HTGC SEC Filing News — Hercules Capital, Inc.

Latest SEC filings for Hercules Capital, Inc. (HTGC) explained in plain English. Covers insider buying and selling (Form 4), proposed insider sales (Form 144), material company events (8-K), and quarterly & annual reports (10-Q / 10-K). StrongBuyAnalytics provides navigation and brief excerpts or summaries; original filings remain at the SEC/source links and were authored by their filers, not StrongBuyAnalytics. Filing dates shown are source dates. Coverage and detection can be delayed or incomplete because of SEC availability, amendments, parsing, caching, or outages. Latest source filing date shown: 2026-10-13.

Hercules Capital, Inc. is a business development company. The firm specializing in providing private equity, venture debt, and growth capital to privately held venture capital-backed companies at all stages of development from mid venture to expansion stage including select publicly listed companies and select special opportunity companies that require additional capital to fund acquisitions, recapitalizations and refinancing and established-stage companies. The firm provides growth capital fina…
Sector: Financial Services Industry: Asset Management Market Cap: $3.0B
20
Total Filings
0
Bullish Classifications
0
Bearish Classifications
14
Insider Transactions
5
Material Events (8-K)
1
Periodic Reports
What you're looking at: Each item below is parsed from an actual SEC filing submitted by Hercules Capital, Inc.. Form 4 = confirmed insider transaction · Form 144 = proposed sale notice · 8-K = material event (earnings, M&A, leadership change, etc.) · 10-Q / 10-K = quarterly / annual report.
HTGC Filing Activity Snapshot 2026-06-23 — 2026-10-13
Insider Transactions (Form 4)
0 buys vs 0 sells
Insider buying and selling activity is balanced in this period.
Insider Transactions 14 · Forms 3, 4 and 5

A Form 4 is filed within two business days of a company insider — an officer, a director, or a holder of more than ten percent of the stock — changing their position in the shares. All 14 filings in this group are Form 4s for Hercules Capital, Inc.

The difficulty with reading these filings as a group is that a single form type covers transactions that mean entirely different things. An executive spending their own money to buy stock and an executive having shares withheld to pay tax on a vesting grant both appear as a Form 4. Every filing below is therefore tagged with the nature of the underlying transaction, taken from the transaction code reported on the form itself.

Across the 14 insider filings shown, the breakdown is 9 tax withholding and 5 compensation award. None of the classified filings involved a discretionary open-market trade, so this period says nothing about what insiders think of the price.

What each transaction type means

Tax withholding ×9
Shares were withheld by the company to settle tax due when equity vested. This is an automatic administrative step and not a decision to sell.
Compensation award ×5
Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.
Form 4 Tax withholding Tax / Compensation Filing 2026-10-13

HTGC insider Form 4 filed for equity award, exercise, or tax withholding

Meyer Seth H (President) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were withheld by the company to settle tax due when equity vested. This is an automatic administrative step and not a decision to sell.

Transactions reported on this filing
Code Nature Shares Price Value
F Tax withholding on vested shares 3,011 $16.51 $49.7K
F Tax withholding on vested shares 3,458 $16.51 $57.1K
Filing: Form 4 (Insider Transaction) Insider: Meyer Seth H (President) Shares: 6,469
View on SEC EDGAR → Open Filing Document →
Form 4 Tax withholding Tax / Compensation Filing 2026-10-13

HTGC insider Form 4 filed for equity award, exercise, or tax withholding

Bluestein Scott (Director, Chief Executive Officer) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were withheld by the company to settle tax due when equity vested. This is an automatic administrative step and not a decision to sell.

Transactions reported on this filing
Code Nature Shares Price Value
F Tax withholding on vested shares 9,741 $16.51 $160.8K
F Tax withholding on vested shares 10,652 $16.51 $175.9K
Filing: Form 4 (Insider Transaction) Insider: Bluestein Scott (Director, Chief Executive Officer) Shares: 20,393
View on SEC EDGAR → Open Filing Document →
Form 4 Tax withholding Tax / Compensation Filing 2026-10-13

HTGC insider Form 4 filed for equity award, exercise, or tax withholding

Botelho Kiersten Zaza (Chief Legal Officer & CCO) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were withheld by the company to settle tax due when equity vested. This is an automatic administrative step and not a decision to sell.

Transactions reported on this filing
Code Nature Shares Price Value
F Tax withholding on vested shares 1,018 $16.51 $16.8K
F Tax withholding on vested shares 956 $16.51 $15.8K
Filing: Form 4 (Insider Transaction) Insider: Botelho Kiersten Zaza (Chief Legal Officer & CCO) Shares: 1,974
View on SEC EDGAR → Open Filing Document →
Form 4 Tax withholding Tax / Compensation Filing 2026-10-13

HTGC insider Form 4 filed for equity award, exercise, or tax withholding

Follmann Christian (Chief Operating Officer) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were withheld by the company to settle tax due when equity vested. This is an automatic administrative step and not a decision to sell.

Transactions reported on this filing
Code Nature Shares Price Value
F Tax withholding on vested shares 1,365 $16.51 $22.5K
F Tax withholding on vested shares 1,433 $16.51 $23.7K
Filing: Form 4 (Insider Transaction) Insider: Follmann Christian (Chief Operating Officer) Shares: 2,798
View on SEC EDGAR → Open Filing Document →
Form 4 Compensation award Tax / Compensation Filing 2026-09-21

HTGC insider Form 4 filed for equity award, exercise, or tax withholding

Fichera Alfred (Director) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.

Transactions reported on this filing
Code Nature Shares Price Value
A Compensation award 3,483 $17.76 $61.9K
Filing: Form 4 (Insider Transaction) Insider: Fichera Alfred (Director) Shares: 3,483
View on SEC EDGAR → Open Filing Document →
Form 4 Tax withholding Tax / Compensation Filing 2026-09-11

HTGC insider Form 4 filed for equity award, exercise, or tax withholding

Meyer Seth H (President) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were withheld by the company to settle tax due when equity vested. This is an automatic administrative step and not a decision to sell.

Transactions reported on this filing
Code Nature Shares Price Value
F Tax withholding on vested shares 5 $17.61 $88.05
Filing: Form 4 (Insider Transaction) Insider: Meyer Seth H (President) Shares: 5
View on SEC EDGAR → Open Filing Document →
Form 4 Tax withholding Tax / Compensation Filing 2026-07-13

HTGC insider Form 4 filed for equity award, exercise, or tax withholding

Follmann Christian (Chief Operating Officer) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were withheld by the company to settle tax due when equity vested. This is an automatic administrative step and not a decision to sell.

Transactions reported on this filing
Code Nature Shares Price Value
F Tax withholding on vested shares 1,433 $15.69 $22.5K
F Tax withholding on vested shares 1,365 $15.69 $21.4K
Filing: Form 4 (Insider Transaction) Insider: Follmann Christian (Chief Operating Officer) Shares: 2,798
View on SEC EDGAR → Open Filing Document →
Form 4 Tax withholding Tax / Compensation Filing 2026-07-13

HTGC insider Form 4 filed for equity award, exercise, or tax withholding

Meyer Seth H (President) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were withheld by the company to settle tax due when equity vested. This is an automatic administrative step and not a decision to sell.

Transactions reported on this filing
Code Nature Shares Price Value
F Tax withholding on vested shares 3,011 $15.69 $47.2K
F Tax withholding on vested shares 3,458 $15.69 $54.3K
Filing: Form 4 (Insider Transaction) Insider: Meyer Seth H (President) Shares: 6,469
View on SEC EDGAR → Open Filing Document →
Form 4 Tax withholding Tax / Compensation Filing 2026-07-13

HTGC insider Form 4 filed for equity award, exercise, or tax withholding

Bluestein Scott (Director, Chief Executive Officer) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were withheld by the company to settle tax due when equity vested. This is an automatic administrative step and not a decision to sell.

Transactions reported on this filing
Code Nature Shares Price Value
F Tax withholding on vested shares 9,741 $15.69 $152.8K
F Tax withholding on vested shares 10,652 $15.69 $167.1K
Filing: Form 4 (Insider Transaction) Insider: Bluestein Scott (Director, Chief Executive Officer) Shares: 20,393
View on SEC EDGAR → Open Filing Document →
Form 4 Tax withholding Tax / Compensation Filing 2026-07-13

HTGC insider Form 4 filed for equity award, exercise, or tax withholding

Botelho Kiersten Zaza (Chief Legal Officer & CCO) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were withheld by the company to settle tax due when equity vested. This is an automatic administrative step and not a decision to sell.

Transactions reported on this filing
Code Nature Shares Price Value
F Tax withholding on vested shares 956 $15.69 $15.0K
F Tax withholding on vested shares 1,018 $15.69 $16.0K
Filing: Form 4 (Insider Transaction) Insider: Botelho Kiersten Zaza (Chief Legal Officer & CCO) Shares: 1,974
View on SEC EDGAR → Open Filing Document →
Form 4 Compensation award Tax / Compensation Filing 2026-06-23

HTGC insider Form 4 filed for equity award, exercise, or tax withholding

BADAVAS ROBERT P (Director) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.

Transactions reported on this filing
Code Nature Shares Price Value
A Compensation award 3,873 $15.49 $60.0K
Filing: Form 4 (Insider Transaction) Insider: BADAVAS ROBERT P (Director) Shares: 3,873
View on SEC EDGAR → Open Filing Document →
Form 4 Compensation award Tax / Compensation Filing 2026-06-23

HTGC insider Form 4 filed for equity award, exercise, or tax withholding

BADAVAS ROBERT P (Director) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.

Transactions reported on this filing
Code Nature Shares Price Value
A Compensation award 3,873 $15.49 $60.0K
Filing: Form 4 (Insider Transaction) Insider: BADAVAS ROBERT P (Director) Shares: 3,873
View on SEC EDGAR → Open Filing Document →
Form 4 Compensation award Tax / Compensation Filing 2026-06-23

HTGC insider Form 4 filed for equity award, exercise, or tax withholding

BADAVAS ROBERT P (Director) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.

Transactions reported on this filing
Code Nature Shares Price Value
A Compensation award 3,873 $15.49 $60.0K
Filing: Form 4 (Insider Transaction) Insider: BADAVAS ROBERT P (Director) Shares: 3,873
View on SEC EDGAR → Open Filing Document →
Form 4 Compensation award Tax / Compensation Filing 2026-06-23

HTGC insider Form 4 filed for equity award, exercise, or tax withholding

BADAVAS ROBERT P (Director) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.

Transactions reported on this filing
Code Nature Shares Price Value
A Compensation award 3,873 $15.49 $60.0K
Filing: Form 4 (Insider Transaction) Insider: BADAVAS ROBERT P (Director) Shares: 3,873
View on SEC EDGAR → Open Filing Document →
Material Events 5 · Form 8-K

An 8-K reports a material event in the window between scheduled reports. There are 5 in this period for Hercules Capital, Inc. Each 8-K names the item number it is filed under, and that number is the fastest way to tell a routine disclosure from a consequential one.

Item 2.02 is an earnings release, Item 5.02 is a change of directors or officers, and Item 1.01 or 2.01 covers a material agreement or a completed acquisition. Item 7.01 and Item 8.01 are the general-purpose disclosure items and carry no fixed meaning on their own.

Form 8-K Material Company Update 2026-10-08

HTGC filed 8-K — material company event

Hercules Capital, Inc. filed an 8-K with the SEC reporting a material event. Summary unavailable — view the original SEC filing for the full text.

Filing: 8-K (Material Event)
View on SEC EDGAR → Open Filing Document →
Form 8-K Material Company Update 2026-09-17

HTGC filed 8-K — material company event

Hercules Capital, Inc. filed an 8-K with the SEC reporting a material event. Summary unavailable — view the original SEC filing for the full text.

Filing: 8-K (Material Event)
View on SEC EDGAR → Open Filing Document →
Form 8-K Material Company Update 2026-07-30

HTGC filed 8-K — material company event

Hercules Capital, Inc. filed an 8-K with the SEC reporting a material event. Summary unavailable — view the original SEC filing for the full text.

Filing: 8-K (Material Event)
View on SEC EDGAR → Open Filing Document →
Form 8-K Material Company Update 2026-07-24

HTGC filed 8-K — material company event

Hercules Capital, Inc. filed an 8-K with the SEC reporting a material event. Summary unavailable — view the original SEC filing for the full text.

Filing: 8-K (Material Event)
View on SEC EDGAR → Open Filing Document →
Form 8-K Material Company Update 2026-07-21

HTGC filed 8-K — material company event

Hercules Capital, Inc. filed an 8-K with the SEC reporting a material event. Summary unavailable — view the original SEC filing for the full text.

Filing: 8-K (Material Event)
View on SEC EDGAR → Open Filing Document →
Periodic Reports 1 · Forms 10-K and 10-Q

The periodic reports are where the audited and reviewed financial statements live. This period contains 1 quarterly report (10-Q) for Hercules Capital, Inc.

The two are not equivalent in weight. A 10-K is audited by an external firm and includes the full risk factor disclosure, business description and management discussion; a 10-Q is unaudited, reviewed rather than examined, and much shorter. When a figure in a quarterly report is later revised, the annual report is usually where the correction appears.

An amended report — 10-K/A or 10-Q/A — restates or corrects something in the original filing, and is worth reading against the version it replaces.

Form 10-Q Quarterly Report 2026-07-30

HTGC filed Quarterly Report (10-Q)

Hercules Capital, Inc. filed its quarterly report with the SEC. This report includes unaudited financial statements and management discussion for the quarter.

Filing: 10-Q (Quarterly Report)
View on SEC EDGAR → Open Filing Document →

How we classify Hercules Capital, Inc.'s filings

Straight from EDGAR

Each displayed record links to an original source document. StrongBuyAnalytics provides navigation and brief excerpts or summaries, not the filing itself. Parsing may omit context or contain errors, so read the original document in full.

Transaction codes, not guesswork

The nature shown on each insider filing comes from the transaction code the filer entered on the form itself — P for an open-market purchase, A for a compensation award, F for shares withheld to pay tax, M for an option exercise. Where one filing contains several codes, the transaction table lists them line by line.

Why the distinction matters

Insider activity is routinely summarised as buying or selling, which flattens together decisions that mean very different things. Shares withheld for tax on a vesting grant are an automatic administrative step; shares bought on the open market are someone committing their own money at the current price.

What this page does not tell you

A filing records what happened, not why. Form 4 does not always disclose whether a sale was executed under a pre-arranged Rule 10b5-1 plan, and no single filing is a basis for a decision on HTGC. Read these alongside the fundamentals rather than in isolation.

Frequently Asked Questions — HTGC SEC Filings

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Publisher, sources & limitations — September 15, 2026. StrongBuyAnalytics provides navigation and brief excerpts or summaries for educational use. Original filings remain at SEC EDGAR or other displayed source links; StrongBuyAnalytics does not author them. Filing dates are source dates, not publication dates for this page. Coverage can be delayed, incomplete, amended, or unavailable because of SEC/source availability, parsing, caching, or outages. Verify every material statement in the original filing.
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