0001437749-20-011738.txt : 20200526 0001437749-20-011738.hdr.sgml : 20200526 20200526161446 ACCESSION NUMBER: 0001437749-20-011738 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: Bluestein Scott CENTRAL INDEX KEY: 0001505910 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-00702 FILM NUMBER: 20910633 MAIL ADDRESS: STREET 1: 303 COLUMBUS AVENUE STREET 2: APT 506 CITY: BOSTON STATE: MA ZIP: 02116 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 0001505910 Bluestein Scott C/O HERCULES CAPITAL, INC. 31 ST. JAMES AVENUE, SUITE 790 BOSTON MA 02116 1 Chief Executive Officer Restricted Stock Units 2020-05-21 4 A 0 12864 11.14 A 459614 D Restricted Stock Units 2020-05-21 4 D 0 115 11.14 D 459499 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, Attorney-in-Fact for Scott Bluestein 2020-05-26