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 that its Chief Financial Officer, Seth H. Meyer, received a grant of 84,978 shares of common stock on 01/08/2026. The filing lists this as an acquisition at a price of $18.24 per share, bringing his directly owned holdings to 454,570 shares after the transaction.
The shares are described as restricted stock issued under the company’s Amended and Restated Equity Incentive Plan. One-third of this grant is scheduled to vest on the one-year anniversary of the grant date, with the remaining shares vesting quarterly over the following 24 months. These vesting conditions mean the award is tied to continued service over a three-year period.
Hercules Capital, Inc. reported an equity award to its Chief Legal Officer and Chief Compliance Officer, Kiersten Zaza Botelho. On 01/08/2026, she acquired 34,265 shares of common stock at $18.24 per share as a grant of restricted stock under the company’s Amended and Restated Equity Incentive Plan. After this grant, she beneficially owns 98,368 common shares directly.
The restricted stock is subject to forfeiture and a multi‑year vesting schedule. One-third of the grant will vest on the one-year anniversary of the grant date, with the remaining shares vesting quarterly over the following 24 months, aligning her compensation with the company’s longer‑term performance.
Hercules Capital, Inc. chief operating officer Christian Follmann reported a grant of restricted common stock. On January 8, 2026, he acquired 37,007 shares of common stock at $18.24 per share. These shares were issued under the company’s Amended and Restated Equity Incentive Plan and are subject to forfeiture restrictions, with one-third vesting on the one-year anniversary of the grant date and the remainder vesting quarterly over the following 24 months.
After this grant, Follmann beneficially owns 153,892 shares of common stock directly, plus 350 shares held indirectly through his spouse.
Hercules Capital, Inc. reported an insider equity award for its Chief Executive Officer, Scott Bluestein. On 01/08/2026, he received 298,794 shares of common stock as a restricted stock grant at $18.24 per share under the company’s Amended and Restated Equity Incentive Plan. These shares are subject to forfeiture and vest over time, with one-third vesting on the one-year anniversary of the grant date and the remaining two-thirds vesting quarterly over the following 24 months.
Following this grant, Bluestein directly beneficially owns 2,542,891 shares of Hercules Capital common stock, aligning his compensation further with shareholder interests through performance- and tenure-based vesting.
Hercules Capital, Inc. reported an equity compensation grant to a senior executive. Chief Operating Officer Christian Follmann received an award of 10,560 restricted stock units on December 4, 2025. Each restricted stock unit gives him the right to receive one share of Hercules Capital common stock in the future. The award is scheduled to vest 100% on December 4, 2032, meaning all units become payable on that date if vesting conditions are met. Following this grant, Follmann beneficially owned 39,448 derivative securities, all held directly.
Hercules Capital, Inc. reported that its Chief Legal Officer and Chief Compliance Officer, Kiersten Zaza Botelho, received an award of 10,560 restricted stock units (RSUs) on December 4, 2025. Each RSU represents a contingent right to receive one share of Hercules Capital common stock. According to the disclosure, this RSU grant will vest 100% on December 4, 2032, meaning the shares underlying the units are not delivered until that future vesting date, assuming conditions are met. The filing is made by a single reporting person and reflects an equity-based compensation award rather than an open-market stock purchase or sale.
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.