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HTGC Hercules Capital Inc

19.42
0.12 (0.62%)
04 May 2024 - Closed
Delayed by 15 minutes
Share Name Share Symbol Market Type
Hercules Capital Inc NYSE:HTGC NYSE Common Stock
  Price Change % Change Share Price High Price Low Price Open Price Shares Traded Last Trade
  0.12 0.62% 19.42 19.70 19.2098 19.43 1,369,561 01:00:00

Initial Statement of Beneficial Ownership (3)

06/07/2021 9:16pm

Edgar (US Regulatory)


FORM 3
        
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

OMB APPROVAL
OMB Number: 3235-0104
Estimated average burden
hours per response...
0.5
                      
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

Loo Wade
2. Date of Event Requiring Statement (MM/DD/YYYY)
7/1/2021 

3. Issuer Name and Ticker or Trading Symbol

Hercules Capital, Inc. [HTGC]
(Last)        (First)        (Middle)

C/O HERCULES CAPITAL, INC., 400 HAMILTON AVENUE, SUITE 310
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)

__X__ Director                          _____ 10% Owner
_____ Officer (give title below)        _____ Other (specify below)
(Street)

PALO ALTO, CA 94301      

(City)              (State)              (Zip)
5. If Amendment, Date Original Filed(MM/DD/YYYY)
 

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 Beneficially Owned
1.Title of Security
(Instr. 4)
2. Amount of Securities Beneficially Owned
(Instr. 4)
3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
4. Nature of Indirect Beneficial Ownership
(Instr. 5)
Common Stock 0.00 D  

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 4)
2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
4. Conversion or Exercise Price of Derivative Security5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
6. Nature of Indirect Beneficial Ownership
(Instr. 5)
Date ExercisableExpiration DateTitleAmount or Number of Shares

Explanation of Responses:

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
Loo Wade
C/O HERCULES CAPITAL, INC.
400 HAMILTON AVENUE, SUITE 310
PALO ALTO, CA 94301
X



Signatures
/s /Melanie Grace, Attorney-in-Fact for Wade Loo7/6/2021
**Signature of Reporting PersonDate

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1 Month Hercules Capital Chart

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