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. is asking stockholders to vote at its virtual 2026 annual meeting on June 18, 2026. The proxy covers electing one independent director, advisory votes on named executive officer pay and its frequency, amendments and restatements of the 2018 equity and non-employee director plans, and ratification of PricewaterhouseCoopers LLP as auditor for 2026.
The company, a business development company focused on senior secured loans to venture-backed technology and life sciences firms, highlights strong multi-year performance versus a peer group on return on average assets, return on equity and shareholder return. The filing explains director qualifications, board and committee structure, corporate governance practices, stock ownership guidelines, and a clawback policy. It also details how executive pay mixes salary, annual cash bonuses and long-term equity awards tied to company and individual performance.
Hercules Capital, Inc. is asking stockholders to vote at its virtual 2026 annual meeting on June 18, 2026. The proxy covers electing one independent director, advisory votes on named executive officer pay and its frequency, amendments and restatements of the 2018 equity and non-employee director plans, and ratification of PricewaterhouseCoopers LLP as auditor for 2026.
The company, a business development company focused on senior secured loans to venture-backed technology and life sciences firms, highlights strong multi-year performance versus a peer group on return on average assets, return on equity and shareholder return. The filing explains director qualifications, board and committee structure, corporate governance practices, stock ownership guidelines, and a clawback policy. It also details how executive pay mixes salary, annual cash bonuses and long-term equity awards tied to company and individual performance.
Hercules Capital, Inc. Chief Legal Officer & CCO Kiersten Zaza Botelho reported routine tax-related share dispositions connected to vesting of restricted stock. On April 9, shares of common stock totaling 1,974 were withheld by the company to cover applicable taxes at a reference price of $14.74 per share. After these withholding transactions, she directly holds 91,362 shares of Hercules Capital common stock.
Hercules Capital, Inc. Chief Legal Officer & CCO Kiersten Zaza Botelho reported routine tax-related share dispositions connected to vesting of restricted stock. On April 9, shares of common stock totaling 1,974 were withheld by the company to cover applicable taxes at a reference price of $14.74 per share. After these withholding transactions, she directly holds 91,362 shares of Hercules Capital common stock.
Hercules Capital, Inc. Chief Operating Officer Christian Follmann reported routine share dispositions related to tax withholding on vested equity. On April 9, 2026, a total of 2,798 shares of common stock were withheld at $14.74 per share to cover taxes on restricted stock vesting.
After these tax-withholding dispositions, Follmann held 148,770 shares of Hercules Capital common stock directly. He also reported indirect ownership of 350 additional shares held by his spouse. The filing reflects compensation-related tax settlements rather than open-market stock sales.
Hercules Capital, Inc. Chief Operating Officer Christian Follmann reported routine share dispositions related to tax withholding on vested equity. On April 9, 2026, a total of 2,798 shares of common stock were withheld at $14.74 per share to cover taxes on restricted stock vesting.
After these tax-withholding dispositions, Follmann held 148,770 shares of Hercules Capital common stock directly. He also reported indirect ownership of 350 additional shares held by his spouse. The filing reflects compensation-related tax settlements rather than open-market stock sales.
Hercules Capital, Inc. Chief Financial Officer Seth H. Meyer reported routine share withholdings tied to equity compensation. On April 9, 2026, a total of 6,469 shares of common stock were withheld as a tax-withholding disposition at $14.74 per share to cover taxes on vesting restricted stock. Following these non‑market transactions, Meyer directly holds 442,079 shares of Hercules Capital common stock.
Hercules Capital, Inc. Chief Financial Officer Seth H. Meyer reported routine share withholdings tied to equity compensation. On April 9, 2026, a total of 6,469 shares of common stock were withheld as a tax-withholding disposition at $14.74 per share to cover taxes on vesting restricted stock. Following these non‑market transactions, Meyer directly holds 442,079 shares of Hercules Capital common stock.
Hercules Capital, Inc. Chief Executive Officer Scott Bluestein reported routine tax-related share withholdings tied to restricted stock vesting. On April 9, 2026, a total of 20,393 shares of common stock were withheld at $14.74 per share to cover applicable taxes. After these transactions, he directly holds 2,495,986 shares of Hercules Capital common stock.
Hercules Capital, Inc. Chief Executive Officer Scott Bluestein reported routine tax-related share withholdings tied to restricted stock vesting. On April 9, 2026, a total of 20,393 shares of common stock were withheld at $14.74 per share to cover applicable taxes. After these transactions, he directly holds 2,495,986 shares of Hercules Capital common stock.
BADAVAS ROBERT P reported open-market purchase transactions in this Form 4 filing.
Hercules Capital director Robert P. Badavas acquired 3,658 shares of common stock at an average price of $14.35 per share. The shares were taken as stock in lieu of a cash director compensation fee. Following this transaction, he holds 5,070 shares directly and 122,073 shares indirectly through the Robert P. Badavas Trust of 2007.
BADAVAS ROBERT P reported open-market purchase transactions in this Form 4 filing.
Hercules Capital director Robert P. Badavas acquired 3,658 shares of common stock at an average price of $14.35 per share. The shares were taken as stock in lieu of a cash director compensation fee. Following this transaction, he holds 5,070 shares directly and 122,073 shares indirectly through the Robert P. Badavas Trust of 2007.
Hercules Capital director Wade Loo acquired 7,317 shares of common stock through an open-market purchase, electing to receive stock in lieu of a director cash compensation fee at an average price of $14.35 per share. After this transaction, he holds 14,050 shares directly, including shares acquired through the company’s dividend reinvestment plan, and 32,767 shares indirectly through the Loo Revocable Trust.
Hercules Capital director Wade Loo acquired 7,317 shares of common stock through an open-market purchase, electing to receive stock in lieu of a director cash compensation fee at an average price of $14.35 per share. After this transaction, he holds 14,050 shares directly, including shares acquired through the company’s dividend reinvestment plan, and 32,767 shares indirectly through the Loo Revocable Trust.
Hercules Capital director Thomas J. Fallon increased his stake through equity compensation rather than cash. On March 26, 2026, a trust associated with him acquired 7,300 shares of Hercules Capital common stock at $14.30 per share, reported as an open‑market purchase.
The footnotes explain these shares were received in lieu of a cash director fee and are held by the Fallon Family Revocable Trust. After this transaction, the trust held 157,669 shares, while Fallon also reported 5,959 shares held directly, including shares accumulated through the company’s dividend reinvestment plan.
Hercules Capital director Thomas J. Fallon increased his stake through equity compensation rather than cash. On March 26, 2026, a trust associated with him acquired 7,300 shares of Hercules Capital common stock at $14.30 per share, reported as an open‑market purchase.
The footnotes explain these shares were received in lieu of a cash director fee and are held by the Fallon Family Revocable Trust. After this transaction, the trust held 157,669 shares, while Fallon also reported 5,959 shares held directly, including shares accumulated through the company’s dividend reinvestment plan.
Hercules Capital, Inc. director DeAnne Aguirre acquired common stock by electing to receive shares instead of a cash director fee. She obtained 7,317 shares at an average price of $14.35 per share, with actual purchase prices ranging from $14.31 to $14.39.
Following this compensation-related acquisition, she directly holds 10,749 shares of common stock. In addition, 20,086 shares are held indirectly by the Aguirre Family 2004 Trust. The filing notes that the share count includes stock acquired through Hercules Capital’s dividend reinvestment plan under Rule 16a-11.
Hercules Capital, Inc. director DeAnne Aguirre acquired common stock by electing to receive shares instead of a cash director fee. She obtained 7,317 shares at an average price of $14.35 per share, with actual purchase prices ranging from $14.31 to $14.39.
Following this compensation-related acquisition, she directly holds 10,749 shares of common stock. In addition, 20,086 shares are held indirectly by the Aguirre Family 2004 Trust. The filing notes that the share count includes stock acquired through Hercules Capital’s dividend reinvestment plan under Rule 16a-11.
Hercules Capital, Inc. director Paramjeet K. Randhawa acquired 2,926 shares of common stock on March 26, 2026 through an open-market purchase at an average price of $14.35 per share. Following this transaction, the director directly holds 22,486 shares of Hercules Capital common stock.
According to the footnotes, the shares were purchased based on the director’s election to receive stock in lieu of a cash compensation fee otherwise payable for board service. The average purchase price reflects trades executed in a price range between $14.31 and $14.39 per share.
Hercules Capital, Inc. director Paramjeet K. Randhawa acquired 2,926 shares of common stock on March 26, 2026 through an open-market purchase at an average price of $14.35 per share. Following this transaction, the director directly holds 22,486 shares of Hercules Capital common stock.
According to the footnotes, the shares were purchased based on the director’s election to receive stock in lieu of a cash compensation fee otherwise payable for board service. The average purchase price reflects trades executed in a price range between $14.31 and $14.39 per share.