0001593968-17-000431.txt : 20170314 0001593968-17-000431.hdr.sgml : 20170314 20170314170057 ACCESSION NUMBER: 0001593968-17-000431 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170313 FILED AS OF DATE: 20170314 DATE AS OF CHANGE: 20170314 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: 17688798 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 2017-03-13 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 2017-03-13 4 A false 734 14.85 A 35921 D Includes additional Dividend Shares relating to deemed reinvested dividend equivalent rights that accrued on Restricted Stock Units (RSUs) previously granted. Such additional Dividend Shares are in the form of additional RSUs vest and are settled at the same time as the RSUs in respect of which the dividend equivalent rights accrued. Each such additional Dividend Share RSU is the economic equivalent of one share of Hercules Capital, Inc. common stock. /s/Melanie Grace, Attorney-in-Fact for Mark R. Harris 2017-03-14