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