0001437749-21-001308.txt : 20210126 0001437749-21-001308.hdr.sgml : 20210126 20210126180126 ACCESSION NUMBER: 0001437749-21-001308 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210124 FILED AS OF DATE: 20210126 DATE AS OF CHANGE: 20210126 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: 21555737 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 2021-01-24 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 2021-01-24 4 F 0 10655 15.28 D 44779 D Restricted Stock Units 2021-01-24 4 D 0 20715 15.28 D 24064 D Common Stock 2021-01-24 4 A 0 20715 15.28 A 63837 D Represents restricted stock units withheld to pay taxes applicable to the release of restricted stock units and dividend equivalent shares on January 24, 2021. Represents released restricted stock units and dividend equivalent shares converted to Hercules Capital, Inc. common stock on January 24, 2021. Acquired pursuant to the vesting and release of shares pursuant to a restricted stock award granted on January 24, 2017. /s/ /Melanie Grace 2021-01-26