0001437749-20-002615.txt : 20200213 0001437749-20-002615.hdr.sgml : 20200213 20200213170909 ACCESSION NUMBER: 0001437749-20-002615 CONFORMED SUBMISSION TYPE: ABS-15G PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20191231 ITEM INFORMATION: Periodic Filing of Rule 15Ga-1 Representations and Warranties Disclosure FILED AS OF DATE: 20200213 DATE AS OF CHANGE: 20200213 ABS RULE: RULE-15GA1 PERIOD START: 20190101 N Y ABS ASSET CLASS: Other FILER: COMPANY DATA: COMPANY CONFORMED NAME: Hercules Capital, Inc. CENTRAL INDEX KEY: 0001280784 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: 20611918 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 herc20200212_abs15g.htm herc20200212_abs15g.htm

 

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:

 

☒

Rule 15Ga-1 under the Exchange Act (17 CFR 240.15Ga-1) for the reporting period January 1, 2019 to December 31, 2019.

 

Date of Report (Date of earliest event reported): February 13, 2020

 

Commission File Number of securitizer: 814-00702

 

Central Index Key Number of securitizer: 0001280784

 

Melanie Grace (650) 600-5405
(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): ☒

 

☐

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: February 13, 2020

HERCULES CAPITAL, INC.

 

 

 

By:  Melanie Grace                            

Name: Melanie Grace

Title: General Counsel and Secretary