0001562180-23-000417.txt : 20230113 0001562180-23-000417.hdr.sgml : 20230113 20230113171718 ACCESSION NUMBER: 0001562180-23-000417 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230111 FILED AS OF DATE: 20230113 DATE AS OF CHANGE: 20230113 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Follmann Christian CENTRAL INDEX KEY: 0001907321 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-00702 FILM NUMBER: 23529627 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 4 1 primarydocument.xml PRIMARY DOCUMENT X0306 4 2023-01-11 false 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 2023-01-11 4 A false 27778.00 13.50 A 75454.00 D Common Stock 2023-01-11 4 F false 1942.00 13.50 D 73512.00 D Restricted stock issued as a grant pursuant to the Amended and Restated Equity Incentive Plan and subject to forfeiture restrictions of one-third vesting on the one year anniversary of the grant date followed by quarterly vesting over the following 24 months. Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on January 11, 2023. /s /Eileen Bagarella, Attorney-in-Fact for Christian Follmann 2023-01-13