0001593968-17-000151.txt : 20170126 0001593968-17-000151.hdr.sgml : 20170126 20170126161143 ACCESSION NUMBER: 0001593968-17-000151 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170124 FILED AS OF DATE: 20170126 DATE AS OF CHANGE: 20170126 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Harris Mark R CENTRAL INDEX KEY: 0001650221 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-00702 FILM NUMBER: 17549823 MAIL ADDRESS: STREET 1: C/O HERCULES TECHNOLOGY GROWTH CAPITAL STREET 2: 400 HAMILTON AVENUE, SUITE 310 CITY: PALO ALTO STATE: CA ZIP: 94301 4 1 primary_01.xml PRIMARY DOCUMENT X0306 4 2017-01-24 0001280784 Hercules Capital, Inc. HTGC 0001650221 Harris Mark R C/O HERCULES CAPITAL, INC. 400 HAMILTON AVENUE SUITE 310 PALO ALTO CA 94301 false true false false Chief Financial Officer Restricted Stock Units 2017-01-24 4 A false 42224 0 A 42224 D Each restricted stock unit represents a contingent right to receive one share of Hercules Capital, Inc. stock. The restricted stock units vest one-third on January 24, 2018 and the remaining two-thirds vest quarterly in equal amounts over the following two years. Vested shares will be delivered to reporting person as soon as reasonably practicable on the earlier of (a) January 24, 2021 and (b) the date (i) reporting person separates from service from Issuer, (ii) dies or becomes disabled or (iii) there is a change in control of the Issuer. /s/Melanie Grace, Attorney-in-Fact for Mark R. Harris 2017-01-26