SEC Form 4 reporting owner

Bluestein Scott

Bluestein Scott has filed 10 Form 4 transactions reported between December 4, 2025 and July 9, 2026, as Chief Executive Officer of Hercules Capital, Inc..

Name as filed: Bluestein Scott

Open-market buys, 24 mo

None

reported

Open-market sales, 24 mo

None

reported

Companies

with Form 4 filings

Latest transaction

Jul 9, 2026

transaction date

Roles and reported holdings

HCXYHercules Capital, Inc.
Dec 4, 2025 – Jul 9, 2026
Chief Executive Officer
Held directly2,475,593 sh as of Jul 9, 2026 · Form 4
2 lines are priced far from HCXY’s market price that day, so the filing may concern a different security. Left out of totals and holdings; see the filings.

Transaction history

All 10 reported transactions, newest first. Every row links to the Form 4 on SEC EDGAR.

Date	Company	Type	Shares	Price	Value	Owned after	Filing
Jul 9, 2026	HCXYChief Executive Officer	Shares withheld for tax or exercise priceCode F · direct	10,652	$15.69	$167K@ $15.69	2,475,593	Form 4
Jul 9, 2026	HCXYChief Executive Officer	Shares withheld for tax or exercise priceCode F · direct	9,741	$15.69	$153K@ $15.69	2,486,245	Form 4
Apr 9, 2026	HCXYChief Executive Officer	Shares withheld for tax or exercise priceCode F · direct	9,741	$14.74	$144K@ $14.74	2,495,986	Form 4
Apr 9, 2026	HCXYChief Executive Officer	Shares withheld for tax or exercise priceCode F · direct	10,652	$14.74	$157K@ $14.74	2,505,727	Form 4
Feb 27, 2026	HCXYChief Executive Officer	Open-market purchaseCode P · directPrice far from market; may be another security	7,000	$14.35	$100K@ $14.35	2,516,379	Form 4
Feb 24, 2026	HCXYChief Executive Officer	Open-market purchaseCode P · directPrice far from market; may be another security	30,000	$15.08	$452K@ $15.08	2,509,379	Form 4
Jan 11, 2026	HCXYChief Executive Officer	Shares withheld for tax or exercise priceCode F · direct	13,431	$18.59	$250K@ $18.59	2,479,379	Form 4
Jan 9, 2026	HCXYChief Executive Officer	Shares withheld for tax or exercise priceCode F · direct	50,081	$18.59	$931K@ $18.59	2,492,810	Form 4
Jan 8, 2026	HCXYChief Executive Officer	Grant or awardCode A · direct	298,794	$18.24	$5.5M@ $18.24	2,542,891	Form 4
Dec 4, 2025	HCXYChief Executive Officer	Grant or awardCode A · direct	23,759	—	—	170,957	Form 4

How this page is built

Every row comes from a Form 4 filed with the SEC, which officers, directors and holders of more than 10% of a company’s stock must file within two business days of a trade. Transactions are grouped by the reporting owner’s name as filed (spacing, capitals and punctuation ignored); two different people filing under an identical name would appear together, and one person filing under two spellings appears on two pages.

Open-market totals count code P purchases and code S sales over the last 24 months. The same trade reported on more than one filing is counted once; when another owner (for example a fund and its general partner) reports the identical trade, they are listed beside it. Holdings are the shares owned after the latest purchase, sale, gift or tax-withholding line, shown separately for direct and indirect ownership; an indirect figure is one holding line, not a total across every trust or entity.

2 open-market lines are priced outside 0.67×–1.5× of the stock’s closing price that day. A gap that large usually means the filing reports a different security than the company it is filed under, so those lines are shown but left out of totals and holdings.

This page describes what was filed with the SEC; it is not investment advice or a recommendation to buy or sell any security.