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 Thomas J. Fallon reported an open-market purchase of 20,000 shares of common stock at an average price of $14.20 per share. The filing notes the shares were bought at prices between $14.16 and $14.22 and are held indirectly by the Fallon Family Revocable Trust. Following this transaction, the trust holds 150,369 shares, and Fallon also reports 5,779 shares held directly.
Hercules Capital, Inc. Chief Financial Officer Seth H. Meyer reported an open-market purchase of 7,000 shares of common stock. The shares were bought at an average price of $14.33 per share, with trade prices ranging between $14.30 and $14.35. Following this transaction, Meyer directly owns 448,553 shares of Hercules Capital common stock.
Hercules Capital, Inc. Chief Executive Officer Scott Bluestein reported an open-market purchase of 7,000 shares of common stock. The average purchase price was $14.35 per share, with trades executed between $14.30 and $14.36. Following this transaction, he directly owns 2,516,379 common shares.
Hercules Capital director Wade Loo, through the Loo Revocable Trust, bought 3,300 shares of common stock in an open-market purchase at $14.98 per share. After this indirect purchase, the trust held 32,767 shares, and Loo also held 6,630 shares directly.
Hercules Capital, Inc. director Robert P. Badavas reported an open‑market purchase of 5,000 shares of common stock on behalf of the Robert P. Badavas Trust of 2007. The shares were bought at an average purchase price with trades executed between $15.01 and $15.02 per share.
After this transaction, the trust held a total of 117,073 Hercules Capital shares indirectly attributed to Badavas, while he also held 1,412 shares directly. This filing reflects a net increase in his overall reported ownership position in the company.
Hercules Capital, Inc. director Thomas J. Fallon reported an indirect open-market purchase of 10,000 shares of common stock at $14.98 per share on February 24, 2026. The shares are held by the Fallon Family Revocable Trust.
After this transaction, the trust holds a total of 130,369 common shares, and Fallon also reports 5,779 common shares held directly. The filing highlights increased indirect ownership through the family trust structure.
Hercules Capital, Inc. director Gayle A. Crowell reported an open-market purchase of common stock. On February 23, 2026, Crowell bought 6,600 shares at a price of $15.20 per share. After this transaction, Crowell directly owned 87,458 shares of Hercules Capital common stock. The reported ownership total includes shares previously acquired through the company’s dividend reinvestment plan.
Hercules Capital, Inc. Chief Executive Officer Scott Bluestein bought 30,000 shares of common stock in an open-market purchase. The shares were acquired at an average price of $15.08 each, with individual trade prices ranging from $15.04 to $15.10. Following this transaction, Bluestein directly owns 2,509,379 shares of Hercules Capital common stock.
Hercules Capital director Nikos Theodosopoulos bought 6,165 shares of common stock in an open-market purchase. The transaction took place on February 17, 2026, at an average price of $15.93 per share. Following this purchase, his directly owned stake increased to 18,923 shares.
Hercules Capital, Inc. director Thomas J. Fallon reported an indirect open-market purchase of 20,000 shares of Common Stock on February 17, 2026, at an average price of $15.88 per share. A footnote explains the price reflects purchases between $15.81 and $15.92.
The 20,000 shares are held by the Fallon Family Revocable Trust, bringing its indirect holdings to 120,369 shares. Separately, Fallon directly holds 5,779 shares, which reflects his personal stake outside the trust.