Hercules Capital Inc (HTGC)

Sector:
FINANCE
Industry:
CORPORATE FINANCE
SIC:
CEO:
Scott Bluestein
Employees:
90
400 HAMILTON AVE, SUITE 310, PALO ALTO, CA 94301
650-289-3060

Hercules Capital, Inc. specializes in providing venture debt, debt, senior secured loans, and growth capital to privately held venture capital-backed companies at all stages of development. The firm invests primarily in technology, energy technology, sustainable and renewable technology, and life sciences.

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Funds Holding HTGC (via 13F filings)

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Mutual Funds Holding HTGC

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Active Schedule 13D and 13G filings

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Recent Filings

Events (8k)

  • 8-K: filed on 2022-07-28:
    Item 8.01: Other Events
    Item 9.01: Financial Statements and Exhibits
    Item 2.02: Results of Operations and Financial Condition
  • 8-K: filed on 2022-06-27:
    Item 1.01: Entry into a Material Definitive Agreement
    Item 2.03: Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant
    Item 5.02: Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers
    Item 5.07: Submission of Matters to a Vote of Security Holders
    Item 8.01: Other Events
    Item 9.01: Financial Statements and Exhibits
  • 8-K: filed on 2022-06-15:
    Item 1.01: Entry into a Material Definitive Agreement
    Item 2.03: Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant
    Item 9.01: Financial Statements and Exhibits
  • 8-K: filed on 2022-05-09:
    Item 8.01: Other Events
    Item 9.01: Financial Statements and Exhibits
  • 8-K: filed on 2022-02-22:
    Item 8.01: Other Events
    Item 9.01: Financial Statements and Exhibits
    Item 2.02: Results of Operations and Financial Condition
  • 8-K: filed on 2022-01-21:
    Item 8.01: Other Events
  • 8-K: filed on 2022-01-21:
    Item 1.01: Entry into a Material Definitive Agreement
    Item 2.03: Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant
    Item 9.01: Financial Statements and Exhibits
  • 8-K: filed on 2022-01-18:
    Item 1.01: Entry into a Material Definitive Agreement
    Item 2.03: Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant
    Item 9.01: Financial Statements and Exhibits
  • 8-K: filed on 2022-01-10:
    Item 8.01: Other Events
  • 8-K: filed on 2021-11-29:
    Item 1.02: Termination of a Material Definitive Agreement
  • Open Market Buys/Sells Last 60 Days

    Open Market Buys (P)

    none

    Open Market Sells (S)

    none

    Exercise Derivative Conversion (M)

    none

    Current/Former Insiders

    Insider Name Type Last Reported Shares Held Last Reported Date Filings in past year

    CROWELL GAYLE A

    28,724 2022-08-01 5

    RANDHAWA PARAMJEET K

    2,694 2022-08-01 3

    FALLON THOMAS J

    73,404 2022-08-01 7

    KOENIG BRADFORD C.

    32,959 2022-08-01 5

    LOO WADE

    6,684 2022-08-01 5

    BLUESTEIN SCOTT CHIEF EXECUTIVE OFFICER

    1,065,782 2022-07-17 19

    MEYER SETH H CHIEF FINANCIAL OFFICER

    207,867 2022-07-12 9

    FOLLMANN CHRISTIAN CHIEF OPERATING OFFICER

    48,037 2022-07-12 6

    AGUIRRE DEANNE

    0 2022-06-23 2

    BOTELHO KIERSTEN ZAZA GENERAL COUNSEL & CCO

    5,875 2022-01-10 2

    GRACE MELANIE GENERAL COUNSEL & CCO

    0 2021-09-24 2

    HO DOREEN WOO

    27,201 2021-08-02 0

    FOSTER CAROL L

    • Director
    16,997 2021-05-19 0

    BADAVAS ROBERT P

    • Director
    107,452 2021-05-04 0

    HOFFMAN JOSEPH F

    • Director
    42,862 2021-05-04 0

    TITINGER JORGE

    • Director
    8,647 2020-05-21 0

    HENRIQUEZ MANUEL A

    • Director
    1,310,898 2019-05-20 0

    WALDT GERARD R JR. INTERIM CHIEF ACCOUNTING OFF

    • Officer
    8,243 2018-08-20 0

    WOODWARD ALLYN C

    262,309 2018-05-21 0

    LUND DAVID MICHAEL INTERIM CHIEF FINANCIAL OFF

    0 2017-10-31 0

    HARRIS MARK R CHIEF FINANCIAL OFFICER

    52,568 2017-10-10 0

    OLSON ANDREW VP FINANCE & SR CONTROLLER

    7,446 2017-07-10 0

    LYONS SUSANNE D

    11,575 2016-09-15 0

    FERGUSON RODNEY A

    • Director
    7,855 2015-12-31 0

    BARON JESSICA T CFO

    • Officer
    98,269 2015-06-09 0

    LAKE ROBERT C CHIEF CREDIT OFFICER

    • Officer
    0 2015-05-29 0

    SHAH PARAG SENIOR MANAGING DIRECTOR

    • Officer
    249,562 2014-12-04 0

    BUTLER MICHAEL L GENERAL COUNSEL & CCO

    • Officer
    0 2014-10-07 0

    FEUERSTEIN HARRY CHIEF OPERATING OFFICER

    • Officer
    0 2014-07-08 0

    JAQUEZ-FISSORI TODD SENIOR MANAGING DIRECTOR

    • Officer
    94,483 2014-04-17 0

    PENNEY MICHAEL GENERAL COUNSEL

    • Officer
    4,000 2014-04-10 0

    CHOW JOSEPH W

    • Director
    121,871 2013-08-07 0

    HARVEY H SCOTT CHIEF LEGAL OFFICER & SEC

    • Officer
    73,177 2012-08-16 0

    BHAUMIK SAM SENIOR MANAGING DIRECTOR

    • Officer
    196,274 2011-09-16 0

    DENOMME MARK SENIOR MANAGING DIRECTOR

    • Officer
    38,345 2010-12-22 0

    GABLE SCOTT CHIEF OPERATING OFFICER

    • Officer
    10,090 2010-11-16 0

    STETTENBENZ SHANE CHIEF TECHNOLOGY OFFICER

    • Officer
    3,344 2007-08-16 0

    CRUMPTON JAMES C CHIEF CREDIT OFFICER

    • Officer
    75,000 2007-06-04 0

    FARALLON CAPITAL INSTITUTIONAL PARTNERS II LP

    FARALLON CAPITAL INSTITUTIONAL PARTNERS III LP

    TINICUM PARTNERS LP FARALLON

    MILLHAM STEPHEN L

    MOMENT JASON E

    PATEL RAJIV A

    SCHRIER DEREK C

    STEYER THOMAS F

    WEHRLY MARK C

    • 10% Owner
    • MEMBER OF GROUP OWNING 10%MEMBER OF GROUP OWNING 10%MEMBER OF GROUP OWNING 10%MEMBER OF GROUP OWNING 10%MEMBER OF GROUP OWNING 10%MEMBER OF GROUP OWNING 10%MEMBER OF GROUP OWNING 10%MEMBER OF GROUP OWNING 10%MEMBER OF GROUP OWNING 10%
    1,755,293 2006-04-13 0

    FARALLON PARTNERS L L C/CA

    FARALLON CAPITAL PARTNERS LP

    FARALLON CAPITAL INSTITUTIONAL PARTNERS L P

    DING CHUN R

    DUHAMEL WILLIAM F

    FRIED RICHARD B

    LANDRY MONICA R

    MELLIN WILLIAM F

    • 10% Owner
    • MEMBER OF GROUP OWNING 10%MEMBER OF GROUP OWNING 10%MEMBER OF GROUP OWNING 10%MEMBER OF GROUP OWNING 10%MEMBER OF GROUP OWNING 10%MEMBER OF GROUP OWNING 10%MEMBER OF GROUP OWNING 10%MEMBER OF GROUP OWNING 10%
    1,755,293 2006-04-13 0

    FARALLON PARTNERS L L C/CA

    FARALLON CAPITAL INSTITUTIONAL PARTNERS II LP

    FARALLON CAPITAL INSTITUTIONAL PARTNERS III LP

    TINICUM PARTNERS LP FARALLON

    MILLHAM STEPHEN L

    MOMENT JASON E

    PATEL RAJIV A

    SCHRIER DEREK C

    STEYER THOMAS F

    WEHRLY MARK C

    • 10% Owner
    • MEMBER OF GROUP OWNING 10%MEMBER OF GROUP OWNING 10%MEMBER OF GROUP OWNING 10%MEMBER OF GROUP OWNING 10%MEMBER OF GROUP OWNING 10%MEMBER OF GROUP OWNING 10%MEMBER OF GROUP OWNING 10%MEMBER OF GROUP OWNING 10%MEMBER OF GROUP OWNING 10%MEMBER OF GROUP OWNING 10%
    1,318,441 2006-03-17 0

    FARALLON CAPITAL PARTNERS LP

    FARALLON CAPITAL INSTITUTIONAL PARTNERS L P

    DING CHUN R

    DUHAMEL WILLIAM F

    ELLWEIN CHARLES E

    FRIED RICHARD B

    LANDRY MONICA R

    MELLIN WILLIAM F

    • 10% Owner
    • MEMBER OF GROUP OWNING 10%MEMBER OF GROUP OWNING 10%MEMBER OF GROUP OWNING 10%MEMBER OF GROUP OWNING 10%MEMBER OF GROUP OWNING 10%MEMBER OF GROUP OWNING 10%MEMBER OF GROUP OWNING 10%MEMBER OF GROUP OWNING 10%
    1,318,441 2006-03-17 0

    Insider Transactions Last 60 Days

    Reporting Owners Filing Date Trans Date Trans Code Shares Share Price Acquired
    Disposed
    Shares Owned after D/I 10b5 Perf 1d* Perf 5d* Perf 1m* Max Gain Max Gain Days Max Loss Max Loss Days

    CROWELL GAYLE A

    2022-08-01 16:42:26 -0400 2022-08-01 A 4,339 $16.13 a 28,724 direct 0.2546 -0.6109 1.9707 4 -0.8277 3

    KOENIG BRADFORD C. by trust

    2022-08-01 16:42:45 -0400 2022-08-01 A 4,339 $16.13 a 25,728 indirect 0.2546 -0.6109 1.9707 4 -0.8277 3

    KOENIG BRADFORD C. by trust

    2022-08-01 16:42:45 -0400 2022-08-01 A 120 a 21,389 indirect 0.2546 -0.6109 1.9707 4 -0.8277 3

    KOENIG BRADFORD C.

    2022-08-01 16:42:45 -0400 2022-08-01 D 120 d 7,231 direct 0.2546 -0.6109 1.9707 4 -0.8277 3

    LOO WADE

    2022-08-01 16:43:02 -0400 2022-08-01 A 2,170 $16.13 a 6,684 direct 0.2546 -0.6109 1.9707 4 -0.8277 3

    FALLON THOMAS J by trust

    2022-08-01 16:43:31 -0400 2022-08-01 A 230 a 61,834 indirect 0.2546 -0.6109 1.9707 4 -0.8277 3

    FALLON THOMAS J

    2022-08-01 16:43:31 -0400 2022-08-01 A 4,339 $16.13 a 11,570 direct 0.2546 -0.6109 1.9707 4 -0.8277 3

    FALLON THOMAS J

    2022-08-01 16:43:31 -0400 2022-08-01 D 230 d 7,231 direct 0.2546 -0.6109 1.9707 4 -0.8277 3

    RANDHAWA PARAMJEET K

    2022-08-01 16:43:51 -0400 2022-08-01 A 723 $16.13 a 2,694 direct 0.2546 -0.6109 1.9707 4 -0.8277 3

    BLUESTEIN SCOTT CHIEF EXECUTIVE OFFICER

    2022-07-19 16:04:59 -0400 2022-07-17 F 2,844 $13.82 d 1,065,782 direct 1.1716 5.3756 5.3756 6 -0.4135 3

    FOLLMANN CHRISTIAN CHIEF OPERATING OFFICER

    2022-07-14 19:41:50 -0400 2022-07-13 F 418 $13.78 d 48,037 direct 0.7959 4.5586 6.2229 5 0.0 1

    MEYER SETH H CHIEF FINANCIAL OFFICER

    2022-07-14 19:42:07 -0400 2022-07-13 F 3,125 $13.78 d 207,867 direct 0.7959 4.5586 6.2229 5 0.0 1

    BLUESTEIN SCOTT CHIEF EXECUTIVE OFFICER

    2022-07-14 19:41:28 -0400 2022-07-13 F 10,421 $13.78 d 1,068,626 direct 0.7959 4.5586 6.2229 5 0.0 1

    FOLLMANN CHRISTIAN CHIEF OPERATING OFFICER

    2022-07-14 19:41:50 -0400 2022-07-12 F 415 $13.77 d 48,455 direct 0.7959 4.5586 6.2229 5 0.0 1

    MEYER SETH H CHIEF FINANCIAL OFFICER

    2022-07-14 19:42:07 -0400 2022-07-12 F 3,083 $13.77 d 210,992 direct 0.7959 4.5586 6.2229 5 0.0 1

    BLUESTEIN SCOTT CHIEF EXECUTIVE OFFICER

    2022-07-14 19:41:28 -0400 2022-07-12 F 8,740 $13.77 d 1,079,047 direct 0.7959 4.5586 6.2229 5 0.0 1

    LOO WADE

    2022-06-27 20:50:59 -0400 2022-06-23 D 374 d 0 direct -0.2967 2.5964 18.7414 19.6601 24 -0.2986 2

    AGUIRRE DEANNE

    2022-06-27 20:50:37 -0400 2022-06-23 A 5,079 $13.29 a 5,079 direct -0.2967 2.5964 18.7414 19.6601 24 -0.2986 2

    LOO WADE

    2022-06-27 20:50:59 -0400 2022-06-23 A 4,514 $13.29 a 4,514 direct -0.2967 2.5964 18.7414 19.6601 24 -0.2986 2

    LOO WADE by trust

    2022-06-27 20:50:59 -0400 2022-06-23 A 374 a 1,215 indirect -0.2967 2.5964 18.7414 19.6601 24 -0.2986 2

    * -

    Transaction Code Definitions
    Code Definition
    A Grant, award or other acquisition pursuant to Rule 16b-3(d)
    C Conversion of derivative security
    D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e)
    E Expiration of short derivative position
    F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3
    G Bona fide gift
    H Expiration (or cancellation) of long derivative position with value received
    I Discretionary transaction in accordance with Rule 16b-3(f) resulting in acquisition or disposition of issuer securities
    J Other acquisition or disposition
    L Small acquisition under Rule 16a-6
    M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3
    O Exercise of out-of-the-money derivative security
    P Open market or private purchase of non-derivative or derivative security
    S Open market or private sale of non-derivative or derivative security
    U Disposition pursuant to a tender of shares in a change of control transaction
    W Acquisition or disposition by will or the laws of descent and distribution
    X Exercise of in-the-money or at-the-money derivative security
    Z Deposit into or withdrawal from voting trust

    IBR Securities Loan Availability

    Updated throughout the day, this shows the number of shares available to borrow. Data provided by Interactive Brokers

    Security Date/Time Rebate Rate Fee Rate Shares Available
    HERCULES CAPITAL INC HTGC 2022-08-12 22:15:03 UTC -3.7343 6.0543 600000
    HERCULES CAPITAL INC HTGC 2022-08-12 21:45:04 UTC -3.7343 6.0543 600000
    HERCULES CAPITAL INC HTGC 2022-08-12 21:15:04 UTC -3.7343 6.0543 600000
    HERCULES CAPITAL INC HTGC 2022-08-12 20:45:04 UTC -3.7066 6.0266 600000
    HERCULES CAPITAL INC HTGC 2022-08-12 20:15:05 UTC -3.7066 6.0266 600000
    HERCULES CAPITAL INC HTGC 2022-08-12 19:45:03 UTC -3.7066 6.0266 600000
    HERCULES CAPITAL INC HTGC 2022-08-12 19:15:05 UTC -3.7066 6.0266 600000
    HERCULES CAPITAL INC HTGC 2022-08-12 18:45:03 UTC -3.6349 5.9549 600000
    HERCULES CAPITAL INC HTGC 2022-08-12 18:15:04 UTC -3.6349 5.9549 600000
    HERCULES CAPITAL INC HTGC 2022-08-12 17:45:04 UTC -3.6349 5.9549 600000
    HERCULES CAPITAL INC HTGC 2022-08-12 17:15:05 UTC -3.6349 5.9549 600000
    HERCULES CAPITAL INC HTGC 2022-08-12 16:45:04 UTC -3.7605 6.0805 600000
    HERCULES CAPITAL INC HTGC 2022-08-12 16:15:04 UTC -3.7605 6.0805 600000
    HERCULES CAPITAL INC HTGC 2022-08-12 15:45:04 UTC -3.7605 6.0805 550000
    HERCULES CAPITAL INC HTGC 2022-08-12 15:15:05 UTC -3.7605 6.0805 550000
    HERCULES CAPITAL INC HTGC 2022-08-12 14:45:04 UTC -3.7605 6.0805 550000
    HERCULES CAPITAL INC HTGC 2022-08-12 14:15:05 UTC -3.7605 6.0805 550000
    HERCULES CAPITAL INC HTGC 2022-08-12 13:45:04 UTC -3.3047 5.6247 550000
    HERCULES CAPITAL INC HTGC 2022-08-12 13:15:04 UTC -3.3047 5.6247 550000
    HERCULES CAPITAL INC HTGC 2022-08-12 12:45:04 UTC -3.3047 5.6247 550000

    Current Active Short Positions

    Holder Issuer Net Short Position Position Date Origin

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