0001437749-20-011737.txt : 20200526 0001437749-20-011737.hdr.sgml : 20200526 20200526161410 ACCESSION NUMBER: 0001437749-20-011737 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200521 FILED AS OF DATE: 20200526 DATE AS OF CHANGE: 20200526 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Grace Melanie CENTRAL INDEX KEY: 0001653448 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-00702 FILM NUMBER: 20910617 MAIL ADDRESS: STREET 1: C/O HERCULES TECHNOLOGY GROWTH CAPITAL STREET 2: 400 HAMILTON AVENUE, SUITE 310 CITY: PALO ALTO STATE: CA ZIP: 94301 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Hercules 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 FORMER COMPANY: FORMER CONFORMED NAME: HERCULES TECHNOLOGY GROWTH CAPITAL INC DATE OF NAME CHANGE: 20040219 4 1 rdgdoc.xml FORM 4 X0306 4 2020-05-21 0001280784 Hercules Capital, Inc. HTGC 0001653448 Grace Melanie C/O HERCULES CAPITAL INC. 400 HAMILTON AVENUE SUITE 310 PALO ALTO CA 94301 1 General Counsel & CCO Restricted Stock Units 2020-05-21 4 A 0 1561 11.14 A 55727 D Restricted Stock Units 2020-05-21 4 D 0 20 11.14 D 55707 D Includes additional Dividend Shares relating to deemed reinvested dividend equivalent rights that accrued on Restricted Stock Units (RSUs) previously granted. Such additional Dividend Shares are in the form of additional RSUs vest and are settled at the same time as the RSUs in respect of which the dividend equivalent rights accrued. Each such additional Dividend Share RSU is the economic equivalent of one share of Hercules Capital, Inc. common stock. Represents restricted stock units withheld to pay taxes applicable to the vesting of restricted stock units and dividend equivalent shares on May 21, 2020. /s/ /Melanie Grace 2020-05-26