Hercules Capital Inc (HTGC)

Sector:
FINANCE
Industry:
CONSUMER FINANCE
SIC:
CEO:
Scott Bluestein
Employees:
100
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.

Data derived from most recent annual or quarterly report
Market Cap 1.993 Billion Shares Outstanding136.48 Million Avg 30-day Volume 1.364 Million
P/E Ratio8.8341 Dividend Yield6.5167 EPS-0.03
Price to Revenue2.765 Debt to Equity0.0 EBITDA524.383 Million
Price to Book Value0.0 Operating Margin0.0 Enterprise Value0
Current Ratio EPS Growth0 Quick Ratio
1 Yr BETA 0.9631 52-week High/Low 15.24 / 10.09 Profit Margin64.9527
Operating Cash Flow Growth0.0 Altman Z-Score Free Cash Flow to Firm 0
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Funds Holding HTGC (via 13F filings)

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Recent Filings

Financial Reporting

Ownership

  • 4: filed on 2023-05-25 by LOO WADE
  • 4: filed on 2023-05-25 by FOLLMANN CHRISTIAN
  • 4: filed on 2023-05-25 by FALLON THOMAS J
  • 4: filed on 2023-05-09 by CROWELL GAYLE A
  • 4: filed on 2023-05-03 by BLUESTEIN SCOTT
  • 4: filed on 2023-04-14 by FOLLMANN CHRISTIAN
  • 4: filed on 2023-04-14 by BLUESTEIN SCOTT
  • 4: filed on 2023-04-13 by FOLLMANN CHRISTIAN
  • 4: filed on 2023-04-13 by MEYER SETH H
  • 4: filed on 2023-04-13 by BLUESTEIN SCOTT

    • Events (8k)

  • 8-K: filed on 2023-05-05:
    Item 1.01: Entry into a Material Definitive Agreement
    Item 9.01: Financial Statements and Exhibits
  • 8-K: filed on 2023-05-04:
    Item 2.02: Results of Operations and Financial Condition
    Item 8.01: Other Events
    Item 9.01: Financial Statements and Exhibits
  • 8-K: filed on 2023-03-13:
    Item 8.01: Other Events
    Item 9.01: Financial Statements and Exhibits
  • 8-K: filed on 2023-02-16:
    Item 2.02: Results of Operations and Financial Condition
    Item 8.01: Other Events
    Item 9.01: Financial Statements and Exhibits
  • 8-K: filed on 2023-01-27:
    Item 5.02: Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers
  • 8-K: filed on 2023-01-17:
    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
  • 8-K: filed on 2022-11-02:
    Item 2.02: Results of Operations and Financial Condition
    Item 9.01: Financial Statements and Exhibits
  • 8-K: filed on 2022-10-18:
    Item 8.01: Other Events
    Item 9.01: Financial Statements and Exhibits
  • 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

    • Proposed Sales (Form 144)

    Proxy

    Prospectus

    All

    Open Market Buys/Sells Last 60 Days

    Open Market Buys (P)

    7.7 Thousand total shares from 2 transactions

    Open Market Sells (S)

    455 total shares from 1 transactions

    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

    • Director
    		 39,928 2023-05-23 6

    FALLON THOMAS J

    • Director
    		 84,230 2023-05-23 5

    LOO WADE

    • Director
    		 13,150 2023-05-23 8

    FOLLMANN CHRISTIAN CHIEF OPERATING OFFICER

    • Officer
    		 72,179 2023-05-23 11

    BLUESTEIN SCOTT CHIEF EXECUTIVE OFFICER

    • Officer
    		 2,142,708 2023-05-02 13

    MEYER SETH H CHIEF FINANCIAL OFFICER

    • Officer
    		 293,340 2023-04-12 7

    BOTELHO KIERSTEN ZAZA GENERAL COUNSEL & CCO

    • Officer
    		 27,268 2023-04-10 4

    KOENIG BRADFORD C.

    • Director
    		 66,694 2022-11-17 3

    RANDHAWA PARAMJEET K

    • Director
    		 2,694 2022-08-01 1

    AGUIRRE DEANNE

    • Director
    		 0 2022-06-23 2

    GRACE MELANIE GENERAL COUNSEL & CCO

    • Officer
    		 87,140 2021-09-24 0

    HO DOREEN WOO

    • Director
    		 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

    • Director
    		 262,309 2018-05-21 0

    LUND DAVID MICHAEL INTERIM CHIEF FINANCIAL OFF

    • Officer
    		 73,438 2017-10-31 0

    HARRIS MARK R CHIEF FINANCIAL OFFICER

    • Officer
    		 52,568 2017-10-10 0

    OLSON ANDREW VP FINANCE & SR CONTROLLER

    • Officer
    		 7,446 2017-07-10 0

    LYONS SUSANNE D

    • Director
    		 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

    FOLLMANN CHRISTIAN - Officer CHIEF OPERATING OFFICER

    		2023-05-25 16:18:16 -0400 2023-05-24 S 455 $13.72 d 72,179 direct 2.2853 2.2853 2 0.0 1

    FOLLMANN CHRISTIAN - Officer CHIEF OPERATING OFFICER

    		2023-05-25 16:18:16 -0400 2023-05-24 P 455 $13.73 a 72,634 direct 2.2853 2.2853 2 0.0 1

    LOO WADE - Director by trust

    		2023-05-25 16:18:38 -0400 2023-05-23 A 138 a 8,197 indirect 2.2853 2.2853 2 0.0 1

    FALLON THOMAS J - Director

    		2023-05-25 16:17:44 -0400 2023-05-23 A 218 $13.09 a 6,294 direct 2.2853 2.2853 2 0.0 1

    FALLON THOMAS J - Director

    		2023-05-25 16:17:44 -0400 2023-05-23 D 186 d 6,076 direct 2.2853 2.2853 2 0.0 1

    FALLON THOMAS J - Director by trust

    		2023-05-25 16:17:44 -0400 2023-05-23 A 186 a 77,936 indirect 2.2853 2.2853 2 0.0 1

    CROWELL GAYLE A - Director

    		2023-05-25 16:18:07 -0400 2023-05-23 A 865 $13.87 a 39,928 direct 2.2853 2.2853 2 0.0 1

    CROWELL GAYLE A - Director

    		2023-05-25 16:18:07 -0400 2023-05-23 A 218 $13.09 a 39,063 direct 2.2853 2.2853 2 0.0 1

    FOLLMANN CHRISTIAN - Officer CHIEF OPERATING OFFICER

    		2023-05-25 16:18:16 -0400 2023-05-23 A 253 $13.91 a 72,179 direct 2.2853 2.2853 2 0.0 1

    LOO WADE - Director by trust

    		2023-05-25 16:18:38 -0400 2023-05-23 A 276 $13.91 a 8,473 indirect 2.2853 2.2853 2 0.0 1

    LOO WADE - Director

    		2023-05-25 16:18:38 -0400 2023-05-23 A 162 $13.09 a 4,677 direct 2.2853 2.2853 2 0.0 1

    LOO WADE - Director

    		2023-05-25 16:18:38 -0400 2023-05-23 D 138 d 4,515 direct 2.2853 2.2853 2 0.0 1

    CROWELL GAYLE A - Director

    		2023-05-09 16:17:28 -0400 2023-05-08 P 7,200 $13.66 a 38,845 direct -0.0736 2.1046 2.1046 6 -1.8454 3

    BLUESTEIN SCOTT - Officer CHIEF EXECUTIVE OFFICER

    		2023-05-03 17:27:32 -0400 2023-05-02 D 1,669,089 $13.05 d 0 direct 4.4657 8.2935 8.5327 3 0.0 1

    BLUESTEIN SCOTT - Officer CHIEF EXECUTIVE OFFICER

    		2023-05-03 17:27:32 -0400 2023-05-02 A 1,669,089 $13.05 a 2,892,580 direct 4.4657 8.2935 8.5327 3 0.0 1

    BLUESTEIN SCOTT - Officer CHIEF EXECUTIVE OFFICER

    		2023-05-03 17:27:32 -0400 2023-05-02 F 749,872 $13.05 d 2,142,708 direct 4.4657 8.2935 8.5327 3 0.0 1

    MEYER SETH H - Officer CHIEF FINANCIAL OFFICER

    		2023-04-14 16:15:00 -0400 2023-04-12 F 3,083 $12.45 d 293,340 direct -0.9217 -0.2304 17.5581 17.5581 31 -3.6931 14

    BLUESTEIN SCOTT - Officer CHIEF EXECUTIVE OFFICER

    		2023-04-14 16:14:14 -0400 2023-04-12 F 8,740 $12.45 d 1,223,491 direct -0.9217 -0.2304 17.5581 17.5581 31 -3.6931 14

    FOLLMANN CHRISTIAN - Officer CHIEF OPERATING OFFICER

    		2023-04-14 16:14:31 -0400 2023-04-12 F 415 $12.45 d 71,925 direct -0.9217 -0.2304 17.5581 17.5581 31 -3.6931 14

    BLUESTEIN SCOTT - Officer CHIEF EXECUTIVE OFFICER

    		2023-04-13 19:39:56 -0400 2023-04-11 F 7,815 $12.43 d 1,232,231 direct 3.1696 2.9319 18.5745 18.5745 31 -0.6405 15

    MEYER SETH H - Officer CHIEF FINANCIAL OFFICER

    		2023-04-13 19:40:15 -0400 2023-04-11 F 3,011 $12.43 d 296,423 direct 3.1696 2.9319 18.5745 18.5745 31 -0.6405 15

    FOLLMANN CHRISTIAN - Officer CHIEF OPERATING OFFICER

    		2023-04-13 19:40:37 -0400 2023-04-11 F 412 $12.43 d 72,340 direct 3.1696 2.9319 18.5745 18.5745 31 -0.6405 15

    BOTELHO KIERSTEN ZAZA - Officer GENERAL COUNSEL & CCO

    		2023-04-12 16:49:03 -0400 2023-04-10 F 144 $12.38 d 27,268 direct -0.7862 0.7862 14.9584 14.9584 31 -1.4176 16

    * -

    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 2023-06-01 22:15:04 UTC -5.4282 10.4982 200000
    HERCULES CAPITAL INC HTGC 2023-06-01 21:45:04 UTC -5.4282 10.4982 200000
    HERCULES CAPITAL INC HTGC 2023-06-01 21:15:05 UTC -5.4282 10.4982 200000
    HERCULES CAPITAL INC HTGC 2023-06-01 20:45:03 UTC -5.4282 10.4982 200000
    HERCULES CAPITAL INC HTGC 2023-06-01 20:15:04 UTC -5.3115 10.3815 200000
    HERCULES CAPITAL INC HTGC 2023-06-01 19:45:03 UTC -5.3115 10.3815 200000
    HERCULES CAPITAL INC HTGC 2023-06-01 19:15:04 UTC -5.3115 10.3815 200000
    HERCULES CAPITAL INC HTGC 2023-06-01 18:45:03 UTC -5.8532 10.9232 200000
    HERCULES CAPITAL INC HTGC 2023-06-01 18:15:04 UTC -5.8532 10.9232 60000
    HERCULES CAPITAL INC HTGC 2023-06-01 17:45:04 UTC -5.8532 10.9232 60000
    HERCULES CAPITAL INC HTGC 2023-06-01 17:15:04 UTC -5.8532 10.9232 55000
    HERCULES CAPITAL INC HTGC 2023-06-01 16:45:04 UTC -6.8244 11.8844 55000
    HERCULES CAPITAL INC HTGC 2023-06-01 16:15:04 UTC -6.8244 11.8844 75000
    HERCULES CAPITAL INC HTGC 2023-06-01 15:45:03 UTC -6.8244 11.8844 100000
    HERCULES CAPITAL INC HTGC 2023-06-01 15:15:04 UTC -6.8244 11.8844 100000
    HERCULES CAPITAL INC HTGC 2023-06-01 14:45:04 UTC -6.8244 11.8844 100000
    HERCULES CAPITAL INC HTGC 2023-06-01 14:15:04 UTC -6.8244 11.8844 100000
    HERCULES CAPITAL INC HTGC 2023-06-01 13:45:04 UTC -7.5402 12.6002 100000
    HERCULES CAPITAL INC HTGC 2023-06-01 13:15:04 UTC -7.5402 12.6002 100000
    HERCULES CAPITAL INC HTGC 2023-06-01 12:45:04 UTC -7.5402 12.6002 150000

    Current Active Short Positions

    Holder Issuer Net Short Position Position Date Origin

    No recent transactions

    *** To see all congressional transactions (since 2022) for this stock, please use the congressional transaction search page***

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