0001562180-22-000938.txt : 20220202
0001562180-22-000938.hdr.sgml : 20220202
20220202163544
ACCESSION NUMBER: 0001562180-22-000938
CONFORMED SUBMISSION TYPE: 3
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20220201
FILED AS OF DATE: 20220202
DATE AS OF CHANGE: 20220202
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Follmann Christian
CENTRAL INDEX KEY: 0001907321
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 814-00702
FILM NUMBER: 22584201
MAIL ADDRESS:
STREET 1: C/O HERCULES CAPITAL, INC.
STREET 2: 400 HAMILTON AVENUE, SUITE 310
CITY: PALO ALTO
STATE: CA
ZIP: 94301
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Hercules Capital, Inc.
CENTRAL INDEX KEY: 0001280784
IRS NUMBER: 743113410
STATE OF INCORPORATION: MD
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 400 HAMILTON AVE
STREET 2: SUITE 310
CITY: PALO ALTO
STATE: CA
ZIP: 94301
BUSINESS PHONE: 650-289-3060
MAIL ADDRESS:
STREET 1: 400 HAMILTON AVE
STREET 2: SUITE 310
CITY: PALO ALTO
STATE: CA
ZIP: 94301
FORMER COMPANY:
FORMER CONFORMED NAME: HERCULES TECHNOLOGY GROWTH CAPITAL INC
DATE OF NAME CHANGE: 20040219
3
1
primarydocument.xml
PRIMARY DOCUMENT
X0206
3
2022-02-01
0
0001280784
Hercules Capital, Inc.
HTGC
0001907321
Follmann Christian
C/O HERCULES CAPITAL, INC.
400 HAMILTON AVENUE, SUITE 310
PALO ALTO
CA
94301
false
true
false
false
Chief Operating Officer
Common Stock
49045.00
D
Restricted Stock Units
413.00
D
Common Stock
350.00
I
By Spouse
Includes 4,830 shares of unvested restricted stock from a previous grant of 14,488 shares granted on January 13, 2020, 9,596 shares of unvested restricted stock from a previous grant of 14,393 shares granted on January 12, 2021 and 14,286 shares of unvested restricted stock from a previous grant of 14,286 shares granted on January 11, 2022 issued under the 2018 Amended Equity Incentive Plan. Each grant vests as to one third of the shares upon the first anniversary of the grant date followed by equal quarterly vestings over two years.
Unvested restricted stock units and dividend equivalent shares from a previous grant of 4,000 shares granted on April 24, 2019 issued under the 2018 Amended Equity Incentive Plan that vests as to one third of the shares upon the first anniversary of the grant date followed by equal quarterly vestings over two years.
/s /Eileen Bagarella, Attorney-in-Fact for Christian Follmann
2022-02-02