Incentive Plan. Each grant vests as to one third of the shares upon the first anniversary of the grant date followed by equal quarterly vestings over two years.
F2	Unvested restricted stock units and dividend equivalent shares from a previous grant of 4,000 shares granted on April 24, 2019 issued under the 2018 Amended Equity Incentive Plan that vests as to one third of the shares upon the first anniversary of the grant date followed by equal quarterly vestings over two years.

Content

Includes 4,830 shares of unvested restricted stock from a previous grant of 14,488 shares granted on January 13, 2020, 9,596 shares of unvested restricted stock from a previous grant of 14,393 shares granted on January 12, 2021 and 14,286 shares of unvested restricted stock from a previous grant of 14,286 shares granted on January 11, 2022 issued under the 2018 Amended Equity Incentive Plan. Each grant vests as to one third of the shares upon the first anniversary of the grant date followed by equal quarterly vestings over two years.

Unvested restricted stock units and dividend equivalent shares from a previous grant of 4,000 shares granted on April 24, 2019 issued under the 2018 Amended Equity Incentive Plan that vests as to one third of the shares upon the first anniversary of the grant date followed by equal quarterly vestings over two years.