Grundlæggende statistik
| LEI | 549300UJ5OC256GR2B73 |
| CIK | 1280784 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Hercules Capital, Inc. - Corporate Bond/Note
SEC Filings (Chronological Order)
Denne side giver en komplet, kronologisk liste over SEC-arkiveringer, eksklusive ejerskabsregistreringer, som vi leverer andre steder.
| May 5, 2026 |
Exhibit 99.2 Hercules Capital Declares a Total Cash Distribution of $0.47 per Share for the First Quarter 2026 The Total Cash Distribution of $0.47 per Share for the First Quarter 2026 is Comprised of a $0.40 per Share Base Distribution and $0.07 per Share Supplemental Distribution SAN MATEO, Calif., April 30, 2026 – Hercules Capital, Inc. (NYSE: HTGC) (“Hercules,” “Hercules Capital,” or the “Comp |
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| May 5, 2026 |
Exhibit 99.1 Hercules Capital Reports First Quarter 2026 Financial Results Record Q1 2026 Total New Debt and Equity Commitments of $1.81 Billion, an Increase of 77.8% Year-over-Year Q1 2026 Total Fundings of $706.4 Million, an Increase of 31.0% Year-over-Year Record Q1 2026 Total Investment Income of $141.5 Million, and Increase of 18.4% Year-over-Year Q1 2026 Net Investment Income "NII" of $88.1 |
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| May 5, 2026 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For The Quarterly Period Ended March 31, 2026 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 814-00702 HERCULES CAPITAL, INC. |
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| May 5, 2026 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 30, 2026 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commission F |
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| May 5, 2026 |
COURTESY COPY OF HTGC 10Q 2026.03.31 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For The Quarterly Period Ended March 31, 2026 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 814-00702 HERCULES CAPITAL, INC. |
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| May 4, 2026 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant Filed by a Party other than the Registrant Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Definitive Pro |
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| May 4, 2026 |
Exhibit 99.1 Hercules Capital Enters Next Phase of Growth with Expanded Leadership Team Seth Meyer Elevated to President Andrew Olson Appointed Chief Financial Officer and Head of Corporate Development SAN MATEO, Calif., May 4, 2026 – Hercules Capital, Inc. (NYSE: HTGC) (“Hercules,” “Hercules Capital,” or the “Company”), the largest and leading specialty financing provider to innovative venture, g |
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| May 4, 2026 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 29, 2026 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commission F |
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| April 23, 2026 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant Filed by a Party other than the Registrant Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Definitive Pro |
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| April 23, 2026 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant Filed by a Party other than the Registrant Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Definitive Pro |
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| February 12, 2026 |
List of Subsidiaries (as of December 31, 2025) Exhibit 21.1 List of Subsidiaries (as of December 31, 2025) Name Jurisdiction of Organization Hercules Capital IV, L.P. Delaware Hercules SBIC V L.P. Delaware Hercules Funding IV, LLC Delaware Hercules Capital Funding 2022-1 LLC Delaware Hercules Capital Funding Trust 2022-1 Delaware Hercules Technology Management LLC Delaware Hercules Technology Management Co II, Inc. Delaware Hercules Technology |
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| February 12, 2026 |
COURTESY COPY OF HTGC 10K 2025.12.31 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2025 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 814-00702 HERCULES CAPITAL |
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| February 12, 2026 |
Exhibit 99.1 Hercules Capital Reports Fourth Quarter and Full-Year 2025 Financial Results Record Full-Year 2025 Total New Debt and Equity Commitments of $3.92 Billion, an Increase of 45.7% Year-over-Year Record Full-Year 2025 Total Fundings of $2.28 Billion, an Increase of 25.9% Year-over-Year Record Full-Year 2025 Total Investment Income of $532.5 Million, an Increase of 7.9% Year-over-Year Recor |
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| February 12, 2026 |
CODE OF BUSINESS CONDUCT AND ETHICS Effective: January 1, 2026 Exhibit 14.2 CODE OF BUSINESS CONDUCT AND ETHICS Effective: January 1, 2026 Exhibit 14.2 CODE OF BUSINESS CONDUCT AND ETHICS TABLE OF CONTENTS Introduction 1 Purpose of the Code 1 Conflicts of Interest 1 Corporate Opportunities 2 Confidentiality 2 Fair Dealing 2 Protection and Proper Use of Company Assets 2 Compliance with Applicable Laws, Rules and Regulations 3 Equal Opportunity, Harassment 3 Re |
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| February 12, 2026 |
JOINT CODE OF ETHICS Effective: January 1, 2026 Exhibit 14.1 JOINT CODE OF ETHICS Effective: January 1, 2026 This Code of Ethics (the “Code”) has been adopted by the Board of Directors (the “Board”) of Hercules Capital, Inc. (“Hercules Capital”) in accordance with Rule 17j-l(c) under the Investment Company Act of 1940, as amended (the “1940 Act”), and by Hercules Adviser LLC (the “Adviser” and together with Hercules Capital, “Hercules”), in acc |
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| February 12, 2026 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2025 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 814-00702 HERCULES CAPITAL |
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| February 12, 2026 |
Exhibit 99.2 Hercules Capital Declares a Total Cash Distribution of $0.47 per Share for the Fourth Quarter 2025 The Total Cash Distribution of $0.47 per Share for the Fourth Quarter 2025 is Comprised of a Base Distribution of $0.40 per Share and a New Supplemental Distribution of $0.07 per Share SAN MATEO, Calif., February 10, 2026 – Hercules Capital, Inc. (NYSE: HTGC) (“Hercules,” "Hercules Capit |
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| February 12, 2026 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 10, 2026 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commissio |
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| February 12, 2026 |
Exhibit 19.1 INSIDER TRADING POLICY Adopted: July 7, 2015 Amended and Restated: November 19, 2019 Ratified: December 3, 2020 Joint Policy Adopted: March 2021 Ratified: December 2021 Ratified: December 2022 Ratified: December 2023 Amended and Restated: September 19, 2024 Amended: March 2025 Amended: January 2026 Exhibit 19.1 INSIDER TRADING TABLE OF CONTENTS INSIDER TRADING POLICY Section I. Policy |
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| February 12, 2026 |
Exhibit 4(h) DESCRIPTION OF OUR SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 As of December 31, 2025, Hercules Capital, Inc. |
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| February 12, 2026 |
Exhibit 99.3 Hercules Capital Announces New Supplemental Cash Distribution of $0.28 per Share The New Supplemental Cash Distribution is in Addition to the Regular Quarterly Cash Distributions and will be Distributed Equally over Four Quarters Beginning with the Fourth Quarter of 2025 Distribution Payable in March of 2026 The New Supplemental Cash Distribution of $0.07 per Share for the Fourth Quar |
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| February 10, 2026 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 5, 2026 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commission |
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| February 10, 2026 |
EX-4.2 Exhibit 4.2 Execution Version TENTH SUPPLEMENTAL INDENTURE between HERCULES CAPITAL, INC. and U.S. BANK TRUST COMPANY, NATIONAL ASSOCIATION, as Trustee Dated as of February 10, 2026 TENTH SUPPLEMENTAL INDENTURE THIS TENTH SUPPLEMENTAL INDENTURE (this “Tenth Supplemental Indenture”), dated as of February 10, 2026, is between Hercules Capital, Inc., a Maryland corporation (the “Company”), and |
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| February 10, 2026 |
EX-1.1 Exhibit 1.1 Execution Version $300,000,000 Aggregate Principal Amount 5.350% Notes Due 2029 Hercules Capital, Inc. UNDERWRITING AGREEMENT February 5, 2026 Goldman Sachs & Co. LLC SMBC Nikko Securities America, Inc., As Representatives of the several Underwriters c/o Goldman Sachs & Co. LLC 200 West Street New York, New York 10282 c/o SMBC Nikko Securities America, Inc. 277 Park Avenue New Y |
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| February 9, 2026 |
Calculation of Filing Fee Tables N-2 Hercules Capital, Inc. Table 1: Newly Registered and Carry Forward Securities ☐Not Applicable Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Carry Forward Form Type Carry Forward File Number Carry Forward Init |
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| February 9, 2026 |
Filed Pursuant to Rule 424(b)(2) Registration No. 333-283735 PROSPECTUS SUPPLEMENT (To prospectus dated December 11, 2024) $300,000,000 5.350% Notes due 2029 We are an internally-managed, non-diversified, closed-end investment company that has elected to be regulated as a business development company under the Investment Company Act of 1940, as amended, or the 1940 Act. Our investment objective is |
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| February 5, 2026 |
Hercules Capital, Inc. 5.350% Notes due 2029 PRICING TERM SHEET February 5, 2026 FWP Filed pursuant to Rule 433 Issuer Free Writing Prospectus dated February 5, 2026 Relating to Preliminary Prospectus Supplement dated February 5, 2026 and Prospectus dated December 11, 2024 Registration No. |
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| February 5, 2026 |
SUBJECT TO COMPLETION, DATED FEBRUARY 5, 2026 424B2 Table of Contents Filed Pursuant to Rule 424(b)(2) Registration No. 333-283735 The information in this preliminary prospectus supplement is not complete and may be changed. An effective registration statement relating to these securities has been filed with the U.S. Securities and Exchange Commission. This preliminary prospectus supplement and the accompanying prospectus are not an offer to |
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| February 3, 2026 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 3, 2026 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commission |
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| October 30, 2025 |
Exhibit 99.2 Hercules Capital Declares a Total Cash Distribution of $0.47 per Share for the Third Quarter 2025 The Total Cash Distribution of $0.47 per Share for the Third Quarter 2025 is Comprised of a $0.40 per Share Base Distribution and $0.07 per Share Supplemental Distribution SAN MATEO, Calif., October 28, 2025 – Hercules Capital, Inc. (NYSE: HTGC) (“Hercules,” “Hercules Capital,” or the “Co |
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| October 30, 2025 |
Exhibit 99.1 Hercules Capital Reports Third Quarter 2025 Financial Results Q3 2025 Total New Debt and Equity Commitments of $846.2 Million Record Q3 2025 Total Fundings of $504.6 Million Record Year-to-Date Ending Q3 2025 Total New Debt and Equity Commitments of $2.87 Billion Record Year-to-Date Ending Q3 2025 Total Fundings of $1.75 Billion Record Q3 2025 Total Investment Income of $138.1 Million |
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| October 30, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 28, 2025 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commission |
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| October 30, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For The Quarterly Period Ended September 30, 2025 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 814-00702 HERCULES CAPITAL, INC. |
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| July 31, 2025 |
INSIDER TRADING POLICY Adopted: July 7, 2015 Amended and Restated: November 19, 2019 Ratified: December 3, 2020 Joint Policy Adopted: March 2021 Ratified: December 2021 Ratified: December 2022 Ratified: December 2023 Amended and Restated: September 19, 2024 Amended: March 2025 INSIDER TRADING TABLE OF CONTENTS INSIDER TRADING POLICY Section I. |
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| July 31, 2025 |
Exhibit 99.1 Hercules Capital Reports Second Quarter 2025 Financial Results Q2 2025 Total Gross Debt and Equity Commitments of $1.0 Billion Record Q2 2025 Total Gross Fundings of $709.1 Million Record 1H 2025 Total Debt and Equity Commitments of $2.02 Billion Record 1H 2025 Total Gross Fundings of $1.25 Billion Record Q2 2025 Net Investment Income "NII" of $88.7 Million Q2 2025 NII of $0.50 per Sh |
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| July 31, 2025 |
JOINT CODE OF ETHICS Effective: June 6, 2025 1 This Code of Ethics (the “Code”) has been adopted by the Board of Directors (the “Board”) of Hercules Capital, Inc. |
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| July 31, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For The Quarterly Period Ended June 30, 2025 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 814-00702 HERCULES CAPITAL, INC. |
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| July 31, 2025 |
Exhibit 99.2 Hercules Capital Declares a Total Cash Distribution of $0.47 per Share for the Second Quarter 2025 The Total Cash Distribution of $0.47 per Share for the Second Quarter 2025 is Comprised of a $0.40 per Share Base Distribution and an $0.07 per Share Supplemental Distribution SAN MATEO, Calif., July 29, 2025 – Hercules Capital, Inc. (NYSE: HTGC) (“Hercules” or the “Company”), the larges |
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| July 31, 2025 |
Code of Business Conduct and Ethics. CODE OF BUSINESS CONDUCT AND ETHICS Effective: June 6, 2025 CODE OF BUSINESS CONDUCT AND ETHICS TABLE OF CONTENTS Introduction 1 Purpose of the Code 1 Conflicts of Interest 1 Corporate Opportunities 2 Confidentiality 2 Fair Dealing 2 Protection and Proper Use of Company Assets 2 Compliance with Applicable Laws, Rules and Regulations 3 Equal Opportunity, Harassment 3 Retaining Business Records 4 Ac |
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| July 31, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 29, 2025 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commission Fi |
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| June 20, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 18, 2025 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commission Fi |
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| June 16, 2025 |
EX-1.1 Exhibit 1.1 EXECUTION VERSION $350,000,000 Aggregate Principal Amount 6.000% Notes Due 2030 Hercules Capital, Inc. UNDERWRITING AGREEMENT June 11, 2025 Goldman Sachs & Co. LLC SMBC Nikko Securities America, Inc., As Representatives of the several Underwriters c/o Goldman Sachs & Co. LLC 200 West Street New York, New York 10282 c/o SMBC Nikko Securities America, Inc. 277 Park Avenue New York |
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| June 16, 2025 |
Exhibit 4.2 Execution Version NINTH SUPPLEMENTAL INDENTURE between HERCULES CAPITAL, INC. and U.S. BANK TRUST COMPANY, NATIONAL ASSOCIATION, as Trustee Dated as of June 16, 2025 NINTH SUPPLEMENTAL INDENTURE THIS NINTH SUPPLEMENTAL INDENTURE (this “Ninth Supplemental Indenture”), dated as of June 16, 2025, is between Hercules Capital, Inc., a Maryland corporation (the “Company”), and U.S. Bank Trus |
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| June 16, 2025 |
Entry into a Material Definitive Agreement UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 10, 2025 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commission Fi |
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| June 16, 2025 |
Exhibit 10.1 Execution Version FOURTH AMENDMENT TO LOAN AND SECURITY AGREEMENT This FOURTH AMENDMENT TO LOAN AND SECURITY AGREEMENT (this “Amendment”) is entered into as of June 10, 2025, by and among HERCULES FUNDING IV LLC, a Delaware limited liability company (“Borrower”), the lenders identified on the signature pages hereof (such lenders, together with their respective successors and assigns, |
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| June 13, 2025 |
Filed Pursuant to Rule 424(b)(2) Registration No. 333-283735 PROSPECTUS SUPPLEMENT (To prospectus dated December 11, 2024) $350,000,000 6.000% Notes due 2030 We are an internally-managed, non-diversified, closed-end investment company that has elected to be regulated as a business development company under the Investment Company Act of 1940, as amended, or the 1940 Act. Our investment objective is |
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| June 13, 2025 |
Table 1: Newly Registered and Carry Forward Securities Calculation of Filing Fee Tables N-2 Hercules Capital, Inc. Table 1: Newly Registered and Carry Forward Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Carry Forward Form Type Carry Forward File Number Carry Forward Initial Effective Da |
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| June 11, 2025 |
Hercules Capital, Inc. 6.000% Notes due 2030 PRICING TERM SHEET June 11, 2025 FWP Filed pursuant to Rule 433 Issuer Free Writing Prospectus dated June 11, 2025 Relating to Preliminary Prospectus Supplement dated June 11, 2025 and Prospectus dated December 11, 2024 Registration No. |
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| June 11, 2025 |
SUBJECT TO COMPLETION, DATED JUNE 11, 2025 Table of Contents Filed Pursuant to Rule 424(b)(2) Registration No. 333-283735 The information in this preliminary prospectus supplement is not complete and may be changed. An effective registration statement relating to these securities has been filed with the U.S. Securities and Exchange Commission. This preliminary prospectus supplement and the accompanying prospectus are not an offer to sell t |
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| May 1, 2025 |
Financial Statements and Exhibits, Results of Operations and Financial Condition, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 29, 2025 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commission F |
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| May 1, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For The Quarterly Period Ended March 31, 2025 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 814-00702 HERCULES CAPITAL, INC. |
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| May 1, 2025 |
Exhibit 99.1 Hercules Capital Reports First Quarter 2025 Financial Results Q1 2025 Total Gross Debt and Equity Commitments of $1.02 Billion Q1 2025 Total Gross Fundings of $539.1 Million Q1 2025 Total Investment Income of $119.5 Million Q1 2025 Net Investment Income “NII” of $77.5 Million, or $0.45 per Share Q1 2025 NII of $0.45 per Share provides 113% Coverage of the Base Cash Distribution Receiv |
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| May 1, 2025 |
Exhibit 99.2 Hercules Capital Declares a Total Cash Distribution of $0.47 per Share for the First Quarter 2025 The Total Cash Distribution of $0.47 per Share for the First Quarter 2025 is Comprised of a $0.40 per Share Base Distribution and an $0.07 per Share Supplemental Distribution SAN MATEO, Calif., April 29, 2025 – Hercules Capital, Inc. (NYSE: HTGC) (“Hercules” or the “Company”), the largest |
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| April 24, 2025 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Definitive Proxy Statement o Definiti |
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| April 24, 2025 |
DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy Statement ☒ Definitive Add |
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| April 14, 2025 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Check the appropriate box: x Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Definitive Proxy Statement o Definiti |
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| March 10, 2025 |
Regulation FD Disclosure, Entry into a Material Definitive Agreement UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 10, 2025 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commission F |
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| March 10, 2025 |
EX-99.1 Exhibit 99.1 Hercules Capital Closes Offering of $287.5 Million of Convertible Unsecured Notes Convertible Unsecured Notes due 2028 Initially Assigned a BBB+ by Kroll Bond Rating Agency SAN MATEO, Calif., March 10, 2025 – Hercules Capital, Inc. (NYSE: HTGC) (“Hercules” or the “Company”), today announced that it has closed a private offering of $287.5 million aggregate principal amount of i |
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| March 10, 2025 |
Exhibit 4.1 Execution Version HERCULES CAPITAL, INC. AND U.S. BANK TRUST COMPANY, NATIONAL ASSOCIATION, as Trustee INDENTURE Dated as of March 10, 2025 4.750% Convertible Senior Notes due 2028 TABLE OF CONTENTS PAGE ARTICLE 1 DEFINITIONS Section 1.01 Definitions 1 Section 1.02 References to Interest 12 ARTICLE 2 ISSUE, DESCRIPTION, EXECUTION, REGISTRATION AND EXCHANGE OF NOTES Section 2.01 Designa |
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| March 6, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 5, 2025 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commission Fi |
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| March 6, 2025 |
Hercules Capital Prices $250.0 Million of Convertible Unsecured Notes Exhibit 99.1 Hercules Capital Prices $250.0 Million of Convertible Unsecured Notes SAN MATEO, Calif., March 5, 2025 – Hercules Capital, Inc. (NYSE: HTGC) (“Hercules” or the “Company”), today announced that it has agreed to sell to the initial purchasers in a private offering, $250.0 million aggregate principal amount of its 4.75% Convertible Unsecured Notes due 2028 (the “Convertible Notes”). The |
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| March 5, 2025 |
Hercules Capital Announces Offering of $250.0 Million of Convertible Unsecured Notes Exhibit 99.1 Hercules Capital Announces Offering of $250.0 Million of Convertible Unsecured Notes SAN MATEO, Calif., March 5, 2025 – Hercules Capital, Inc. (NYSE: HTGC) (“Hercules” or the “Company”), today announced that it plans to make an offering of $250.0 million aggregate principal amount of its Convertible Unsecured Notes due 2028 (the “Convertible Notes”). The Company plans to grant the ini |
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| March 5, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 5, 2025 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commission Fi |
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| February 13, 2025 |
Exhibit 99.3 Hercules Capital Announces New Supplemental Cash Distribution of $0.28 per Share The New Supplemental Cash Distribution is in Addition to the Regular Quarterly Cash Distributions and will be Distributed Equally over Four Quarters Beginning with the Fourth Quarter of 2024 Distribution Payable in March of 2025 SAN MATEO, Calif., February 11, 2025 – Hercules Capital, Inc. (NYSE: HTGC) (“ |
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| February 13, 2025 |
Description of the Registrant’s Securities. Exhibit 4(h) DESCRIPTION OF OUR SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 As of December 31, 2024, Hercules Capital, Inc. |
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| February 13, 2025 |
Financial Statements and Exhibits, Results of Operations and Financial Condition, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 11, 2025 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commissio |
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| February 13, 2025 |
Exhibit 21.1 List of Subsidiaries (as of December 31, 2024) Name Jurisdiction of Organization Hercules Capital IV, L.P. Delaware Hercules SBIC V L.P. Delaware Hercules Funding IV, LLC Delaware Hercules Capital Funding 2022-1 LLC Delaware Hercules Capital Funding Trust 2022-1 Delaware Hercules Technology Management LLC Delaware Hercules Technology Management Co II, Inc. Delaware Hercules Technology |
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| February 13, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2024 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 814-00702 HERCULES CAPITAL |
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| February 13, 2025 |
Exhibit 19.1 INSIDER TRADING POLICY Adopted: July 7, 2015 Amended and Restated: November 19, 2019 Ratified: December 3, 2020 Joint Policy Adopted: March 2021 Ratified: December 2021 Ratified: December 2022 Ratified: December 2023 Amended and Restated: September 19, 2024 Exhibit 19.1 INSIDER TRADING TABLE OF CONTENTS INSIDER TRADING POLICY Section I. Policy Summary 1 Section II. Business and Financ |
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| February 13, 2025 |
Exhibit 99.1 Hercules Capital Reports Fourth Quarter and Full-Year 2024 Financial Results Record Full-Year 2024 Total Investment Income of $493.6 Million, an Increase of 7.1% Year-over-Year Record Full-Year 2024 Net Investment Income “NII” of $325.8 Million, an Increase of 7.2% Year-over-Year Record Full-Year 2024 Gross Fundings of $1.81 Billion, an Increase of 13.0% Year-over-Year Q4 2024 NII of |
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| February 13, 2025 |
Exhibit 99.2 Hercules Capital Declares a Total Cash Distribution of $0.47 per Share for the Fourth Quarter 2024 The Total Cash Distribution of $0.47 per Share for the Fourth Quarter 2024 is Comprised of a Base Distribution of $0.40 per Share and a New Supplemental Distribution of $0.07 per Share SAN MATEO, Calif., February 11, 2025 – Hercules Capital, Inc. (NYSE: HTGC) (“Hercules” or the “Company” |
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| February 5, 2025 |
Entry into a Material Definitive Agreement UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 5, 2025 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commission |
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| February 5, 2025 |
Exhibit 10.1 EXECUTION COPY THIRD AMENDMENT TO LETTER OF CREDIT FACILITY AGREEMENT THIS THIRD AMENDMENT TO LETTER OF CREDIT FACILITY AGREEMENT, dated as of February 5, 2025 (this “Amendment”), is among HERCULES CAPITAL, INC., a Maryland corporation (the “Borrower”), and SUMITOMO MITSUI BANKING CORPORATION, as Issuing Bank (the “Issuing Bank”). W I T N E S S E T H: WHEREAS, the Borrower and the Iss |
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| December 12, 2024 |
EX. 107 FILING FEES Calculation of Filing Fee Tables 424(b)(2) (Form Type) Hercules Capital, Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered and Carry Forward Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registra |
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| December 12, 2024 |
Table of Contents Filed Pursuant to Rule 424(b)(2) Registration No. 333-283735 PROSPECTUS SUPPLEMENT (To prospectus dated December 11, 2024) Up to 30,000,000 Shares of Common Stock About this offering. We are offering to sell up to 30,000,000 shares of our common stock from time to time through our “ Sales Agents ”, Jefferies LLC and Citizens JMP Securities, LLC. Any such sales may be made in nego |
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| December 12, 2024 |
Form of Equity Distribution Agreement Exhibit 10.1 HERCULES CAPITAL, INC. Common Stock, $0.001 par value per share EQUITY DISTRIBUTION AGREEMENT Dated December [ ], 2024 TABLE OF CONTENTS SECTION 1. Description of Shares 1 SECTION 2. Placements 2 SECTION 3. Sale of Placement Securities by the Sales Manager 3 SECTION 4. Suspension of Sales 4 SECTION 5. Representations and Warranties 4 SECTION 6. Sale and Delivery to the Sales Manager; |
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| December 12, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 12, 2024 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commissio |
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| December 11, 2024 |
Consent of Dechert LLP (included in Exhibit l.1). Exhibit L.1 Three Bryant Park 1095 Avenue of the Americas New York, NY 10036-6797 + 1 212 698 3599 Main + 1 212 698 3599 Fax www.dechert.com December 11, 2024 Hercules Capital, Inc. 1 N B Street, Suite 2000 San Mateo, CA 94401 Re: Registration Statement on Form N-2 Ladies and Gentlemen: We have acted as special counsel to Hercules Capital, Inc., a Maryland corporation (the “Company”), in connectio |
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| December 11, 2024 |
Consent of PricewaterhouseCoopers LLP. Exhibit n.1 CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the incorporation by reference in this Registration Statement on Form N-2 of Hercules Capital, Inc. of our report dated February 15, 2024, relating to the financial statements, financial statement schedules and the effectiveness of internal control over financial reporting, which appears in Hercules Capital, |
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| December 11, 2024 |
Exhibit (s) EX. FILING FEES Calculation of Filing Fee Tables Form N-2 (Form Type) Hercules Capital, Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Ca |
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| December 11, 2024 |
As filed with the Securities and Exchange Commission on December 11, 2024 Table of Contents As filed with the Securities and Exchange Commission on December 11, 2024 Securities Act File No. |
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| December 2, 2024 |
Exhibit 4.1 EXECUTION COPY FIFTH AMENDMENT TO REVOLVING CREDIT AGREEMENT THIS FIFTH AMENDMENT TO REVOLVING CREDIT AGREEMENT, dated as of November 26, 2024 (this “Amendment”), is among HERCULES CAPITAL, INC., a Maryland corporation (the “Borrower”), the LENDERS party hereto and SUMITOMO MITSUI BANKING CORPORATION (“SMBC”), as Administrative Agent (in such capacity, the “Administrative Agent”) and a |
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| December 2, 2024 |
Hercules Capital Renews and Increases Its Multi-Currency SMBC Credit Facility to $300.0 Million Exhibit 99.1 Hercules Capital Renews and Increases Its Multi-Currency SMBC Credit Facility to $300.0 Million SAN MATEO, Calif., December 2, 2024 - Hercules Capital, Inc. (NYSE: HTGC) (“Hercules” or the “Company”), the largest and leading specialty financing provider to innovative venture, growth and established stage companies backed by some of the leading and top-tier venture capital and select p |
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| December 2, 2024 |
Entry into a Material Definitive Agreement, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 26, 2024 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commissio |
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| October 30, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For The Quarterly Period Ended September 30, 2024 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 814-00702 HERCULES CAPITAL, INC. |
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| October 30, 2024 |
Exhibit 99.2 Hercules Capital Declares a Total Cash Distribution of $0.48 per Share for the Third Quarter 2024 The Total Cash Distribution of $0.48 per Share for the Third Quarter 2024 is Comprised of a $0.40 per Share Base Distribution and an $0.08 per Share Supplemental Distribution SAN MATEO, Calif., October 28, 2024 – Hercules Capital, Inc. (NYSE: HTGC) (“Hercules” or the “Company”), the large |
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| October 30, 2024 |
Exhibit 99.1 Hercules Capital Reports Third Quarter 2024 Financial Results Record Q3 2024 Total Investment Income of $125.2 Million, an Increase of 7.3% Year-over-Year Q3 2024 Net Investment Income “NII” of $83.2 Million, or $0.51 per Share, an Increase of 8.3% Year-over-Year Q3 2024 NII Provides 128% Coverage of the Base Cash Distribution Q3 2024 Total Gross Debt and Equity Commitments of $430.7 |
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| October 30, 2024 |
COURTESY COPY OF HTGC 10Q 2024.09.30 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For The Quarterly Period Ended September 30, 2024 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 814-00702 HERCULES CAPITAL, INC. |
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| October 30, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 28, 2024 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commission |
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| October 30, 2024 |
Articles of Amendment, dated October 28, 2024. Exhibit 3(f) HERCULES CAPITAL, INC. Articles of Amendment Hercules Capital, Inc., a Maryland corporation (the “Corporation”), hereby certifies to the State Department of Assessments and Taxation of Maryland (the “Department”) that: FIRST: The Corporation desires to, and does hereby, amend its charter (the “Charter”) as currently in effect as hereafter set forth. SECOND: The Charter is hereby amend |
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| October 28, 2024 |
Cira Centre 2929 Arch St. Philadelphia, PA 19104 +1 215 994 4000 Main www.dechert.com IAN A.HARTMAN [email protected] +1 215 994 2277 Direct October 28, 2024 VIA EDGAR Christina DiAngelo Fettig Senior Staff Accountant Division of Investment Management, Disclosure Review Office U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Hercules Capital, Inc. Annual |
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| August 16, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 15, 2024 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commission |
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| August 16, 2024 |
Filed Pursuant to Rule 424(b)(3) Registration No. 333-261732 Table of Contents Filed Pursuant to Rule 424(b)(3) Registration No. 333-261732 AMENDMENT NO. 2 DATED AUGUST 16, 2024 (To prospectus supplement dated May 5, 2023 and prospectus dated December 17, 2021) Up to 25,000,000 Shares of Common Stock This Amendment No. 2 to the Prospectus Supplement, or this amendment, amends our prospectus supplement dated May 5, 2023 (as amended), or the prospectus supple |
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| August 1, 2024 |
COURTESY COPY OF HTGC 10Q 2024.06.30 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For The Quarterly Period Ended June 30, 2024 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 814-00702 HERCULES CAPITAL, INC. |
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| August 1, 2024 |
Exhibit 99.1 Hercules Capital Reports Second Quarter 2024 Financial Results Q2 2024 Total Gross Debt and Equity Commitments of $686.5 Million Record Q2 2024 Total Gross Fundings of $461.5 Million, an Increase of 28.7% Year-over-Year Record Q2 2024 Total Investment Income of $125.0 Million, an Increase of 7.5% Year-over-Year Q2 2024 Net Investment Income “NII” of $82.4 Million, or $0.51 per Share, |
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| August 1, 2024 |
Exhibit 10.1 EXECUTION COPY SECOND AMENDMENT TO LETTER OF CREDIT FACILITY AGREEMENT THIS SECOND AMENDMENT TO LETTER OF CREDIT FACILITY AGREEMENT, dated as of June 28, 2024 (this “Amendment”), is among HERCULES CAPITAL, INC., a Maryland corporation (the “Borrower”), and SUMITOMO MITSUI BANKING CORPORATION, as Issuing Bank (the “Issuing Bank”). W I T N E S S E T H: WHEREAS, the Borrower and the Issu |
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| August 1, 2024 |
Exhibit 10.2 EXECUTION COPY FOURTH AMENDMENT TO REVOLVING CREDIT AGREEMENT THIS FOURTH AMENDMENT TO REVOLVING CREDIT AGREEMENT, dated as of June 28, 2024 (this “Amendment”), is among HERCULES CAPITAL, INC., a Maryland corporation (the “Borrower”), and SUMITOMO MITSUI BANKING CORPORATION, as Administrative Agent (the “Administrative Agent”). W I T N E S S E T H: WHEREAS, the Borrower, the Lenders a |
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| August 1, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For The Quarterly Period Ended June 30, 2024 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 814-00702 HERCULES CAPITAL, INC. |
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| August 1, 2024 |
Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 30, 2024 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commission Fi |
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| August 1, 2024 |
Exhibit 99.2 Hercules Capital Declares a Total Cash Distribution of $0.48 per Share for the Second Quarter 2024 The Total Cash Distribution of $0.48 per Share for the Second Quarter 2024 is Comprised of a $0.40 per Share Base Distribution and an $0.08 per Share Supplemental Distribution SAN MATEO, Calif., July 30, 2024 – Hercules Capital, Inc. (NYSE: HTGC) (“Hercules” or the “Company”), the larges |
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| July 17, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 17, 2024 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commission Fi |
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| July 17, 2024 |
Hercules Capital Receives SBA Approval for Its Fourth SBIC License EX-99.1 Exhibit 99.1 Hercules Capital Receives SBA Approval for Its Fourth SBIC License SAN MATEO, Calif., July 17, 2024 – Hercules Capital, Inc. (NYSE: HTGC) (“Hercules” or the “Company”), the largest and leading specialty financing provider to innovative venture, growth and established stage companies backed by some of the leading and top-tier venture capital and select private equity firms, tod |
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| June 21, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 20, 2024 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commission Fi |
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| May 2, 2024 |
Exhibit 99.1 Hercules Capital Reports First Quarter 2024 Financial Results Record Q1 2024 Total Gross Debt and Equity Commitments of $956.0 Million, an Increase of 81.7% Year-over-Year Record Q1 2024 Total Gross Fundings of $605.2 Million, an Increase of 27.1% Year-over-Year Q1 2024 Total Investment Income of $121.6 Million, an Increase of 15.7% Year-over-Year Q1 2024 Net Investment Income “NII” o |
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| May 2, 2024 |
COURTESY COPY OF HTGC-2024.03.31-10Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For The Quarterly Period Ended March 31, 2024 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 814-00702 HERCULES CAPITAL, INC. |
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| May 2, 2024 |
Exhibit 99.2 Hercules Capital Declares a Total Cash Distribution of $0.48 per Share for the First Quarter 2024 The Total Cash Distribution of $0.48 per Share for the First Quarter 2024 is Comprised of a $0.40 per Share Base Distribution and an $0.08 per Share Supplemental Distribution SAN MATEO, Calif., April 30, 2024 – Hercules Capital, Inc. (NYSE: HTGC) (“Hercules” or the “Company”), the largest |
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| May 2, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For The Quarterly Period Ended March 31, 2024 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 814-00702 HERCULES CAPITAL, INC. |
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| May 2, 2024 |
Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 30, 2024 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commission F |
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| April 23, 2024 |
CORRESP Cira Centre 2929 Arch Street Philadelphia, PA 19104-2808 +1 215 994 4000 Main +1 215 994 2321 Fax www. |
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| April 23, 2024 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Proxy Statement ☐ Defi |
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| April 12, 2024 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy Statement ☐ Defi |
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| February 15, 2024 |
COURTESY COPY OF HTGC-2023.12.31-10K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2023 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 814-00702 HERCULES CAPITAL |
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| February 15, 2024 |
Description of the Registrant’s Securities. Exhibit 4(m) DESCRIPTION OF OUR SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 As of December 31, 2023, Hercules Capital, Inc. |
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| February 15, 2024 |
Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 13, 2024 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commissio |
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| February 15, 2024 |
Exhibit 21.1 List of Subsidiaries (as of December 31, 2023) Name Jurisdiction of Organization Hercules Capital IV, L.P. Delaware Hercules SBIC 4 L.P. Delaware Hercules Funding IV, LLC Delaware Hercules Capital Funding 2022-1 LLC Delaware Hercules Capital Funding Trust 2022-1 Delaware Hercules Technology Management LLC Delaware Hercules Technology Management Co II, Inc. Delaware Hercules Technology |
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| February 15, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2023 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 814-00702 HERCULES CAPITAL |
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| February 15, 2024 |
Exhibit 14.1 JOINT CODE OF ETHICS This Code of Ethics (the “Code”) has been adopted by the Board of Directors (the “Board”) of Hercules Capital, Inc. (“Hercules Capital”) in accordance with Rule 17j-l(c) under the Investment Company Act of 1940, as amended (the “1940 Act”), and by Hercules Adviser LLC (the “Adviser” and together with Hercules Capital, “Hercules”), in accordance with Rule 204A-1 of |
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| February 15, 2024 |
Exhibit 99.3 Hercules Capital Announces New Supplemental Cash Distribution of $0.32 per Share The New Supplemental Cash Distribution is in Addition to the Regular Quarterly Cash Distributions and will be Distributed Equally over Four Quarters Beginning with the Fourth Quarter of 2023 Distribution Payable in March of 2024 The New Supplemental Cash Distribution of $0.08 per Share for the Fourth Quar |
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| February 15, 2024 |
Exhibit 97 HERCULES CAPITAL, INC. CLAWBACK POLICY The Board of Directors (the Board) of Hercules Capital, Inc. (the Company) believes that it is in the best interests of the Company and its shareholders to adopt this Clawback Policy (the Policy), which provides for the recovery of certain incentive compensation in the event of an Accounting Restatement (as defined below). This Policy is designed t |
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| February 15, 2024 |
Exhibit 99.1 Hercules Capital Reports Fourth Quarter and Full-Year 2023 Financial Results Record Q4 2023 Total Investment Income of $122.6 Million, an Increase of 22.4% Year-over-Year Record Q4 2023 Net Investment Income “NII” of $86.0 Million, or $0.56 per Share, an Increase of 38.5% Year-over-Year Record Full-Year 2023 Total Investment Income of $460.7 Million, an Increase of 43.2% Year-over-Yea |
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| February 15, 2024 |
Exhibit 99.2 Hercules Capital Declares a Total Cash Distribution of $0.48 per Share for the Fourth Quarter 2023 The Total Cash Distribution of $0.48 per Share for the Fourth Quarter 2023 is Comprised of a Base Distribution of $0.40 per Share and a New Supplemental Distribution of $0.08 per Share SAN MATEO, Calif., February 13, 2024 – Hercules Capital, Inc. (NYSE: HTGC) (“Hercules” or the “Company” |
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| February 15, 2024 |
Code of Business Conduct and Ethics. Exhibit 14.2 CODE OF BUSINESS CONDUCT AND ETHICS Ratified: December 7, 2023 Exhibit 14.2 CODE OF BUSINESS CONDUCT AND ETHICS TABLE OF CONTENTS Introduction................................................................................................................. 1 Purpose of the code..................................................................................................... 1 Confli |
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| November 2, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For The Quarterly Period Ended September 30, 2023 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 814-00702 HERCULES CAPITAL, INC. |
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| November 2, 2023 |
Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 31, 2023 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commission |
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| November 2, 2023 |
Exhibit 99.2 Hercules Capital Declares a Total Cash Distribution of $0.48 per Share for the Third Quarter 2023 The Total Cash Distribution of $0.48 per Share for the Third Quarter 2023 is Comprised of a $0.40 per Share Base Distribution and an $0.08 per Share Supplemental Distribution PALO ALTO, Calif., October 31, 2023 – Hercules Capital, Inc. (NYSE: HTGC) (“Hercules” or the “Company”), the large |
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| November 2, 2023 |
Exhibit 99.1 Hercules Capital Reports Third Quarter 2023 Financial Results Record Q3 2023 Total Investment Income of $116.7 Million, an Increase of 38.6% Year-over-Year Record Q3 2023 Net Investment Income “NII” of $76.8 Million, or $0.52 per Share, an Increase of 53.6% Year-over-Year Record Year-to-Date ending Q3 2023 Total Gross Fundings of $1.29 billion, an Increase of 17.7% Year-over Year Q3 2 |
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| November 2, 2023 |
COURTESY COPY OF HTGC_Q3_9.30.2023_10-Q_I UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For The Quarterly Period Ended September 30, 2023 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 814-00702 HERCULES CAPITAL, INC. |
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| September 25, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 21, 2023 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commissi |
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| September 25, 2023 |
Hercules Capital Announces the Appointment of Mr. Nikos Theodosopoulos to Its Board of Directors Exhibit 99.1 Hercules Capital Announces the Appointment of Mr. Nikos Theodosopoulos to Its Board of Directors PALO ALTO, Calif., September 25, 2023 – Hercules Capital, Inc. (NYSE: HTGC) (“Hercules” or the “Company”), the largest and leading specialty financing provider to innovative venture, growth and established stage companies backed by some of the leading and top-tier venture capital and selec |
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| August 18, 2023 |
Up to 25,000,000 Shares of Common Stock Table of Contents Filed Pursuant to Rule 424(b)(3) Registration No. 333-261732 AMENDMENT NO. 1 DATED AUGUST 18, 2023 (To prospectus supplement dated May 5, 2023 and prospectus dated December 17, 2021) Up to 25,000,000 Shares of Common Stock This Amendment No. 1 to the Prospectus Supplement, or this amendment, amends our prospectus supplement dated May 5, 2023, or the prospectus supplement. This am |
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| August 10, 2023 |
Exhibit 1.1 EXECUTION VERSION 6,500,000 Shares Hercules Capital, Inc. Common Stock UNDERWRITING AGREEMENT August 7, 2023 Morgan Stanley & Co. LLC 1585 Broadway New York, NY 10036 UBS Securities LLC 1285 Avenue of the Americas New York, NY 10019 Wells Fargo Securities, LLC 500 West 33rd Street, 14th Floor New York, NY 10001 As Representatives of the several Underwriters named in Schedule I hereto L |
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| August 10, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 7, 2023 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commission F |
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| August 9, 2023 |
Table of Contents Filed Pursuant to Rule 424(b)(2) Registration No. 333-261732 PROSPECTUS SUPPLEMENT (To prospectus dated December 17, 2021) 6,500,000 Shares of Common Stock We are offering 6,500,000 shares of our common stock. Our common stock trades on the New York Stock Exchange (“NYSE”) under the ticker symbol “HTGC.” The last reported sale price on the NYSE of our common stock on August 4, 20 |
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| August 9, 2023 |
Exhibit 107 Calculation of Filing Fee Tables 424(b)(2) (Form Type) Hercules Capital, Inc. |
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| August 7, 2023 |
SUBJECT TO COMPLETION, DATED AUGUST 7, 2023 424B2 Table of Contents Filed Pursuant to Rule 424(b)(2) Registration No. 333-261732 This preliminary prospectus supplement relates to an effective registration statement under the Securities Act of 1933, as amended, but is not complete and may be changed. This preliminary prospectus supplement is not an offer to sell these securities and it is not soliciting an offer to buy these securities in an |
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| August 3, 2023 |
COURTESY COPY OF HTGC_Q2_6.30.2023_10-Q_I UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For The Quarterly Period Ended June 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 814-00702 HERCULES CAPITAL, INC. |
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| August 3, 2023 |
EX-99.1 Exhibit 99.1 Hercules Capital Reports Second Quarter 2023 Financial Results Record Q2 2023 Total Investment Income of $116.2 Million, an Increase of 61.2% Year-over-Year Record Q2 2023 Net Investment Income “NII” of $75.7 Million, or $0.53 per Share, an Increase of 88.6% Year-over-Year Record 1H 2023 Total Gross Fundings of $834.8 million, an Increase of 5.6% Year-over Year Increased the C |
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| August 3, 2023 |
Financial Statements and Exhibits, Results of Operations and Financial Condition, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 1, 2023 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commission F |
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| August 3, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For The Quarterly Period Ended June 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 814-00702 HERCULES CAPITAL, INC. |
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| August 3, 2023 |
EX-99.2 Exhibit 99.2 Hercules Capital Increases Its Total Cash Distribution to $0.48 per Share for the Second Quarter 2023 The Increased Total Cash Distribution of $0.48 per Share for the Second Quarter 2023 is Comprised of a New Base Distribution of $0.40 per Share, Increased from $0.39 per Share Previously, and an $0.08 per Share Supplemental Distribution PALO ALTO, Calif., August 1, 2023 – Herc |
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| July 20, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 20, 2023 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commission Fi |
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| June 23, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 22, 2023 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commission Fi |
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| June 22, 2023 |
DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ De |
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| June 6, 2023 |
DEFA14A 1 d516827ddefa14a.htm DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permi |
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| May 8, 2023 |
Exhibit 99.1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1) promulgated under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree to the joint filing with each of the Reporting Persons (as such term is defined in the Schedule 13G referred to below) on behalf of each of them of a statement on Schedule 13G (including amendments thereto) with respect to the share |
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| May 8, 2023 |
HTGC / Hercules Capital Inc / Kingdom Holding Co. - SCHEDULE 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* HERCULES CAPITAL, INC. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 427096508 (CUSIP Number) April 27, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule |
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| May 5, 2023 |
Up to 25,000,000 Shares of Common Stock 424B2 Table of Contents Filed Pursuant to Rule 424(b)(2) Registration No. 333-261732 PROSPECTUS SUPPLEMENT (To prospectus dated December 17, 2021) Up to 25,000,000 Shares of Common Stock About this offering. We are offering to sell up to 25,000,000 shares of our common stock from time to time through our Sales Agents, Jefferies LLC and JMP Securities LLC. Any such sales may be made in negotiated t |
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| May 5, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 5, 2023 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commission File |
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| May 5, 2023 |
Form of Equity Distribution Agreement EX-10.1 Exhibit 10.1 HERCULES CAPITAL, INC. Common Stock, $0.001 par value per share EQUITY DISTRIBUTION AGREEMENT Dated May [•], 2023 TABLE OF CONTENTS SECTION 1. Description of Shares 1 SECTION 2. Placements 2 SECTION 3. Sale of Placement Securities by the Sales Manager 3 SECTION 4. Suspension of Sales 4 SECTION 5. Representations and Warranties 4 SECTION 6. Sale and Delivery to the Sales Manage |
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| May 5, 2023 |
EX-FILING FEES Exhibit (s) EX. FILING FEES Calculation of Filing Fee Tables 424(b)(2) (Form Type) Hercules Capital, Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered and Carry Forward Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee |
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| May 4, 2023 |
EX-99.1 Exhibit 99.1 Hercules Capital Reports First Quarter 2023 Financial Results Record Q1 2023 Total Gross Fundings of $476.2 Million Record Q1 2023 Total Investment Income of $105.1 Million, an Increase of 61.3% Year-over-Year Record Q1 2023 Net Investment Income “NII” of $65.5 Million, or $0.48 per Share, an Increase of 83.0% Year-over-Year Q1 2023 NII Provides 123% Coverage of the Base Cash |
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| May 4, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For The Quarterly Period Ended March 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 814-00702 HERCULES CAPITAL, INC. |
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| May 4, 2023 |
EXECUTION COPY FIRST AMENDMENT TO LETTER OF CREDIT FACILITY AGREEMENT THIS FIRST AMENDMENT TO LETTER OF CREDIT FACILITY AGREEMENT, dated as of March 21, 2023 (this “Amendment”), is among Hercules Capital, Inc. |
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| May 4, 2023 |
COURTESY COPY OF HTGC_Q1_3.31.2023_10-Q_I UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For The Quarterly Period Ended March 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 814-00702 HERCULES CAPITAL, INC. |
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| May 4, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 2, 2023 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commission File |
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| May 4, 2023 |
EX-99.2 Exhibit 99.2 Hercules Capital Declares a Total Cash Distribution of $0.47 per Share for the First Quarter 2023 The Total Cash Distribution of $0.47 per Share for the First Quarter 2023 is Comprised of a $0.39 per Share Base Distribution and an $0.08 per Share Supplemental Distribution PALO ALTO, Calif., May 2, 2023 – Hercules Capital, Inc. (NYSE: HTGC) (“Hercules” or the “Company”), the la |
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| April 28, 2023 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Proxy Statement ☐ Definiti |
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| April 27, 2023 |
April 27, 2023 Securities and Exchange Commission Division of Corporation Finance 100 F Street, N. |
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| April 25, 2023 |
CORRESP April 25, 2023 Securities and Exchange Commission Division of Corporation Finance 100 F Street, N. |
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| April 17, 2023 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy Statement ☐ Definiti |
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| March 13, 2023 |
Hercules Capital Business Update and Response to the Closure of Silicon Valley Bank EX-99.1 Exhibit 99.1 Hercules Capital Business Update and Response to the Closure of Silicon Valley Bank PALO ALTO, Calif. —March 13, 2023—The team at Hercules Capital, Inc. (NYSE: HTGC) (“Hercules” or the “Company”) is working collectively with our employees, stockholders, stakeholders, bondholders, rating agencies, portfolio companies, and our portfolio companies’ venture capital and private equ |
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| March 13, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 13, 2023 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commission F |
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| February 16, 2023 |
Exhibit 21.1 List of Subsidiaries (as of December 31, 2022) Name Jurisdiction of Organization Hercules Capital IV, L.P. Delaware Hercules Funding IV, LLC Delaware Hercules Capital Funding 2022-1 LLC Delaware Hercules Capital Funding Trust 2022-1 Delaware Hercules Technology Management LLC Delaware Hercules Technology Management Co II, Inc. Delaware Hercules Technology Management Co IV LLC Delaware |
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| February 16, 2023 |
Execution Version Exhibit 10(qq) FIRST AMENDMENT TO SALE AND SERVICING AGREEMENT This FIRST AMENDMENT TO SALE AND SERVICING AGREEMENT (this “Amendment”) is entered into as of January 13, 2023, by and among HERCULES FUNDING IV LLC, a Delaware limited liability company (“Borrower”), HERCULES CAPITAL, INC. |
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| February 16, 2023 |
Exhibit 10(oo) FIRST OMNIBUS AMENDMENT TO REVOLVING CREDIT AGREEMENT AND GUARANTEE AND SECURITY AGREEMENT THIS FIRST OMNIBUS AMENDMENT TO REVOLVING CREDIT AGREEMENT AND GUARANTEE AND SECURITY AGREEMENT, dated as of January 13, 2023 (this “Amendment”), is among Hercules Capital, Inc. |
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| February 16, 2023 |
Exhibit 99.3 Hercules Capital Announces New Supplemental Cash Distribution of $0.32 per Share The New Supplemental Cash Distribution is in Addition to the Regular Quarterly Cash Distributions and will be Distributed Equally over Four Quarters Beginning with the Fourth Quarter of 2022 Distribution Payable in March of 2023 The New Supplemental Cash Distribution of $0.08 per Share for the Fourth Quar |
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| February 16, 2023 |
Form of Long-Term Restricted Stock Unit. Exhibit 10(yy) Hercules Capital, Inc. Amended and Restated 2018 Equity Incentive Plan Long Term Restricted Stock Unit Award Agreement [] (the “Participant”) (i) acknowledges receipt of an award (the “Award”) of long term restricted stock units from Hercules Capital, Inc. (the “Company”) under the Amended and Restated 2018 Equity Incentive Plan (the “Plan”), subject to the terms set forth below and |
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| February 16, 2023 |
Financial Statements and Exhibits, Results of Operations and Financial Condition, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 14, 2023 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commissio |
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| February 16, 2023 |
Execution Version Exhibit 10(pp) THIRD AMENDMENT TO LOAN AND SECURITY AGREEMENT This THIRD AMENDMENT TO LOAN AND SECURITY AGREEMENT (this “Amendment”) is entered into as of January 13, 2023, by and among HERCULES FUNDING IV LLC, a Delaware limited liability company (“Borrower”), the lenders identified on the signature pages hereof (such lenders, together with their respective successors and assigns, are referred to hereinafter each individually as a “Lender” and collectively as the “Lenders”), GOLDMAN SACHS BANK USA, as a Lender and a Joint Lead Arranger, UMPQUA BANK, as a Lender and a Documentation Agent, ZIONS BANCORPORATION, N. |
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| February 16, 2023 |
Exhibit 10(nn) LETTER OF CREDIT FACILITY AGREEMENT dated as of January 13, 2023 among HERCULES CAPITAL, INC. |
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| February 16, 2023 |
Exhibit 99.1 Hercules Capital Reports Fourth Quarter and Full-Year 2022 Financial Results Record Full-Year 2022 Total Gross Debt and Equity Commitments of $3.12 Billion Full-Year 2022 Total Gross Fundings of $1.47 Billion Record Full-Year 2022 Net Debt Portfolio Growth of $598.5 Million Record Full-Year 2022 Total Investment Income of $321.7 million, an Increase of 14.5% Year-over-Year Record Full |
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| February 16, 2023 |
Exhibit 99.2 Hercules Capital Increases Its Quarterly Cash Distribution to $0.39 per Share for the Fourth Quarter of 2022 PALO ALTO, Calif., February 14, 2023 – Hercules Capital, Inc. (NYSE: HTGC) (“Hercules” or the “Company”), the largest and leading specialty finance provider to innovative, venture, growth and established stage companies backed by some of the leading and top-tier venture capital |
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| February 16, 2023 |
Exhibit 21.1 List of Subsidiaries (as of December 31, 2022) Name Jurisdiction of Organization Hercules Capital IV, L.P. Delaware Hercules Funding IV, LLC Delaware Hercules Capital Funding 2022-1 LLC Delaware Hercules Capital Funding Trust 2022-1 Delaware Hercules Technology Management LLC Delaware Hercules Technology Management Co II, Inc. Delaware Hercules Technology Management Co IV LLC Delaware |
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| February 16, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ANNUAL REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 OR TRANSITION REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 814-00702 HERCULES CAPITAL |
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| January 27, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 27, 2023 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commission |
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| January 17, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 13, 2023 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commission |
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| November 2, 2022 |
Form of Dividend Reinvestment Plan Exhibit 10.1 DIVIDEND REINVESTMENT PLAN Hercules Capital, Inc., a Maryland corporation (the ?Company?), hereby adopts the following plan (the ?Plan?) with respect to dividends and distributions declared by its Board of Directors (the ?Board?) on shares of its common stock, par value $0.001 per share (the ?Common Stock?): Unless a stockholder specifically elects to receive cash as set forth below, |
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| November 2, 2022 |
Exhibit 99.1 Hercules Capital Reports Third Quarter 2022 Financial Results Record Year-to-Date Q3 2022 Total Gross Debt and Equity Commitments of $2.48 Billion Record Year-to-Date Q3 2022 Total Gross Fundings of $1.10 Billion Record Q3 2022 Total Gross Debt and Equity Commitments of $817.2 Million Record Year-to-Date Q3 2022 Net Debt Portfolio Growth of $465.1 Million Record Total Investment Incom |
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| November 2, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For The Quarterly Period Ended September 30, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 814-00702 HERCULES CAPITAL, INC. |
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| November 2, 2022 |
Exhibit 10.2 Transfer Agency and Service Agreement Between HERCULES CAPITAL, INC. and Computershare Trust Company, N.A. and Computershare Inc. 0 THIS TRANSFER AGENCY AND SERVICE AGREEMENT, effective as of October 3, 2022 (?Effective Date?), is by and between Hercules Capital, Inc., a Maryland corporation, having its principal office and place of business at 400 Hamilton Avenue, Suite 310, Palo Alt |
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| November 2, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 2, 2022 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commission |
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| October 18, 2022 |
EX-99.2 Exhibit 99.2 Hercules Capital Announces Supplemental Cash Distribution of $0.15 per Share for the Third Quarter of 2022 The Supplemental Cash Distribution of $0.15 per Share is in Addition to the Regular Quarterly Cash Distribution for the Third Quarter of 2022 of $0.36 per Share PALO ALTO, Calif., October 18, 2022 – Hercules Capital, Inc. (NYSE: HTGC) (“Hercules” or the “Company”), the la |
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| October 18, 2022 |
EX-99.1 Exhibit 99.1 Hercules Capital Increases Its Quarterly Cash Distribution to $0.36 per Share for the Third Quarter of 2022 PALO ALTO, Calif., October 18, 2022 – Hercules Capital, Inc. (NYSE: HTGC) (“Hercules” or the “Company”), the largest and leading specialty finance provider to innovative, venture, growth and established stage companies backed by some of the leading and top-tier venture c |
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| October 18, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 13, 2022 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commission |
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| October 12, 2022 |
PEGY / Pineapple Holdings Inc / Hercules Technology Growth Capital Inc - SC 13G/A Passive Investment SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 1)* Pineapple Energy Inc. (Name of Issuer) Common Stock, $0.05 par value per share (Title of Class of Securities) 72303P107 (CUSIP Number) September 28, 2022 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule p |
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| July 28, 2022 |
EXECUTION VERSION Exhibit 10.4 SALE AND CONTRIBUTION AGREEMENT by and between HERCULES CAPITAL, INC., as the Seller and HERCULES CAPITAL FUNDING 2022-1 LLC, as the Trust Depositor Dated as of June 22, 2022 Hercules Capital Funding Trust 2022-1 Asset-Backed Notes BUSINESS.29147458.4 Table of Contents Page ARTICLE I DEFINITIONS 1 Section 1.01 Definitions. 1 Section 1.02 Other Terms 4 Section 1.03 Co |
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| July 28, 2022 |
Exhibit 10.6 ADMINISTRATION AGREEMENT among HERCULES CAPITAL FUNDING TRUST 2022-1, as Issuer, HERCULES CAPITAL, INC., as Administrator WILMINGTON TRUST, NATIONAL ASSOCIATION, as Owner Trustee and U.S. BANK TRUST COMPANY, NATIONAL ASSOCIATION, as Trustee Dated as of June 22, 2022 29147461.3 Table of Contents Page 1. Duties of the Administrator 1 2. Records 3 3. Compensation; Payment of Fees and Exp |
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| July 28, 2022 |
Exhibit 10.7 Execution Version Hercules Capital, Inc. Second Supplement to Note Purchase Agreement Dated as of June 23, 2022 Re: $50,000,000 6.00% Series 2022A Senior Notes Due June 23, 2025 Hercules Capital, Inc. Dated as of June 23, 2022 To the Additional Purchaser(s) named in Schedule A hereto Ladies and Gentlemen: This Second Supplement to Note Purchase Agreement (the or this ?Supplement?) is |
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| July 28, 2022 |
Exhibit 99.3 Hercules Capital Announces Supplemental Cash Distribution of $0.15 per Share for the Second Quarter of 2022 The Supplemental Cash Distribution of $0.15 per Share is in Addition to the Regular Quarterly Cash Distribution for the Second Quarter of 2022 of $0.35 per Share PALO ALTO, Calif., July 26, 2022 ? Hercules Capital, Inc. (NYSE: HTGC) (?Hercules? or the ?Company?), the largest and |
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| July 28, 2022 |
Exhibit 4.1 INDENTURE by and between HERCULES CAPITAL FUNDING TRUST 2022-1, as the Issuer, and U.S. BANK TRUST COMPANY, NATIONAL ASSOCIATION, as the Trustee Dated as of June 22, 2022 Hercules Capital Funding Trust 2022-1 Notes BUSINESS.29147457.3 Table of Contents Page ARTICLE I DEFINITIONS 2 Section 1.01 Definitions. 2 Section 1.02 Rules of Construction. 6 ARTICLE II THE NOTES 7 Section 2.01 Form |
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| July 28, 2022 |
Exhibit 99.2 Hercules Capital Increases Its Quarterly Cash Distribution to $0.35 per Share for the Second Quarter of 2022 PALO ALTO, Calif., July 26, 2022 ? Hercules Capital, Inc. (NYSE: HTGC) (?Hercules? or the ?Company?), the largest and leading specialty finance provider to innovative, venture, growth and established stage companies backed by some of the leading and top-tier venture capital and |
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| July 28, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For The Quarterly Period Ended June 30, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 814-00702 HERCULES CAPITAL, INC. |
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| July 28, 2022 |
EXECUTION VERSION Exhibit 4.2 AMENDED AND RESTATED TRUST AGREEMENT by and between HERCULES CAPITAL FUNDING 2022-1 LLC, as the Trust Depositor and WILMINGTON TRUST, NATIONAL ASSOCIATION, as the Owner Trustee Dated as of June 22, 2022 Hercules Capital Funding Trust 2022-1 Asset-Backed Notes BUSINESS.29147460.5 Table of Contents Page ARTICLE I DEFINITIONS 1 Section 1.01 Definitions. 1 Section 1.02 Ot |
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| July 28, 2022 |
Exhibit 99.1 Hercules Capital Reports Second Quarter 2022 Financial Results Record 1H 2022 Total Gross Debt and Equity Commitments of $1.66 Billion Record 1H 2022 Gross Fundings of $790.7 Million Record 1H 2022 Net Debt Investment Portfolio Growth of $359.8 Million Record Q2 Total Gross Debt and Equity Commitments of $1.04 Billion Increased the Company?s Quarterly Base Cash Distribution to $0.35 p |
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| July 28, 2022 |
Exhibit 10.3 SALE AND SERVICING AGREEMENT by and among HERCULES CAPITAL FUNDING TRUST 2022-1, as the Issuer, HERCULES CAPITAL FUNDING 2022-1 LLC, as the Trust Depositor, HERCULES CAPITAL, INC. as the Seller and as the Servicer, U.S. BANK TRUST COMPANY, NATIONAL ASSOCIATION, as the Trustee and Paying Agent, U.S. BANK NATIONAL ASSOCIATION as the Backup Servicer and Custodian Dated as of June 22, 202 |
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| July 28, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 26, 2022 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commission Fi |
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| July 28, 2022 |
Execution Version Exhibit 10.5 HERCULES CAPITAL FUNDING TRUST 2022-1 $150,000,000 Senior Secured Notes Note Purchase Agreement Dated June 22, 2022 Table of Contents Section Heading Page Section 1. Authorization of Notes. 1 Section 2. Sale and Purchase of Notes. 2 Section 3. Closing. 2 Section 4. Conditions to Closing. 3 Section 4.1. Representations and Warranties 3 Section 4.2. Performance 3 Secti |
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| June 27, 2022 |
Hercules Capital Announces the Appointment of Ms. DeAnne Aguirre to Its Board of Directors Exhibit 99.2 Hercules Capital Announces the Appointment of Ms. DeAnne Aguirre to Its Board of Directors PALO ALTO, Calif., June 24, 2022 ? Hercules Capital, Inc. (NYSE: HTGC) (?Hercules? or the ?Company?), the largest and leading specialty financing provider to innovative venture, growth and established stage companies backed by some of the leading and top-tier venture capital and select private e |
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| June 27, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 22, 2022 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commission Fi |
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| June 27, 2022 |
Exhibit 99.1 Hercules Capital Completes Two Institutional Debt Financings, Raising a Total of $200.0 Million to Support Continued Growth PALO ALTO, Calif., June 23, 2022 ? Hercules Capital, Inc. (NYSE: HTGC) (?Hercules? or the ?Company?) today announced that it has closed two new debt financings raising a total of $200.0 million. Hercules Capital Funding Trust 2022-1, a newly-formed wholly owned, |
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| June 17, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive |
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| June 15, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 10, 2022 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commission Fi |
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| June 15, 2022 |
Exhibit 99.1 Hercules Capital Expands Its Credit Facilities to $720 Million to Support Strong Investment Portfolio Growth The Company has increased its $400.0 million MUFG credit facility to $545.0 million and its $100.0 million SMBC credit facility to $175.0 million. PALO ALTO, Calif., June 15, 2022 - Hercules Capital, Inc. (NYSE: HTGC) (?Hercules? or the ?Company?), the largest and leading speci |
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| June 15, 2022 |
Exhibit 10.2 Execution Version SECOND AMENDMENT TO LOAN AND SECURITY AGREEMENT This SECOND AMENDMENT TO LOAN AND SECURITY AGREEMENT (this ?Amendment?) is entered into as of June 10, 2022, by and among HERCULES FUNDING IV LLC, a Delaware limited liability company (?Borrower?), the lenders identified on the signature page hereof (such lenders, together with their respective successors and assigns, a |
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| June 15, 2022 |
Exhibit 10.1 EXECUTION COPY SECOND AMENDMENT TO REVOLVING CREDIT AGREEMENT THIS SECOND AMENDMENT TO REVOLVING CREDIT AGREEMENT, dated as of June 14, 2022 (this ?Amendment?), is among HERCULES CAPITAL, INC., a Maryland corporation (the ?Borrower?), the LENDERS party hereto and SUMITOMO MITSUI BANKING CORPORATION (?SMBC?), as Administrative Agent (in such capacity, the ?Administrative Agent?). W I T |
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| May 9, 2022 |
Up to 17,500,000 Shares of Common Stock Table of Contents Filed Pursuant to Rule 424(b)(2) Registration No. 333-261732 PROSPECTUS SUPPLEMENT (To prospectus dated December 17, 2021) Up to 17,500,000 Shares of Common Stock About this offering. We are offering to sell up to 17,500,000 shares of our common stock from time to time through our Sales Agents, Jefferies LLC and JMP Securities LLC. Any such sales may be made in negotiated transac |
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| May 9, 2022 |
Financial Statements and Exhibits, Other Events 8-K 1 d296679d8k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 9, 2022 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorp |
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| May 9, 2022 |
Exhibit (s) EX. FILING FEES Calculation of Filing Fee Tables 424(b)(2) (Form Type) Hercules Capital, Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered and Carry Forward Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of |
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| May 9, 2022 |
Form of Equity Distribution Agreement Table of Contents Exhibit 1.1 HERCULES CAPITAL, INC. Common Stock, $0.001 par value per share EQUITY DISTRIBUTION AGREEMENT Dated May [?], 2022 Table of Contents TABLE OF CONTENTS SECTION 1. Description of Shares 1 SECTION 2. Placements 2 SECTION 3. Sale of Placement Securities by the Sales Manager 3 SECTION 4. Suspension of Sales 4 SECTION 5. Representations and Warranties 4 SECTION 6. Sale and D |
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| May 9, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive |
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| May 5, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 3, 2022 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commission File |
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| May 5, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For The Quarterly Period Ended March 31, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 814-00702 HERCULES CAPITAL, INC. |
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| May 5, 2022 |
Exhibit 99.3 Hercules Capital Announces Supplemental Cash Distribution of $0.15 per Share for the First Quarter of 2022 The Supplemental Cash Distribution of $0.15 per Share is in Addition to the Regular Quarterly Cash Distribution for the First Quarter of 2022 of $0.33 per Share PALO ALTO, Calif., May 3, 2022 ? Hercules Capital, Inc. (NYSE: HTGC) (?Hercules? or the ?Company?), the largest and lea |
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| May 5, 2022 |
Hercules Capital Declares Cash Distribution of $0.33 per Share for the First Quarter of 2022 Exhibit 99.2 Hercules Capital Declares Cash Distribution of $0.33 per Share for the First Quarter of 2022 PALO ALTO, Calif., May 3, 2022 ? Hercules Capital, Inc. (NYSE: HTGC) (?Hercules? or the ?Company?), the largest and leading specialty finance provider to innovative, venture, growth and established stage companies backed by some of the leading and top-tier venture capital and select private eq |
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| May 5, 2022 |
Exhibit 99.1 Hercules Capital Reports First Quarter 2022 Financial Results Record Quarterly Net Debt Portfolio Growth of $190.7 Million Record Q1 Total Gross Debt and Equity Commitments of $615.2 Million Q1 Total Gross Fundings of $351.6 Million Undistributed Earnings Spillover of $171.7 Million, or $1.39(1) per Ending Shares Outstanding Q1 2022 Financial Achievements and Highlights ? Net Investme |
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| April 29, 2022 |
DEF 14A 1 2022proxystatement.htm DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as |
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| April 27, 2022 |
PEGY / Pineapple Holdings Inc / Hercules Technology Growth Capital Inc - SC 13G Passive Investment SC 13G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. )* Pineapple Energy Inc. (Name of Issuer) Common Stock, $0.05 par value per share (Title of Class of Securities) 72303P107 (CUSIP Number) March 28, 2022 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant |
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| February 22, 2022 |
Hercules Capital Declares Cash Distribution of $0.33 per Share for the Fourth Quarter of 2021 Exhibit 99.2 Hercules Capital Declares Cash Distribution of $0.33 per Share for the Fourth Quarter of 2021 PALO ALTO, Calif., February 22, 2022 ? Hercules Capital, Inc. (NYSE: HTGC) (?Hercules? or the ?Company?), the largest and leading specialty finance provider to innovative, venture, growth and established stage companies backed by some of the leading and top-tier venture capital and select pri |
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| February 22, 2022 |
Code of Business Conduct and Ethics. EX-14.2 9 htgc-ex142.htm EX-14.2 Exhibit 14.2 CODE OF BUSINESS CONDUCT AND ETHICS Amended and Restated: December 2, 2021 CODE OF BUSINESS CONDUCT AND ETHICS TABLE OF CONTENTS Introduction 1 Purpose of the Code 1 Conflicts of Interest 1 Corporate Opportunities 2 Confidentiality 2 Fair Dealing 2 Protection and Proper Use of Company Assets 2 Compliance with Applicable Laws, Rules and Regulations 3 Eq |
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| February 22, 2022 |
Description of the Registrant’s Securities Exhibit 4(ab) DESCRIPTION OF OUR SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 As of December 31, 2021, Hercules Capital, Inc. |
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| February 22, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 22, 2022 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commissio |
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| February 22, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 814-00702 HERCULES CAPITAL |
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| February 22, 2022 | ||
| February 22, 2022 | ||
| February 22, 2022 | ||
| February 22, 2022 |
Exhibit 10(zz) Execution Version CUSTODY AGREEMENT This Agreement (the ?Agreement?) is made as of November 9, 2021 (the ?Effective Date?) between: (1) Each entity identified on Appendix A, whose jurisdiction of formation is identified opposite its name (the ?Client?); and (2) STATE STREET BANK AND TRUST COMPANY, a bank and trust company organized under the laws of The Commonwealth of Massachusetts, U. |
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| February 22, 2022 |
Exhibit 99.1 Hercules Capital Reports Fourth Quarter and Full-Year 2021 Financial Results Record Annual Total Gross Debt and Equity Commitments of $2.64 Billion, an Increase of 122.1% Year-over-Year Record Annual Total Gross Fundings of $1.57 Billion, an Increase of 106.0% Year-over-Year Record Q4 Total Gross Debt and Equity Commitments of $947.8 Million Record Q4 Total Gross Fundings of $503.3 Mi |
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| February 22, 2022 | ||
| February 22, 2022 |
EX-99.3 4 d293903dex993.htm EX-99.3 Exhibit 99.3 Hercules Capital Announces New Supplemental Cash Distribution of $0.60 per Share The New Supplemental Cash Distribution is in Addition to the Regular Quarterly Cash Distributions and will be Distributed Equally over Four Quarters Beginning with the Fourth Quarter of 2021 Distribution Payable in March 2022 The Supplemental Cash Distribution for the F |
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| February 22, 2022 |
Exhibit 14.1 CODE OF ETHICS This Code of Ethics (the ?Code?) has been adopted by the Board of Directors (the ?Board?) of Hercules Capital, Inc. (?Hercules Capital?) in accordance with Rule 17j-l(c) under the Investment Company Act of 1940, as amended (the ?1940 Act?) and by Hercules Adviser LLC (the ?Adviser?) and together with the Hercules Capital, ?Hercules?), in accordance with Rule 204A-1 of t |
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| February 22, 2022 | ||
| February 22, 2022 |
Exhibit 21.1 List of Subsidiaries (as of December 31, 2021) Name Jurisdiction of Organization Bearcub Acquisitions LLC Delaware Gibraltar Acquisition LLC Delaware HercGBC LLC Delaware Hercules Capital Funding Trust 2018-1 Delaware Hercules Capital Funding Trust 2019-1 Delaware Hercules Capital IV, L.P. Delaware Hercules Capital Management LLC Delaware Hercules Funding II, LLC Delaware Hercules Fun |
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| February 22, 2022 | ||
| February 1, 2022 |
Hercules Capital Enhances C-Suite for Future Growth EX-99.1 2 d303511dex991.htm EX-99.1 Exhibit 99.1 Hercules Capital Enhances C-Suite for Future Growth PALO ALTO, Calif., February 1, 2022 – Hercules Capital, Inc. (NYSE: HTGC) (“Hercules” or the “Company”), the largest and leading specialty financing provider to innovative venture, growth and established stage companies backed by some of the leading and top-tier venture capital and select private e |
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| February 1, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 1, 2022 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commission |
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| January 21, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 20, 2022 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commission |
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| January 21, 2022 |
Exhibit 4.2 EIGHTH SUPPLEMENTAL INDENTURE between HERCULES CAPITAL, INC. and U.S. BANK NATIONAL ASSOCIATION, as Trustee Dated as of January 20, 2022 EIGHTH SUPPLEMENTAL INDENTURE THIS EIGHTH SUPPLEMENTAL INDENTURE (this ?Eighth Supplemental Indenture?), dated as of January 20, 2022, is between Hercules Capital, Inc., a Maryland corporation (the ?Company?), and U.S. Bank National Association, as tr |
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| January 21, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 21, 2022 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commission |
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| January 18, 2022 |
Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-261732 CALCULATION OF REGISTRATION FEE Title of Each Class of Securities to be Registered Amount to be Registered Maximum Offering Price Per Unit Maximum Aggregate Offering Price Amount of Registration Fee(1) 3.375% Notes due 2027 $350,000,000 99.282% $347,487,000 $32,212.05 (1) Calculated in accordance with Rule 457(r) under |
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| January 18, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 14, 2022 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commission |
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| January 18, 2022 |
Hercules Capital, Inc. 3.375% Notes due 2027 PRICING TERM SHEET January 14, 2022 Filed pursuant to Rule 433 Issuer Free Writing Prospectus dated January 14, 2022 Relating to Preliminary Prospectus dated January 14, 2022 and Prospectus dated December 17, 2021 Registration No. |
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| January 18, 2022 |
EX-1.1 2 d264493dex11.htm EX-1.1 Exhibit 1.1 EXECUTION VERSION $350,000,000 Aggregate Principal Amount 3.375% Notes Due 2027 Hercules Capital, Inc. UNDERWRITING AGREEMENT January 14, 2022 Goldman Sachs & Co. LLC RBC Capital Markets, LLC SMBC Nikko Securities America, Inc., As Representatives of the several Underwriters c/o Goldman Sachs & Co. LLC 200 West Street New York, New York 10282 c/o RBC Ca |
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| January 14, 2022 |
SUBJECT TO COMPLETION, DATED JANUARY 14, 2022 Table of Contents Filed Pursuant to Rule 424(b)(2) Registration No. 333-261732 This preliminary prospectus supplement relates to an effective registration statement under the Securities Act of 1933, as amended, but is not complete and may be changed. This preliminary prospectus supplement is not an offer to sell these securities and it is not soliciting an offer to buy these securities in any stat |
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| January 10, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 10, 2022 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commission |
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| December 17, 2021 |
As filed with the Securities and Exchange Commission on December 17, 2021 Table of Contents As filed with the Securities and Exchange Commission on December 17, 2021 Securities Act File No. |
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| December 17, 2021 |
Consent of PricewaterhouseCoopers LLP. Exhibit N1 CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the incorporation by reference in this Registration Statement on Form N-2 of Hercules Capital, Inc. |
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| December 17, 2021 |
EX-99.J.1 2 d267825dex99j1.htm EX-J.1 Exhibit J.1 Execution Version CUSTODIAL AGREEMENT THIS CUSTODIAL AGREEMENT (this “Agreement”) dated as of July 29, 2015, is entered into between Hercules Technology Growth Capital, Inc., an investment company that has elected to be regulated as a business development company under the Investment Company of 1940 (“1940 Act”) and each of its subsidiaries listed |
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| December 17, 2021 |
Consent of Dechert LLP (included in Exhibit l.1). EX-99.L.1 5 d267825dex99l1.htm EX-L.1 Exhibit L1 Three Bryant Park 1095 Avenue of the Americas New York, NY 10036-6797 +1 212 698 3500 Main +1 212 698 3599 Fax www.dechert.com December 17, 2021 Hercules Capital, Inc. 400 Hamilton Avenue, Suite 310 Palo Alto, CA 94301 Re: Registration Statement on Form N-2 Ladies and Gentlemen: We have acted as special counsel to Hercules Capital, Inc., a Maryland |
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| December 17, 2021 |
Exhibit J.2 CUSTODIAL AGREEMENT THIS CUSTODIAL AGREEMENT (this ?Agreement?) dated as of April 23, 2021, is entered into between HERCULES FUNDING IV LLC (the ?Owner?) and WELLS FARGO BANK, NATIONAL ASSOCIATION, as custodian (in such capacity, the ? Custodian?). W I T N E S S E T H: WHEREAS, the Owner has acquired or will acquire, from time to time, cash (the ?Assets?) and desires to deposit the Ass |
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| December 17, 2021 |
EX-99.J.3 4 d267825dex99j3.htm EX-J.3 Exhibit J.3 SAFEKEEPING CUSTODY AGREEMENT This custody agreement is made as of between Hercules Funding IV, LLC and City National Bank (“CNB”), a National Banking Association. I, the undersigned Principal, hereby agree that you, CNB, shall have custody in an account (“Account’’) of all assets along with income and proceeds thereon you now or hereafter accept a |
