0001593968-18-000818.txt : 20180521 0001593968-18-000818.hdr.sgml : 20180521 20180521162336 ACCESSION NUMBER: 0001593968-18-000818 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180521 FILED AS OF DATE: 20180521 DATE AS OF CHANGE: 20180521 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: 18849919 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 2018-05-21 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 Chairman & CEO Restricted Stock Units 2018-05-21 4 A false 15768 12.4 A 646512 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 Manuel Henriquez 2018-05-21