Welcome to our dedicated page for Hercules Capital SEC filings (Ticker: HCXY), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
Hercules Capital filings document a specialty finance issuer with NYSE-listed common stock and 6.25% Notes due 2033 trading under HCXY. The company’s Form 8-K reports cover operating results, financial condition, net asset value estimates, stockholder distributions, executive appointments and material financing agreements, including supplemental indentures for unsecured notes.
Proxy materials describe board matters, executive compensation and annual meeting proposals. The filing record also identifies the company’s capital structure, registered securities, distribution practices, leverage and liquidity disclosures, and the role of Hercules Adviser LLC as a registered investment adviser managing external Adviser Funds.
Hercules Capital director Gayle A. Crowell acquired 7,317 shares of Common Stock through an open-market purchase election on March 26, 2026 at an average price of $14.35 per share. These shares were received in stock instead of a cash director fee.
After this transaction, Crowell directly holds 97,589 Hercules Capital shares. The filing notes the purchase price reflects an average of trades executed between $14.31 and $14.39 per share, and that the total reported holdings include shares acquired under the company’s dividend reinvestment plan.
Hercules Capital, Inc. director Nikos Theodosopoulos reported an open-market purchase of 7,317 shares of common stock on March 26, 2026 at an average price of $14.35 per share. After this transaction, he directly owns 29,362 shares.
According to the footnotes, these shares were acquired based on his election to receive stock instead of a cash director compensation fee, and the reported price reflects an average of trades between $14.31 and $14.39. His total share count also includes shares obtained through the company’s dividend reinvestment plan.
Hercules Capital, Inc. Chief Financial Officer Seth H. Meyer reported a small tax-withholding disposition of company stock. On March 5, 2026, 5 shares of common stock were withheld at $15.11 per share to cover taxes on vesting restricted stock, leaving him with 448,548 directly held shares.
Hercules Capital, Inc. Chief Operating Officer Christian Follmann reported an open-market purchase of 5,000 shares of common stock on March 4, 2026 at an average price of $14.68 per share. Following this transaction, he directly owns 150,135 shares of Hercules Capital common stock.
The filing also reports 350 shares of common stock held indirectly by his spouse. This amendment corrects an earlier administrative error in how the type of transaction was reported, and restates it as an open-market purchase by the reporting person.
Hercules Capital, Inc. Chief Operating Officer Christian Follmann reported an open-market purchase of 5,000 shares of common stock on March 4, 2026 at an average price of $14.68 per share. The filing notes these shares were bought at prices between $14.60 and $14.78.
After this transaction, Follmann directly held 150,135 shares of common stock. The filing also reports 350 shares held indirectly, identified as owned "By Spouse," with the specific transaction direction for that holding not detailed.
Hercules Capital director Paramjeet K. Randhawa reported an open-market purchase of 3,050 shares of common stock on March 4, 2026 at $14.78 per share. Following this trade, the director directly owns 19,560 shares, a figure that includes shares acquired through the company’s dividend reinvestment plan.
Hercules Capital, Inc. Chief Financial Officer Seth H. Meyer filed an amended insider trading report to correct an administrative error in the number of common shares previously reported as purchased. The amendment confirms his open-market purchase of 14,000 shares at an average price of $14.33 on February 27, 2026, and states that his total beneficial ownership of 448,553 shares was already correctly reported in the original Form 4.
Hercules Capital, Inc. director Nikos Theodosopoulos reported an open-market purchase of common stock. He bought 2,600 shares at a price of $14.21 per share. Following this transaction, his directly held stake increased to 21,523 shares of Hercules Capital common stock.
Hercules Capital, Inc. director Robert P. Badavas reported an indirect open-market purchase of 5,000 shares of common stock at $14.27 per share through the Robert P. Badavas Trust of 2007. Following this transaction, the trust holds 122,073 shares, and Badavas also reports 1,412 shares held directly.
Hercules Capital, Inc. Chief Legal Officer & CCO Kiersten Zaza Botelho bought 1,300 shares of common stock in an open-market purchase at an average price of $14.21 per share. After this transaction, she directly owns 93,336 Hercules Capital common shares.