0000894579-24-000020.txt : 20240122 0000894579-24-000020.hdr.sgml : 20240122 20240122112343 ACCESSION NUMBER: 0000894579-24-000020 CONFORMED SUBMISSION TYPE: ABS-15G PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240122 ITEM INFORMATION: Periodic Filing of Rule 15Ga-1 Representations and Warranties Disclosure FILED AS OF DATE: 20240122 DATE AS OF CHANGE: 20240122 ABS RULE: RULE-15GA1 PERIOD START: 20230101 N Y ABS ASSET CLASS: Other FILER: COMPANY DATA: COMPANY CONFORMED NAME: Hercules Capital, Inc. CENTRAL INDEX KEY: 0001280784 ORGANIZATION NAME: IRS NUMBER: 743113410 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: ABS-15G SEC ACT: Dodd Frank Act SEC FILE NUMBER: 025-01343 FILM NUMBER: 24547514 BUSINESS ADDRESS: STREET 1: 400 HAMILTON AVE STREET 2: SUITE 310 CITY: PALO ALTO STATE: CA ZIP: 94301 BUSINESS PHONE: 650-289-3060 MAIL ADDRESS: STREET 1: 400 HAMILTON AVE STREET 2: SUITE 310 CITY: PALO ALTO STATE: CA ZIP: 94301 FORMER COMPANY: FORMER CONFORMED NAME: HERCULES TECHNOLOGY GROWTH CAPITAL INC DATE OF NAME CHANGE: 20040219 ABS-15G 1 hercules_2023_15ga1.htm FORM ABS-15G

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549


FORM ABS-15G


ASSET-BACKED SECURITIZER
REPORT PURSUANT TO SECTION 15G
OF THE SECURITIES EXCHANGE ACT OF 1934

Check the appropriate box to indicate the filing obligation to which this form is intended to satisfy:
[X]
Rule 15Ga-1 under the Exchange Act (17 CFR 240.15Ga-1) for the reporting period January 1, 2023 to December 31, 2023.
Date of Report (Date of earliest event reported):  January 22, 2024
Commission File Number of securitizer:   814-00702
Central Index Key Number of securitizer:  0001280784
Kiersten Zaza Botelho (857) 202-5388
(Name and telephone number, including area code,
of the person to contact in connection with this filing)
Indicate by check mark whether the securitizer has no activity to report for the initial period pursuant to Rule 15Ga-1(c)(1): [_]
Indicate by check mark whether the securitizer has no activity to report for the quarterly period pursuant to Rule 15Ga-1(c)(2)(i): [_]
Indicate by check mark whether the securitizer has no activity to report for the annual period pursuant to Rule 15Ga-1(c)(2)(ii): [X]
[_]       Rule 15Ga-2 under the Exchange Act (17 CFR 240.15Ga-2).
Central Index Key Number of depositor:  ___________
 
(Exact name of issuing entity as specified in its charter)
Central Index Key Number of issuing entity (if applicable):  ___________
Central Index Key Number of underwriter (if applicable):  ___________
 
(Name and telephone number, including area code,
of the person to contact in connection with this filing)
INFORMATION TO BE INCLUDED IN THE REPORT
PART I: REPRESENTATION AND WARRANTY INFORMATION
 
Item 1.02 Periodic Filing of Rule 15Ga-1 Representations and Warranties Disclosure
 
The securitizer has no activity to report.
 
Explanatory Note:
 
We have provided all information required by Rule 15Ga-1 and this Form ABS-15G that can be acquired without unreasonable effort or expense by, among other things, (i) identifying asset-backed securities transactions within the scope of Rule 15Ga-1 for which we are a securitizer (“Covered Transaction”), (ii) reviewing our records for repurchase or replacement of pool assets in Covered Transactions for breaches of representations or warranties concerning those pool assets (“Reportable Information”), (iii) identifying each trustee and servicer for the Covered Transactions (collectively, “Demand Entities”), and (iv) requesting Demand Entities (or confirming that Demand Entities are required to deliver) all Reportable Information within their respective possession.
 
PART II: FINDINGS AND CONCLUSIONS OF THIRD-PARTY DUE DILIGENCE REPORTS
 
Not applicable.
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the reporting entity has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
Date:  January 22, 2024
HERCULES CAPITAL, INC.
 
 
By: /s/ Kiersten Zaza Botelho                                                                  
  Name:  Kiersten Zaza Botelho
  Title:  Authorized Signatory