0001437749-20-022401.txt : 20201103 0001437749-20-022401.hdr.sgml : 20201103 20201103164735 ACCESSION NUMBER: 0001437749-20-022401 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201031 FILED AS OF DATE: 20201103 DATE AS OF CHANGE: 20201103 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: 201284115 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 2020-10-31 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 2020-10-31 4 D 0 1358 11.20 D 54250 D Common Stock 2020-10-31 4 A 0 1358 11.20 A 35985 D Common Stock 2020-10-31 4 F 0 462 11.20 D 35523 D Represents vested restricted stock units and dividend equivalent shares converted to Hercules Capital, Inc. common stock on October 31, 2020. Represents Hercules, Inc. common stock received from vested restricted stock units and dividend equivalent shares on October 31, 2020. Represents Hercules, Inc. common stock withheld to pay taxes applicable to the vesting of restricted stock units and dividend equivalent shares on October 31, 2020. /s/ /Melanie Grace 2020-11-03