0001209191-13-014595.txt : 20130306 0001209191-13-014595.hdr.sgml : 20130306 20130306165842 ACCESSION NUMBER: 0001209191-13-014595 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130304 FILED AS OF DATE: 20130306 DATE AS OF CHANGE: 20130306 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Henriquez Manuel A CENTRAL INDEX KEY: 0001329390 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-00702 FILM NUMBER: 13670267 MAIL ADDRESS: STREET 1: 170 HANNA WAY CITY: MENLO PARK STATE: CA ZIP: 94025 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: HERCULES TECHNOLOGY GROWTH CAPITAL INC CENTRAL INDEX KEY: 0001280784 IRS NUMBER: 743113410 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 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 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2013-03-04 0 0001280784 HERCULES TECHNOLOGY GROWTH CAPITAL INC HTGC 0001329390 Henriquez Manuel A C/O HERCULES TECHNOLOGY GROWTH CAPITAL 400 HAMILTON AVE, SUITE 310 PALO ALTO CA 94301 1 1 0 0 President & CEO Common Stock $0.001 2013-03-04 4 A 0 103774 12.72 A 1556487 D Common Stock $0.001 2013-03-04 4 A 0 196540 12.72 A 1753027 D Restricted stock issued as a grant pursuant to the Amended and Restated Equity Incentive Plan and subject to forfeiture restrictions of one-half vesting on March 4, 2014 followed by quarterly vesting over the following 12 months. Restricted stock issued as a grant pursuant to the Amended and Restated Equity Incentive Plan and subject to forfeiture restrictions of one-fourth vesting on March 4, 2014 followed by quarterly vesting over the following 36 months. /s/ K. Nicholas Martitsch, Attorney-in-Fact for Manuel Henriquez 2013-03-04