Welcome to our dedicated page for Hercules Capital SEC filings (Ticker: HTGC), 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.
The Hercules Capital, Inc. (NYSE: HTGC) SEC filings page provides access to the company’s official disclosures as a reporting company and business development company. Hercules Capital files documents such as Current Reports on Form 8-K, which describe material events including quarterly earnings announcements, cash distribution declarations, and shareholder meeting results. These filings supplement the company’s press releases and give investors structured information about its operations and governance.
Recent Form 8-K filings show how Hercules Capital reports results of operations and financial condition for specific quarters, with references to earnings press releases furnished as exhibits. These filings also document decisions by the board of directors to declare quarterly total cash distributions per share, including the stated distribution amount and key dates for record and payment. By reviewing these filings, investors can track the company’s distribution practices and timing over time.
Hercules Capital’s SEC filings also cover corporate governance matters. For example, a Form 8-K describing the annual meeting of stockholders details proposals submitted to shareholders, such as the election of directors, advisory votes on named executive officer compensation, authorization to sell or issue shares below net asset value under specified conditions, and ratification of the independent public accountant. The filing reports vote counts for each proposal, providing transparency into shareholder decisions.
Filings list Hercules Capital’s jurisdiction of incorporation as Maryland and confirm that its common stock and 6.25% Notes due 2033 are registered under Section 12(b) of the Securities Exchange Act of 1934 and traded on the New York Stock Exchange under the symbols HTGC and HCXY, respectively. These details help investors verify the company’s capital structure and listing status.
On this page, AI-powered tools can assist by summarizing lengthy filings, highlighting key items such as earnings announcements, distribution declarations, and shareholder vote outcomes, and pointing to relevant exhibits. This can help readers quickly understand the main points of Hercules Capital’s 8-Ks and related disclosures while retaining the ability to review the full original documents from EDGAR.
Hercules Capital, Inc.'s Chief Financial Officer, Seth H. Meyer, reported share withholding transactions related to restricted stock vesting. On January 9, 2026, 15,965 shares of common stock were withheld at
Hercules Capital, Inc. reported insider equity activity by its Chief Operating Officer, Christian Follmann. The filing shows that on January 9, 2026, and January 11, 2026, a total of 7,580 and 1,178 shares of common stock, respectively, were withheld at a price of
Hercules Capital, Inc. insider activity centers on tax withholding for vested stock awards. Chief Legal Officer & CCO Kiersten Zaza Botelho had shares of common stock withheld to cover taxes tied to restricted stock vesting.
On January 9, 2026, 5,510 shares of common stock were withheld at a price of
Hercules Capital, Inc.'s Chief Executive Officer, Scott Bluestein, reported two automatic share withholdings tied to restricted stock vesting. On January 9, 2026, 50,081 shares of common stock were withheld at
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.
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