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, Inc. reported an insider equity transaction by its Chief Financial Officer on a Form 4. On December 4, 2025, the CFO received an award of 7,920 restricted stock units (RSUs), each representing one share of common stock, which will vest 100% on December 4, 2032. On December 5, 2025, 20 shares of common stock were withheld at a price of $0.00 to cover taxes related to restricted stock vesting. Following these transactions, the CFO beneficially owns 369,592 shares of common stock and 45,184 RSUs, all held directly.
Hercules Capital, Inc. reported a new equity award to its Chief Executive Officer, who is the reporting person on this Form 4. On December 4, 2025, the CEO received 23,759 restricted stock units, each representing a contingent right to receive one share of Hercules Capital common stock. The filing states that this restricted stock unit award will vest 100% on December 4, 2032, meaning the shares underlying the units become fully earned on that date if the conditions are satisfied.
Following this grant, the CEO beneficially owns 170,957 derivative securities, reported here as restricted stock units held directly. This filing reflects executive equity-based compensation and updates the CEO’s reported ownership in Hercules Capital’s stock-based awards.
Hercules Capital, Inc. (HTGC) reported an insider transaction on a Form 4. Director Gayle Crowell purchased 6,000 shares of common stock on 11/03/2025 at a price of $17.7745 per share. Following this trade, Crowell directly owns 78,727 shares.
The filing notes prior dividend reinvestments of 1,638 shares on May 20, 2025 and 1,745 shares on August 19, 2025, which are included in the reported holdings. Ownership is listed as Direct (D).
Hercules Capital declared a third quarter 2025 total cash distribution of $0.47 per share. The distribution is scheduled with an ex-dividend and record date of November 12, 2025, and a payment date of November 19, 2025.
The company also announced it issued a press release with earnings for the quarter ended September 30, 2025, furnished under Item 2.02. That information is furnished and not deemed filed.
Hercules Capital (HCXY) filed a 10-Q that details its investment portfolio and financing structure, including its 6.25% Notes due 2033. The filing lists numerous senior secured and convertible loans across sectors with rate formulas, floors, PIK components, maturities, and exit fees.
Examples include Shield AI, Inc. (senior secured, maturity February 2029, Prime + 0.85%, floor 6.85%, cap 9.60%, PIK 2.50%, 2.50% exit fee) and Smartsheet Inc. (senior secured, maturity January 2031, 3‑month SOFR + 6.50%, floor 7.25%). In healthcare, Dyne Therapeutics, Inc. is shown (senior secured, maturity July 2030, Prime + 2.45%, floor 9.95%, 5.50% exit fee). In consumer services, SeatGeek, Inc. appears with multiple tranches (maturities May and July 2026, Prime + 7.00% and + 2.50%, floors 10.50% and 10.75%).
The schedule also lists equity and warrant positions in portfolio companies alongside sector classifications and acquisition dates, plus foreign exchange forward contracts (GBP) with Goldman Sachs Bank USA. Terms consistently specify rate bases (Prime or SOFR), floor rates, and in some cases exit fees or caps.
Hercules Capital, Inc. COO Christian Follmann reported a Form 4 tax withholding related to equity vesting. On 10/11/2025, 1,176 shares of common stock were withheld at $16.70 per share under transaction code F, which reflects shares retained by the issuer to cover taxes upon the vesting of restricted stock. Following this administrative transaction, Follmann beneficially owns 116,885 shares, held directly.
Hercules Capital (HTGC) reported an insider tax-withholding event. The CFO executed a Code F transaction on 10/11/2025, with 4,051 shares of common stock withheld at $16.7 per share to cover taxes due on the vesting of restricted stock.
Following the withholding, the officer beneficially owned 369,612 shares, held directly. This filing reflects administrative share withholding rather than an open-market sale.
Hercules Capital, Inc. reported an insider transaction by its Chief Executive Officer, Scott Bluestein. On October 11, 2025, 13,431 shares of common stock were withheld to cover taxes upon the vesting of restricted stock (Transaction Code F) at a price of $16.7 per share. Following this tax-withholding event, Bluestein beneficially owns 2,244,097 shares, held directly.
Hercules Capital reported an insider tax-withholding transaction tied to equity vesting. On 10/11/2025, Chief Legal Officer & CCO Kiersten Zaza Botelho had 822 shares of common stock withheld at $16.70 per share, coded “F,” which indicates shares were retained by the issuer to cover taxes upon the vesting of restricted stock.
Following this routine withholding, the reporting person beneficially owns 64,103 common shares, held directly. No derivative securities were reported in this filing.
Hercules Capital, Inc. (HTGC) reported an insider transaction by its Chief Financial Officer. On October 9, 2025, the CFO had 3,458 shares of common stock withheld under transaction code F at $17.06 per share to cover taxes upon the vesting of restricted stock. Following this administrative withholding, the officer beneficially owns 373,663 shares, held directly.