0001593968-18-000139.txt : 20180112
0001593968-18-000139.hdr.sgml : 20180112
20180112120300
ACCESSION NUMBER: 0001593968-18-000139
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180109
FILED AS OF DATE: 20180112
DATE AS OF CHANGE: 20180112
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Henriquez Manuel A
CENTRAL INDEX KEY: 0001329390
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 814-00702
FILM NUMBER: 18525224
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
primary_01.xml
PRIMARY DOCUMENT
X0306
4
2018-01-09
0001280784
Hercules Capital, Inc.
HTGC
0001329390
Henriquez Manuel A
C/O HERCULES CAPITAL, INC.
400 HAMILTON AVENUE SUITE 310
PALO ALTO
CA
94301
true
true
false
false
President & CEO
Common Stock
2018-01-09
4
A
false
230125
13.04
A
2086634
D
Restricted Stock Units
2018-01-09
4
A
false
230125
13.04
A
615201
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 January 9, 2019 followed by quarterly vesting over the following 24 months.
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 09, 2019 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 09, 2022 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 Manuel Henriquez
2018-01-12