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. (HTGC) – Form 4 filing: Chief Legal Officer & Chief Compliance Officer Kiersten Zaza Botelho reported an automatic share withholding on 9 July 2025 related to the vesting of restricted stock. The company withheld 912 common shares at a price of $18.56 per share to cover applicable taxes (Transaction Code F). Following the transaction, the executive retains 66,651 directly held shares. Because the shares were not sold on the open market and merely satisfied tax obligations, the event neither increases nor decreases the executive’s economic exposure to HTGC and is typically viewed as administrative rather than directional trading activity.
Hercules Capital, Inc. (HTGC) – Form 4 filing reports an internal share withholding transaction by Chief Executive Officer Scott Bluestein on 07/09/2025. The transaction was coded “F”, indicating that 10,593 common shares were withheld by the company to cover taxes triggered by the vesting of previously granted restricted stock. No open-market purchase or sale occurred. Following the withholding, Bluestein’s direct beneficial ownership stands at 2,281,611 common shares. No derivative securities were involved, and the filing does not alter the executive’s status or the company’s capital structure. For investors, the event is procedural and does not reflect a change in the CEO’s net economic exposure to HTGC.
Truist Financial Corporation has filed Amendment No. 1 to a Schedule 13G reporting its beneficial ownership of Hercules Capital, Inc. (NASDAQ: HTGC) Domestic Preferred shares. The filing is a remedial submission for a position that fell below the 5 % reporting threshold in 2021 but was never reported. As of the event date 30 June 2025, Truist, acting as parent of its registered investment adviser subsidiary, discloses:
- Shares beneficially owned: 5,400
- Percentage of class: 0.34 %
- Sole voting power: 0
Shared voting power: 0 - Sole dispositive power: 5,400
Shared dispositive power: 0
The filing confirms the shares are held in the ordinary course of business with no intent to influence control. Truist is classified as both an Investment Adviser (IA) and Holding Company (HC). Vice President Edward M. Kwiatkowski signed the certification on 8 July 2025.
Because the stake is well below 5 % and carries no voting power, the disclosure has limited strategic or governance impact on Hercules Capital. The key takeaway for investors is simply the presence of a small, passive institutional holder and the company’s effort to correct past reporting oversight.
Form 4 filing reveals insider trading activity for Hercules Capital (HTGC) by Director Wade Loo on June 18, 2025. Key transactions include:
- Acquisition of 3,329 shares of restricted stock at $18.02 per share as an automatic board re-election grant, subject to 3-year vesting schedule (1/3 annually)
- Transfer of 5,999 shares from direct to indirect ownership through the Loo Revocable Trust
- Post-transactions ownership: - 4,834 shares held directly - 31,093 shares held indirectly through trust (including 40 shares from dividend reinvestment on May 20, 2025)
The filing indicates continued insider investment in HTGC, with a structured compensation package for non-employee directors and strategic wealth management through trust ownership structure.
Form 4 filing reveals insider trading activity for DeAnne Aguirre, Director at Hercules Capital (HTGC). On June 18, 2025, Aguirre underwent multiple transactions:
- Acquisition: Received 3,329 shares of restricted stock at $18.02 per share as an automatic grant upon board re-election, subject to three-year vesting schedule (one-third annually)
- Ownership Transfer: 5,999 shares were transferred from direct ownership to indirect ownership through the Aguirre Family 2004 Trust
Following these transactions, Aguirre's holdings include:
- Direct ownership: 5,067 shares (including 45 shares from dividend reinvestment on May 20, 2025)
- Indirect ownership: 18,180 shares held through the family trust
Hercules Capital held its 2025 Annual Meeting of Stockholders on June 18, 2025, where shareholders voted on four key proposals. With 175,420,455 shares eligible to vote, the results were:
- Board Elections: Scott Bluestein, Wade Loo, and DeAnne Aguirre were elected as Class III directors until 2028, with Bluestein receiving the strongest support (63.7M votes)
- Executive Compensation: Shareholders approved the named executive officer compensation with 56.1M votes in favor
- Below NAV Share Issuance: The proposal to authorize share sales below NAV was NOT approved, receiving insufficient support with 52.6M votes in favor
- Auditor Appointment: PricewaterhouseCoopers LLP was ratified as independent public accountant for FY2025 with overwhelming support (124.6M votes)
The failed below-NAV authorization proposal represents a significant outcome that could limit the company's capital raising flexibility in the coming year.