0001562180-23-002716.txt : 20230313 0001562180-23-002716.hdr.sgml : 20230313 20230313161440 ACCESSION NUMBER: 0001562180-23-002716 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230309 FILED AS OF DATE: 20230313 DATE AS OF CHANGE: 20230313 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Fallon Thomas J CENTRAL INDEX KEY: 0001399121 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-00702 FILM NUMBER: 23727466 MAIL ADDRESS: STREET 1: C/O INFINERA CORPORATION STREET 2: 140 CASPIAN COURT CITY: SUNNYVALE STATE: CA ZIP: 94089 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 2023-03-09 false 0001280784 Hercules Capital, Inc. HTGC 0001399121 Fallon Thomas J C/O HERCULES CAPITAL, INC. 400 HAMILTON AVENUE SUITE 310 PALO ALTO CA 94301 true false false false Common Stock 2023-03-09 4 D false 220.00 0.00 D 6075.00 D Common Stock 2023-03-09 4 A false 187.00 15.32 A 6262.00 D Common Stock 2023-03-09 4 A false 220.00 0.00 A 67751.00 I By Trust Common Stock 2023-03-10 4 A false 10000.00 12.75 A 77750.00 I By Trust Shares previously reported as directly owned are now being reported as indirectly owned Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Held by the Fallon Family Revocable Trust Average sale price. Shares sold at prices between $12.74 and $12.76. Due to administrative rounding, the number of shares of common stock beneficially owned by the reporting person was overstated by 1 share. /s/ Eileen Bagarella, Attorney-in-Fact for Thomas J. Fallon 2023-03-13