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. 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.
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