X0306 4 2018-01-09 0001280784 Hercules Capital, Inc. HTGC 0001329390 Henriquez Manuel A C/O HERCULES CAPITAL, INC. 400 HAMILTON AVENUE SUITE 310 PALO ALTO CA 94301 true true false false President & CEO Common Stock 2018-01-09 4 A false 230125 13.04 A 2086634 D Restricted Stock Units 2018-01-09 4 A false 230125 13.04 A 615201 D Restricted stock issued as a grant pursuant to the Amended and Restated Equity Incentive Plan and subject to forfeiture restrictions of one-third vesting on January 9, 2019 followed by quarterly vesting over the following 24 months. Each restricted stock unit represents a contingent right to receive one share of Hercules Capital, Inc. stock. The restricted stock units vest one-third on January 09, 2019 and the remaining two-thirds vest quarterly in equal amounts over the following two years. Vested shares will be delivered to reporting person as soon as reasonably practicable on the earlier of (a) January 09, 2022 and (b) the date (i) reporting person separates from service from Issuer, (ii) dies or becomes disabled or (iii) there is a change in control of the Issuer. /s/Melanie Grace, Attorney-in-Fact for Manuel Henriquez 2018-01-12