Shares Held by Insiders

Fully Diluted Shares Held by Insiders

Date

Name

Buy/Sell

$ Value

# Shares

Avg. Price

Title

Chief Operating Officer

Chief Financial Officer

General Counsel & CCO

Chief Executive Officer

Hercules Capital, Inc. is a business development company. The firm specializing in providing venture debt, debt, senior secured loans, and growth capital to privately held venture capital-backed companies at all stages of development from startups, to expansion stage including select publicly listed companies and select special opportunity lower middle market companies that require additional capital to fund acquisitions, recapitalizations and refinancing and established-stage companies. The firm provides growth capital financing solutions for capital extension; management buy-out and corporate spin-out financing solutions; company, asset specific, or intellectual property acquisition financing; convertible, subordinated and/or mezzanine loans; domestic and international corporate expansion; vendor financing; revenue acceleration by sales and marketing development, and manufacturing expansion. It provides asset-based financing with a focus on cash flow; accounts receivable facilities; equipment loans or leases; equipment acquisition; facilities build-out and/or expansion; working capital revolving lines of credit; inventory. The firm also provides bridge financing to IPO or mergers and acquisitions or technology acquisition; dividend recapitalizations and other sources of investor liquidity; cash flow financing to protect against share price volatility; competitor acquisition; pre-IPO financing for extra cash on the balance sheet; public company financing to continue asset growth and production capacity; short-term bridge financing; and strategic and intellectual property acquisition financings. It also focuses on customized financing solutions, emerging growth, mid venture, and late venture financing. The firm invests primarily in structured debt with warrants and, to a lesser extent, in senior debt and equity investments. The firm generally seeks to invest in companies that have been operating for at least six to 12 months prior to the date of their investment. It prefers to invest in technology, energy technology, sustainable and renewable technology, and life sciences. Within technology the firm focuses on advanced specialty materials and chemicals; communication and networking, consumer and business products; consumer products and services, digital media and consumer internet; electronics and computer hardware; enterprise software and services; gaming; healthcare services; information services; business services; media, content and information; mobile; resource management; security software; semiconductors; semiconductors and hardware; and software sector. Within energy technology, it invests in agriculture; clean technology; energy and renewable technology, fuels and power technology; geothermal; smart grid and energy efficiency and monitoring technologies; solar; and wind. Within life sciences, the firm invests in biopharmaceuticals; biotechnology tools; diagnostics; drug discovery, development and delivery; medical devices and equipment; surgical devices; therapeutics; pharma services; and specialty pharmaceuticals. It also invests in educational services. The firm invests primarily in United States based companies and considers investment in the West Coast, Mid-Atlantic regions, Southeast and Midwest; particularly in the areas of software, biotech and information services. The firm prefers to invest between $10 million and $250 million in equity per transactions. It invests generally between $1 million and $40 million in companies focused primarily on business services, communications, electronics, hardware, and healthcare services. The firm invests primarily in private companies but also have investments in public companies. For equity investments, the firm seeks to represent a controlling interest in its portfolio companies which may exceed 25% of the voting securities of such companies. The firm seeks to invest a limited portion of its assets in equipment-based loans to early-stage prospective portfolio companies. 

Hercules Capital, Inc. is a business development company.

Datesorted ascending	Name	Buy/Sell	$ Value	# Shares	Avg. Price	Title
2024-04-11	Premium	sold (taxes)	Premium	Premium	Premium	Chief Operating Officer
2024-04-11	Premium	sold (taxes)	Premium	Premium	Premium	Chief Financial Officer
2024-04-11	Premium	sold (taxes)	Premium	Premium	Premium	General Counsel & CCO
2024-04-11	Premium	sold (taxes)	Premium	Premium	Premium	Chief Executive Officer
2024-04-10	Premium	sold (taxes)	Premium	Premium	Premium	General Counsel & CCO
2024-01-12	Premium	sold (taxes)	Premium	Premium	Premium	Chief Operating Officer
2024-01-12	Premium	sold (taxes)	Premium	Premium	Premium	Chief Executive Officer
2024-01-12	Premium	sold (taxes)	Premium	Premium	Premium	Chief Operating Officer
2024-01-12	Premium	sold (taxes)	Premium	Premium	Premium	Chief Financial Officer
2024-01-12	Premium	sold (taxes)	Premium	Premium	Premium	Chief Executive Officer
2024-01-11	Premium	sold (taxes)	Premium	Premium	Premium	Chief Executive Officer
2024-01-11	Premium	sold (taxes)	Premium	Premium	Premium	Chief Operating Officer
2024-01-11	Premium	sold (taxes)	Premium	Premium	Premium	Chief Financial Officer
2024-01-11	Premium	sold (taxes)	Premium	Premium	Premium	General Counsel & CCO
2024-01-11	Premium	sold (taxes)	Premium	Premium	Premium	Chief Financial Officer
2024-01-11	Premium	sold (taxes)	Premium	Premium	Premium	Chief Executive Officer
2024-01-10	Premium	sold (taxes)	Premium	Premium	Premium	General Counsel & CCO
2024-01-09	Premium	acquired	Premium	Premium	Premium	Chief Financial Officer
2024-01-09	Premium	acquired	Premium	Premium	Premium	General Counsel & CCO
2024-01-09	Premium	acquired	Premium	Premium	Premium	Chief Executive Officer
2024-01-09	Premium	acquired	Premium	Premium	Premium	Chief Operating Officer
2023-11-22	Premium	acquired	Premium	Premium	Premium	Chief Operating Officer
2023-11-22	Premium	back to issuer	Premium	Premium	Premium	-
2023-11-22	Premium	back to issuer	Premium	Premium	Premium	-
2023-11-22	Premium	acquired	Premium	Premium	Premium	-

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