Hercules Capital, Inc.
US ˙ NYSE ˙ US4270965084

SecurityHTGC / Hercules Capital, Inc.
InstitutionSigma Planning Corp
Latest Disclosed Ownership52,069 shares
Latest Disclosed Value $ 769,053
Sigma Planning Corp reports 12.27% decrease in ownership of HTGC / Hercules Capital, Inc.

On May 4, 2026 - Sigma Planning Corp filed a 13F-HR form disclosing ownership of 52,069 shares of Hercules Capital, Inc. (US:HTGC) valued at $769,059 USD as of March 31, 2026. The entity filed a previous 13F-HR on January 30, 2026 disclosing 59,352 shares of Hercules Capital, Inc.. This represents a change in shares of -12.27% during the quarter. The current value of the position is $792,490 USD.

Institutional Ownership: 13F and NPORT Filings

The Security and Class in the table below are shown exactly as filed by the investor. We do our best to track continuity of investments through acquisitions, and this will be reflected in the table as changes in names. In addition to descriptive data, performance of the investment is shown over time. To calculate quarterly performance, we first calculate cost basis of the shares purchased during the quarter, then use that to calculate gross profit. Quarterly return is Gross Profit / Starting Portfolio value.

Note that cost basis is calculated and stored in thousands, so small quarterly changes in shares frequently result in a cost basis of zero.

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Disclosed Equity Positions (from 13F/NPORT Filings)
File
Date		 Effective
Date		Form Security Class ID Avg Price
Paid (Est)		 Reported
Shares		 ΔShares ΔShares
(%)		 Reported
Value
(x1000)		 ΔValue
(%)		 Alloc
(%)		 ΔAlloc ΔAlloc (%) Cost Basis
(x1000)		 Unrealized
Gain/Loss
(x1000)
2026-05-04 2026-03-31 13F HERCULES CAPITAL COM 427096508 52,069 -7,283 -12.27 769 -31.15 0.0214
2026-01-30 2025-12-31 13F HERCULES CAPITAL COM 427096508 59,352 6,937 13.23 1,117 12.71 0.0308
2025-11-10 2025-09-30 13F HERCULES CAPITAL COM 427096508 52,415 2,624 5.27 991 8.90 0.0282
2025-08-05 2025-06-30 13F HERCULES CAPITAL COM 427096508 49,791 2,980 6.37 910 1.22 0.0274
2025-05-02 2025-03-31 13F HERCULES CAPITAL COM 427096508 46,811 -792 -1.66 899 -5.96 0.0287
2025-02-03 2024-12-31 13F HERCULES CAPITAL COM 427096508 47,603 3,898 8.92 956 11.42 0.0300
2024-11-04 2024-09-30 13F HERCULES CAPITAL COM 427096508 43,705 519 1.20 858 -2.83 0.0263
2024-08-06 2024-06-30 13F HERCULES CAPITAL COM 427096508 43,186 1,827 4.42 883 15.73 0.0280
2024-05-02 2024-03-31 13F HERCULES CAPITAL COM 427096508 41,359 -46,919 -53.15 763 -48.13 0.0240
2024-02-01 2023-12-31 13F HERCULES CAPITAL COM 427096508 88,278 -80,535 -47.71 1,472 -46.91 0.1151
2023-11-06 2023-09-30 13F HERCULES CAPITAL COM 427096508 168,813 -2,791 -1.63 2,772 9.14 0.1039
2023-08-02 2023-06-30 13F HERCULES CAPITAL COM 427096508 171,604 -10,438 -5.73 2,540 8.23 0.0912
2023-05-08 2023-03-31 13F HERCULES CAPITAL COM 427096508 182,042 7,770 4.46 2,347 1.87 0.0780
2023-01-24 2022-12-31 13F HERCULES CAPITAL COM 427096508 174,272 13,552 8.43 2,304 23.75 0.0824
2022-11-10 2022-09-30 13F HERCULES CAPITAL COM 427096508 160,720 9,739 6.45 1,861 -8.64 0.0709
2022-08-11 2022-06-30 13F HERCULES CAPITAL COM 427096508 150,981 -4,099 -2.64 2,037 -27.30 0.0708
2022-04-20 2022-03-31 13F HERCULES CAPITAL COM 427096508 155,080 -1,965 -1.25 2,802 7.56 0.0839
2022-02-02 2021-12-31 13F HERCULES CAPITAL INC COM CEF 427096508 157,045 -3,674 -2.29 2,605 -2.43 0.0726
2021-10-28 2021-09-30 13F HERCULES CAPITAL COM 427096508 160,719 -5,669 -3.41 2,670 -5.95 0.0803
2021-08-13 2021-06-30 13F HERCULES CAPITAL INC COM CEF 427096508 166,388 7,631 4.81 2,839 11.55 0.0846
2021-05-06 2021-03-31 13F HERCULES CAPITAL INC COM CEF 427096508 158,757 -11,414 -6.71 2,545 3.71 0.0813
2021-02-09 2020-12-31 13F HERCULES CAPITAL COM 427096508 170,171 26,409 18.37 2,454 47.56 0.0835
2020-11-03 2020-09-30 13F HERCULES CAPITAL COM 427096508 143,762 6,646 4.85 1,663 15.81 0.0658
2020-07-31 2020-06-30 13F HERCULES CAPITAL COM 427096508 137,116 17,481 14.61 1,436 57.11 0.0630
2020-05-01 2020-03-31 13F HERCULES CAPITAL COM 427096508 119,635 34,072 39.82 914 -23.83 0.0543
2020-02-03 2019-12-31 13F HERCULES CAPITAL COM 427096508 85,563 16,501 23.89 1,200 30.01 0.0506
2019-11-01 2019-09-30 13F HERCULES CAPITAL COM 427096508 69,062 31,598 84.34 923 92.29 0.0443
2019-08-01 2019-06-30 13F HERCULES CAPITAL COM 427096508 37,464 27,202 265.08 480 269.23 0.0247
2019-05-01 2019-03-31 13F HERCULES CAPITAL COM 427096508 10,262 -1,275 -11.05 130 2.36 0.0074
2019-01-31 2018-12-31 13F HERCULES CAPITAL COM 427096508 11,537 11,537 127 0.0092
2015-07-14 2015-06-30 13F HERCULES TECH GROWTH CAP COM 427096508 0 -13,662 -100.00 0 -100.00
2015-04-23 2015-03-31 13F HERCULES TECH GROWTH CAP COM 427096508 13,662 -13,719 -50.10 184 -54.79 0.0244
2015-02-13 2014-12-31 13F HERCULES TECH GROWTH CAP COM 427096508 27,381 27,381 407 0.0538
Legend
Shares
The total number of shares held by the institution at the end of the reporting period (the effective date). This is provided in the filing.
Value
The total value of the shares as of the effective date. This is provided in the filing.
Avg. Share Price
The weighted average share price of the shares held by the institution. We use FIFO accounting to determine this price
Class
This is the security class as indicated by the filer. There are a variety of values for this field. Common values include "EC" = equity common, "EP" - equity preferred
Allocation (%)
The percent of the institution's portfolio that this position represents. This is provided in NPORT filings. For 13F filings, we calculate it.
Change in Allocation
The change in allocation from the prior reporting period. This is calculated as current allocation - prior allocation.
Change in Allocation (%)
The percent change in allocation from the prior reporting period. This is calculated as (current allocation - prior allocation) / prior allocation.
Cost Basis
The total cost of the shares held. This is calculated as reported shares * avg. share price
Unrealized Gain/Loss
This is the market value of the position as of the effective date minus the cost basis.