Loo Wade - Mar 17, 2023 Form 4 Insider Report for Hercules Capital, Inc. (HTGC)

Role: Director
Signature: /s/Eileen Bagarella, Attorney-in Fact for Wade Loo
Stock symbol: HTGC
Transactions as of: Mar 17, 2023
Transactions value $: $47,800
Form type: 4
Date filed: 3/21/2023, 04:57 PM
Previous filing: Mar 13, 2023
Next filing: May 25, 2023

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	HTGC	Common Stock	Purchase	$47.8K	+4K	+98.55%	$11.95	8.06K	Mar 17, 2023	By Trust	F1

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

Buy Plan / Sale Plan: These are also open market purchases/sales of shares, but in this case the transaction is part of a trading plan. Rule 10b5-1 allows insiders to setup a trading plan to buy/sell stocks over a certain period of time. Since the purchases/sales are predetermined, this protects the insiders from violating insider trading law.

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).

Explanation of Responses:

Id	Content
F1	Held by Loo Revocable Trust