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