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.
Hercules Capital, Inc. filings document the regulatory reporting of a specialty finance company that provides senior secured venture growth loans to technology and life sciences businesses. Its Form 8-K filings cover earnings releases, operating and financial condition updates, cash distribution declarations, executive leadership changes and related exhibits.
Proxy materials describe annual meeting matters, board governance, executive compensation and equity-award disclosures. The company’s filings also identify its NYSE-listed common stock under HTGC and its 6.25% Notes due 2033 under HCXY, tying capital-structure disclosures to both equity and debt securities.
Hercules Capital, Inc. completed a registered public offering of $325,000,000 aggregate principal amount of its 6.300% Notes due 2031, issued under an Eleventh Supplemental Indenture to its existing base indenture. The Notes mature on July 24, 2031 and bear interest at 6.300% per year, paid semiannually on January 24 and July 24, beginning January 24, 2027.
The Notes are unsecured senior obligations, ranking senior to expressly subordinated debt, pari passu with other unsubordinated liabilities, and effectively or structurally subordinated to secured debt and subsidiary obligations. They are redeemable at the company’s option at par plus any applicable make whole premium. Hercules Capital expects to use net proceeds to repay outstanding unsecured and/or secured indebtedness under its financing arrangements, fund investments consistent with its investment objectives, and for other general corporate purposes. The offering was conducted from the company’s Form N-2 shelf registration, with Goldman Sachs & Co. LLC and SMBC Nikko Securities America, Inc. acting as representatives of the underwriters.
Hercules Capital provides preliminary, unaudited estimates for the quarter ended June 30, 2026. Net asset value per share is expected to range from $12.10 to $12.20, up $0.20 to $0.30, or 1.7% to 2.5%, from $11.90 on March 31, 2026. Preliminary net realized gains are approximately $7.7 million and net investment income is estimated at $0.49 to $0.51 per share.
Preliminary gross new investment commitments are about $0.9 billion with fundings of $0.6 billion. Investments on non-accrual status comprised less than 0.5% of the total investment portfolio at cost as of June 30, 2026, compared with 0.2% at March 31, 2026. Total investments at fair value are estimated at $4.5 to $4.6 billion. These figures remain subject to completion of financial closing and review procedures and have not been audited or reviewed by the independent registered public accounting firm.
Hercules Capital, Inc. Chief Operating Officer Christian Follmann reported compensation-related equity activity in Common Stock. On July 9, 2026, a total of 2,798 shares were surrendered in two tax-withholding dispositions at $15.69 per share to cover taxes on the vesting of restricted stock, rather than being sold in the open market. Following these transactions, Follmann holds 144,539 shares directly and 350 shares indirectly through his spouse.
Hercules Capital, Inc. president Seth H. Meyer reported two Form 4 transactions involving common stock on July 9, 2026. A total of 6,469 shares were disposed of at $15.69 per share as tax-withholding dispositions to cover taxes on the vesting of restricted stock. These were not open-market sales. After the transactions, Meyer continued to hold over 435,000 shares of Hercules Capital common stock directly.
Hercules Capital, Inc. Chief Executive Officer Scott Bluestein reported two Form 4 transactions involving the company’s common stock on July 9, 2026. In both cases, shares were disposed of under code F, which reflects shares withheld to cover tax obligations rather than open-market sales.
The transactions relate to the vesting of restricted stock, with an aggregate of 20,393 shares of common stock withheld at a reference price of $15.69 per share to pay applicable taxes. After these tax-withholding dispositions, Bluestein continues to hold a direct ownership position of more than 2.4 million shares of Hercules Capital common stock.
Hercules Capital, Inc. officer Kiersten Zaza Botelho, Chief Legal Officer & CCO, reported two tax-withholding dispositions of common stock on July 9, 2026. A total of 1,974 shares were withheld at $15.69 per share to cover taxes on vesting restricted stock, with substantial share ownership reported remaining afterward.
BADAVAS ROBERT P reported acquisition or exercise transactions in this Form 4 filing.
Hercules Capital director Robert P. Badavas reported updated holdings and a new share grant. He received 3,873 shares of common stock as a restricted stock award at $15.49 per share, issued automatically upon his re-election to the board under the 2026 Non-Employee Director Plan. Following this grant, he directly holds 8,943 shares, and a trust identified as the Robert P. Badavas Trust of 2007 holds 122,073 shares indirectly. The restricted stock is subject to forfeiture, with one-third vesting on each anniversary of the grant over three years.
BADAVAS ROBERT P reported acquisition or exercise transactions in this Form 4 filing.
Hercules Capital director Robert P. Badavas reported an equity award and updated holdings. He received 3,873 shares of restricted common stock on June 18, 2026 at $15.49 per share as an automatic grant upon re-election to the board under the 2026 Non-Employee Director Plan. These shares are subject to forfeiture, with one-third vesting on each anniversary of the grant over three years. After this award, he directly holds 8,943 shares of common stock and indirectly holds 122,073 shares through the Robert P. Badavas Trust of 2007.
BADAVAS ROBERT P reported acquisition or exercise transactions in this Form 4 filing.
Hercules Capital director Robert P. Badavas reported new equity compensation and updated holdings. He received 3,873 shares of restricted common stock at $15.49 per share as an automatic grant upon re-election to the board under the 2026 Non-Employee Director Plan. These restricted shares are subject to forfeiture, with one-third vesting on each anniversary of the grant over three years, and bring his directly held common stock to 8,943 shares. In addition, 122,073 shares of common stock are held indirectly by the Robert P. Badavas Trust of 2007.
BADAVAS ROBERT P reported acquisition or exercise transactions in this Form 4 filing.
Hercules Capital director Robert P. Badavas received a grant of 3,873 shares of common stock as restricted stock. The award was issued automatically upon his re-election to the board under the 2026 Non-Employee Director Plan at a reference price of $15.49 per share.
Following the grant, Badavas holds 8,943 shares directly and 122,073 shares indirectly through the Robert P. Badavas Trust of 2007. The restricted stock is subject to forfeiture, with one-third scheduled to vest on each anniversary of the grant over three years, reflecting routine equity-based director compensation rather than an open-market purchase.