HTGC / Hercules Capital, Inc. - Документы SEC, Годовой отчет, Доверенное заявление

Insider Trading Policy.

INSIDER TRADING POLICY Adopted: July 7, 2015 Amended and Restated: November 19, 2019 Ratified: December 3, 2020 Joint Policy Adopted: March 2021 Ratified: December 2021 Ratified: December 2022 Ratified: December 2023 Amended and Restated: September 19, 2024 Amended: March 2025 INSIDER TRADING TABLE OF CONTENTS INSIDER TRADING POLICY Section I.

Code of Business Conduct and Ethics.

CODE OF BUSINESS CONDUCT AND ETHICS Effective: June 6, 2025 CODE OF BUSINESS CONDUCT AND ETHICS TABLE OF CONTENTS Introduction 1 Purpose of the Code 1 Conflicts of Interest 1 Corporate Opportunities 2 Confidentiality 2 Fair Dealing 2 Protection and Proper Use of Company Assets 2 Compliance with Applicable Laws, Rules and Regulations 3 Equal Opportunity, Harassment 3 Retaining Business Records 4 Ac

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For The Quarterly Period Ended June 30, 2025 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 814-00702 HERCULES CAPITAL, INC.

Hercules Capital Declares a Total Cash Distribution of $0.47 per Share for the Second Quarter 2025 The Total Cash Distribution of $0.47 per Share for the Second Quarter 2025 is Comprised of a $0.40 per Share Base Distribution and an $0.07 per Share S

Exhibit 99.2 Hercules Capital Declares a Total Cash Distribution of $0.47 per Share for the Second Quarter 2025 The Total Cash Distribution of $0.47 per Share for the Second Quarter 2025 is Comprised of a $0.40 per Share Base Distribution and an $0.07 per Share Supplemental Distribution SAN MATEO, Calif., July 29, 2025 – Hercules Capital, Inc. (NYSE: HTGC) (“Hercules” or the “Company”), the larges

Code of Ethics.

JOINT CODE OF ETHICS Effective: June 6, 2025 1 This Code of Ethics (the “Code”) has been adopted by the Board of Directors (the “Board”) of Hercules Capital, Inc.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 29, 2025 Hercules Capital, I

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 29, 2025 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commission Fi

Hercules Capital Reports Second Quarter 2025 Financial Results Q2 2025 Total Gross Debt and Equity Commitments of $1.0 Billion Record Q2 2025 Total Gross Fundings of $709.1 Million Record 1H 2025 Total Debt and Equity Commitments of $2.02 Billion Rec

Exhibit 99.1 Hercules Capital Reports Second Quarter 2025 Financial Results Q2 2025 Total Gross Debt and Equity Commitments of $1.0 Billion Record Q2 2025 Total Gross Fundings of $709.1 Million Record 1H 2025 Total Debt and Equity Commitments of $2.02 Billion Record 1H 2025 Total Gross Fundings of $1.25 Billion Record Q2 2025 Net Investment Income "NII" of $88.7 Million Q2 2025 NII of $0.50 per Sh

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 18, 2025 Hercules Capital, I

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 18, 2025 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commission Fi

Entry into a Material Definitive Agreement

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 10, 2025 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commission Fi

Underwriting Agreement, dated June 11, 2025, by and among Hercules Capital, Inc. and Goldman Sachs & Co. LLC and SMBC Nikko Securities America, Inc. as representatives of the several underwriters named on Schedule A.

EX-1.1 Exhibit 1.1 EXECUTION VERSION $350,000,000 Aggregate Principal Amount 6.000% Notes Due 2030 Hercules Capital, Inc. UNDERWRITING AGREEMENT June 11, 2025 Goldman Sachs & Co. LLC SMBC Nikko Securities America, Inc., As Representatives of the several Underwriters c/o Goldman Sachs & Co. LLC 200 West Street New York, New York 10282 c/o SMBC Nikko Securities America, Inc. 277 Park Avenue New York

Ninth Supplemental Indenture, dated as of June 16, 2025, between the Registrant and U.S. Bank Trust Company, National Association.

Exhibit 4.2 Execution Version NINTH SUPPLEMENTAL INDENTURE between HERCULES CAPITAL, INC. and U.S. BANK TRUST COMPANY, NATIONAL ASSOCIATION, as Trustee Dated as of June 16, 2025 NINTH SUPPLEMENTAL INDENTURE THIS NINTH SUPPLEMENTAL INDENTURE (this “Ninth Supplemental Indenture”), dated as of June 16, 2025, is between Hercules Capital, Inc., a Maryland corporation (the “Company”), and U.S. Bank Trus

Fourth Amendment to Loan and Security Agreement, dated as of June 10, 2025, among Hercules Funding IV LLC, as borrower, the lenders from time to time party thereto, and MUFG Bank, Ltd., as agent, a joint lead arranger, swingline lender and sole bookrunner

Exhibit 10.1 Execution Version FOURTH AMENDMENT TO LOAN AND SECURITY AGREEMENT This FOURTH AMENDMENT TO LOAN AND SECURITY AGREEMENT (this “Amendment”) is entered into as of June 10, 2025, by and among HERCULES FUNDING IV LLC, a Delaware limited liability company (“Borrower”), the lenders identified on the signature pages hereof (such lenders, together with their respective successors and assigns,

Table 1: Newly Registered and Carry Forward Securities

Calculation of Filing Fee Tables N-2 Hercules Capital, Inc. Table 1: Newly Registered and Carry Forward Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Carry Forward Form Type Carry Forward File Number Carry Forward Initial Effective Da

Filed Pursuant to Rule 424(b)(2) Registration No. 333-283735 PROSPECTUS SUPPLEMENT (To prospectus dated December 11, 2024) $350,000,000 6.000% Notes due 2030 We are an internally-managed, non-diversified, closed-end investment company that has electe

Filed Pursuant to Rule 424(b)(2) Registration No. 333-283735 PROSPECTUS SUPPLEMENT (To prospectus dated December 11, 2024) $350,000,000 6.000% Notes due 2030 We are an internally-managed, non-diversified, closed-end investment company that has elected to be regulated as a business development company under the Investment Company Act of 1940, as amended, or the 1940 Act. Our investment objective is

SUBJECT TO COMPLETION, DATED JUNE 11, 2025

Table of Contents Filed Pursuant to Rule 424(b)(2) Registration No. 333-283735 The information in this preliminary prospectus supplement is not complete and may be changed. An effective registration statement relating to these securities has been filed with the U.S. Securities and Exchange Commission. This preliminary prospectus supplement and the accompanying prospectus are not an offer to sell t

Hercules Capital, Inc. 6.000% Notes due 2030 PRICING TERM SHEET June 11, 2025

FWP Filed pursuant to Rule 433 Issuer Free Writing Prospectus dated June 11, 2025 Relating to Preliminary Prospectus Supplement dated June 11, 2025 and Prospectus dated December 11, 2024 Registration No.

Financial Statements and Exhibits, Results of Operations and Financial Condition, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 29, 2025 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commission F

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For The Quarterly Period Ended March 31, 2025 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 814-00702 HERCULES CAPITAL, INC.

Hercules Capital Declares a Total Cash Distribution of $0.47 per Share for the First Quarter 2025 The Total Cash Distribution of $0.47 per Share for the First Quarter 2025 is Comprised of a $0.40 per Share Base Distribution and an $0.07 per Share Sup

Exhibit 99.2 Hercules Capital Declares a Total Cash Distribution of $0.47 per Share for the First Quarter 2025 The Total Cash Distribution of $0.47 per Share for the First Quarter 2025 is Comprised of a $0.40 per Share Base Distribution and an $0.07 per Share Supplemental Distribution SAN MATEO, Calif., April 29, 2025 – Hercules Capital, Inc. (NYSE: HTGC) (“Hercules” or the “Company”), the largest

Hercules Capital Reports First Quarter 2025 Financial Results Q1 2025 Total Gross Debt and Equity Commitments of $1.02 Billion Q1 2025 Total Gross Fundings of $539.1 Million Q1 2025 Total Investment Income of $119.5 Million Q1 2025 Net Investment Inc

Exhibit 99.1 Hercules Capital Reports First Quarter 2025 Financial Results Q1 2025 Total Gross Debt and Equity Commitments of $1.02 Billion Q1 2025 Total Gross Fundings of $539.1 Million Q1 2025 Total Investment Income of $119.5 Million Q1 2025 Net Investment Income “NII” of $77.5 Million, or $0.45 per Share Q1 2025 NII of $0.45 per Share provides 113% Coverage of the Base Cash Distribution Receiv

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Check the appropriate box:  ☐ Preliminary Proxy Statement  ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2))  ☐ Definitive Proxy Statement  ☒ Definitive Add

DEF 14A

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Definitive Proxy Statement o Definiti

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Check the appropriate box: x Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Definitive Proxy Statement o Definiti

Regulation FD Disclosure, Entry into a Material Definitive Agreement

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 10, 2025 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commission F

Indenture, dated March 10, 2025, between Hercules Capital, Inc. and U.S. Bank Trust Company, National Association, as Trustee

Exhibit 4.1 Execution Version HERCULES CAPITAL, INC. AND U.S. BANK TRUST COMPANY, NATIONAL ASSOCIATION, as Trustee INDENTURE Dated as of March 10, 2025 4.750% Convertible Senior Notes due 2028 TABLE OF CONTENTS PAGE ARTICLE 1 DEFINITIONS Section 1.01 Definitions 1 Section 1.02 References to Interest 12 ARTICLE 2 ISSUE, DESCRIPTION, EXECUTION, REGISTRATION AND EXCHANGE OF NOTES Section 2.01 Designa

Hercules Capital Closes Offering of $287.5 Million of Convertible Unsecured Notes Convertible Unsecured Notes due 2028 Initially Assigned a BBB+ by Kroll Bond Rating Agency

EX-99.1 Exhibit 99.1 Hercules Capital Closes Offering of $287.5 Million of Convertible Unsecured Notes Convertible Unsecured Notes due 2028 Initially Assigned a BBB+ by Kroll Bond Rating Agency SAN MATEO, Calif., March 10, 2025 – Hercules Capital, Inc. (NYSE: HTGC) (“Hercules” or the “Company”), today announced that it has closed a private offering of $287.5 million aggregate principal amount of i

Regulation FD Disclosure

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 5, 2025 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commission Fi

Hercules Capital Prices $250.0 Million of Convertible Unsecured Notes

Exhibit 99.1 Hercules Capital Prices $250.0 Million of Convertible Unsecured Notes SAN MATEO, Calif., March 5, 2025 – Hercules Capital, Inc. (NYSE: HTGC) (“Hercules” or the “Company”), today announced that it has agreed to sell to the initial purchasers in a private offering, $250.0 million aggregate principal amount of its 4.75% Convertible Unsecured Notes due 2028 (the “Convertible Notes”). The

Hercules Capital Announces Offering of $250.0 Million of Convertible Unsecured Notes

Exhibit 99.1 Hercules Capital Announces Offering of $250.0 Million of Convertible Unsecured Notes SAN MATEO, Calif., March 5, 2025 – Hercules Capital, Inc. (NYSE: HTGC) (“Hercules” or the “Company”), today announced that it plans to make an offering of $250.0 million aggregate principal amount of its Convertible Unsecured Notes due 2028 (the “Convertible Notes”). The Company plans to grant the ini

Regulation FD Disclosure

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 5, 2025 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commission Fi

Hercules Capital Declares a Total Cash Distribution of $0.47 per Share for the Fourth Quarter 2024 The Total Cash Distribution of $0.47 per Share for the Fourth Quarter 2024 is Comprised of a Base Distribution of $0.40 per Share and a New Supplementa

Exhibit 99.2 Hercules Capital Declares a Total Cash Distribution of $0.47 per Share for the Fourth Quarter 2024 The Total Cash Distribution of $0.47 per Share for the Fourth Quarter 2024 is Comprised of a Base Distribution of $0.40 per Share and a New Supplemental Distribution of $0.07 per Share SAN MATEO, Calif., February 11, 2025 – Hercules Capital, Inc. (NYSE: HTGC) (“Hercules” or the “Company”

List of Subsidiaries.

Exhibit 21.1 List of Subsidiaries (as of December 31, 2024) Name Jurisdiction of Organization Hercules Capital IV, L.P. Delaware Hercules SBIC V L.P. Delaware Hercules Funding IV, LLC Delaware Hercules Capital Funding 2022-1 LLC Delaware Hercules Capital Funding Trust 2022-1 Delaware Hercules Technology Management LLC Delaware Hercules Technology Management Co II, Inc. Delaware Hercules Technology

Hercules Capital Announces New Supplemental Cash Distribution of $0.28 per Share The New Supplemental Cash Distribution is in Addition to the Regular Quarterly Cash Distributions and will be Distributed Equally over Four Quarters Beginning with the F

Exhibit 99.3 Hercules Capital Announces New Supplemental Cash Distribution of $0.28 per Share The New Supplemental Cash Distribution is in Addition to the Regular Quarterly Cash Distributions and will be Distributed Equally over Four Quarters Beginning with the Fourth Quarter of 2024 Distribution Payable in March of 2025 SAN MATEO, Calif., February 11, 2025 – Hercules Capital, Inc. (NYSE: HTGC) (“

Description of the Registrant’s Securities.

Exhibit 4(h) DESCRIPTION OF OUR SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 As of December 31, 2024, Hercules Capital, Inc.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2024 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 814-00702 HERCULES CAPITAL

Financial Statements and Exhibits, Results of Operations and Financial Condition, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 11, 2025 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commissio

Insider Trading Policy.

Exhibit 19.1 INSIDER TRADING POLICY Adopted: July 7, 2015 Amended and Restated: November 19, 2019 Ratified: December 3, 2020 Joint Policy Adopted: March 2021 Ratified: December 2021 Ratified: December 2022 Ratified: December 2023 Amended and Restated: September 19, 2024 Exhibit 19.1 INSIDER TRADING TABLE OF CONTENTS INSIDER TRADING POLICY Section I. Policy Summary 1 Section II. Business and Financ

Hercules Capital Reports Fourth Quarter and Full-Year 2024 Financial Results Record Full-Year 2024 Total Investment Income of $493.6 Million, an Increase of 7.1% Year-over-Year Record Full-Year 2024 Net Investment Income “NII” of $325.8 Million, an I

Exhibit 99.1 Hercules Capital Reports Fourth Quarter and Full-Year 2024 Financial Results Record Full-Year 2024 Total Investment Income of $493.6 Million, an Increase of 7.1% Year-over-Year Record Full-Year 2024 Net Investment Income “NII” of $325.8 Million, an Increase of 7.2% Year-over-Year Record Full-Year 2024 Gross Fundings of $1.81 Billion, an Increase of 13.0% Year-over-Year Q4 2024 NII of

Entry into a Material Definitive Agreement

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 5, 2025 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commission

Third Amendment to Letter of Credit Facility Agreement, dated as of February 5, 2025, between Hercules Capital, Inc. and Sumitomo Mitsui Banking Corporation.

Exhibit 10.1 EXECUTION COPY THIRD AMENDMENT TO LETTER OF CREDIT FACILITY AGREEMENT THIS THIRD AMENDMENT TO LETTER OF CREDIT FACILITY AGREEMENT, dated as of February 5, 2025 (this “Amendment”), is among HERCULES CAPITAL, INC., a Maryland corporation (the “Borrower”), and SUMITOMO MITSUI BANKING CORPORATION, as Issuing Bank (the “Issuing Bank”). W I T N E S S E T H: WHEREAS, the Borrower and the Iss

EX. 107 FILING FEES Calculation of Filing Fee Tables 424(b)(2) (Form Type) Hercules Capital, Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered and Carry Forward Securities Security Type Security Class Title Fee Cal

EX. 107 FILING FEES Calculation of Filing Fee Tables 424(b)(2) (Form Type) Hercules Capital, Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered and Carry Forward Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registra

Filed Pursuant to Rule 424(b)(2) Registration No. 333-283735 PROSPECTUS SUPPLEMENT (To prospectus dated December 11, 2024) Up to 30,000,000 Shares of Common Stock About this offering. We are offering to sell up to 30,000,000 shares of our common stoc

Table of Contents Filed Pursuant to Rule 424(b)(2) Registration No. 333-283735 PROSPECTUS SUPPLEMENT (To prospectus dated December 11, 2024) Up to 30,000,000 Shares of Common Stock About this offering. We are offering to sell up to 30,000,000 shares of our common stock from time to time through our “ Sales Agents ”, Jefferies LLC and Citizens JMP Securities, LLC. Any such sales may be made in nego

Form of Equity Distribution Agreement

Exhibit 10.1 HERCULES CAPITAL, INC. Common Stock, $0.001 par value per share EQUITY DISTRIBUTION AGREEMENT Dated December [ ], 2024 TABLE OF CONTENTS SECTION 1. Description of Shares 1 SECTION 2. Placements 2 SECTION 3. Sale of Placement Securities by the Sales Manager 3 SECTION 4. Suspension of Sales 4 SECTION 5. Representations and Warranties 4 SECTION 6. Sale and Delivery to the Sales Manager;

Current Report

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 12, 2024 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commissio

Filing Fee Table

Exhibit (s) EX. FILING FEES Calculation of Filing Fee Tables Form N-2 (Form Type) Hercules Capital, Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Ca

Consent of Dechert LLP (included in Exhibit l.1).

Exhibit L.1 Three Bryant Park 1095 Avenue of the Americas New York, NY 10036-6797 + 1 212 698 3599 Main + 1 212 698 3599 Fax www.dechert.com December 11, 2024 Hercules Capital, Inc. 1 N B Street, Suite 2000 San Mateo, CA 94401 Re: Registration Statement on Form N-2 Ladies and Gentlemen: We have acted as special counsel to Hercules Capital, Inc., a Maryland corporation (the “Company”), in connectio

Consent of PricewaterhouseCoopers LLP.

Exhibit n.1 CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the incorporation by reference in this Registration Statement on Form N-2 of Hercules Capital, Inc. of our report dated February 15, 2024, relating to the financial statements, financial statement schedules and the effectiveness of internal control over financial reporting, which appears in Hercules Capital,

As filed with the Securities and Exchange Commission on December 11, 2024

Table of Contents As filed with the Securities and Exchange Commission on December 11, 2024 Securities Act File No.

Entry into a Material Definitive Agreement, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 26, 2024 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commissio

Hercules Capital Renews and Increases Its Multi-Currency SMBC Credit Facility to $300.0 Million

Exhibit 99.1 Hercules Capital Renews and Increases Its Multi-Currency SMBC Credit Facility to $300.0 Million SAN MATEO, Calif., December 2, 2024 - Hercules Capital, Inc. (NYSE: HTGC) (“Hercules” or the “Company”), the largest and leading specialty financing provider to innovative venture, growth and established stage companies backed by some of the leading and top-tier venture capital and select p

Fifth Amendment to Revolving Credit Agreement, dated as of November 26, 2024, between the Registrant, the lenders party thereto and Sumitomo Mitsui Banking Corporation, as administrative agent

Exhibit 4.1 EXECUTION COPY FIFTH AMENDMENT TO REVOLVING CREDIT AGREEMENT THIS FIFTH AMENDMENT TO REVOLVING CREDIT AGREEMENT, dated as of November 26, 2024 (this “Amendment”), is among HERCULES CAPITAL, INC., a Maryland corporation (the “Borrower”), the LENDERS party hereto and SUMITOMO MITSUI BANKING CORPORATION (“SMBC”), as Administrative Agent (in such capacity, the “Administrative Agent”) and a

Hercules Capital Declares a Total Cash Distribution of $0.48 per Share for the Third Quarter 2024 The Total Cash Distribution of $0.48 per Share for the Third Quarter 2024 is Comprised of a $0.40 per Share Base Distribution and an $0.08 per Share Sup

Exhibit 99.2 Hercules Capital Declares a Total Cash Distribution of $0.48 per Share for the Third Quarter 2024 The Total Cash Distribution of $0.48 per Share for the Third Quarter 2024 is Comprised of a $0.40 per Share Base Distribution and an $0.08 per Share Supplemental Distribution SAN MATEO, Calif., October 28, 2024 – Hercules Capital, Inc. (NYSE: HTGC) (“Hercules” or the “Company”), the large

Hercules Capital Reports Third Quarter 2024 Financial Results Record Q3 2024 Total Investment Income of $125.2 Million, an Increase of 7.3% Year-over-Year Q3 2024 Net Investment Income “NII” of $83.2 Million, or $0.51 per Share, an Increase of 8.3% Y

Exhibit 99.1 Hercules Capital Reports Third Quarter 2024 Financial Results Record Q3 2024 Total Investment Income of $125.2 Million, an Increase of 7.3% Year-over-Year Q3 2024 Net Investment Income “NII” of $83.2 Million, or $0.51 per Share, an Increase of 8.3% Year-over-Year Q3 2024 NII Provides 128% Coverage of the Base Cash Distribution Q3 2024 Total Gross Debt and Equity Commitments of $430.7

COURTESY COPY OF HTGC 10Q 2024.09.30

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For The Quarterly Period Ended September 30, 2024 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 814-00702 HERCULES CAPITAL, INC.

Articles of Amendment, dated October 28, 2024.

Exhibit 3(f) HERCULES CAPITAL, INC. Articles of Amendment Hercules Capital, Inc., a Maryland corporation (the “Corporation”), hereby certifies to the State Department of Assessments and Taxation of Maryland (the “Department”) that: FIRST: The Corporation desires to, and does hereby, amend its charter (the “Charter”) as currently in effect as hereafter set forth. SECOND: The Charter is hereby amend

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For The Quarterly Period Ended September 30, 2024 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 814-00702 HERCULES CAPITAL, INC.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 28, 2024 Hercules Capital

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 28, 2024 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commission

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Cira Centre 2929 Arch St. Philadelphia, PA 19104 +1 215 994 4000 Main www.dechert.com IAN A.HARTMAN [email protected] +1 215 994 2277 Direct October 28, 2024 VIA EDGAR Christina DiAngelo Fettig Senior Staff Accountant Division of Investment Management, Disclosure Review Office U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Hercules Capital, Inc. Annual

Current Report

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 15, 2024 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commission

Filed Pursuant to Rule 424(b)(3) Registration No. 333-261732

Table of Contents Filed Pursuant to Rule 424(b)(3) Registration No. 333-261732 AMENDMENT NO. 2 DATED AUGUST 16, 2024 (To prospectus supplement dated May 5, 2023 and prospectus dated December 17, 2021) Up to 25,000,000 Shares of Common Stock This Amendment No. 2 to the Prospectus Supplement, or this amendment, amends our prospectus supplement dated May 5, 2023 (as amended), or the prospectus supple

Hercules Capital Declares a Total Cash Distribution of $0.48 per Share for the Second Quarter 2024 The Total Cash Distribution of $0.48 per Share for the Second Quarter 2024 is Comprised of a $0.40 per Share Base Distribution and an $0.08 per Share S

Exhibit 99.2 Hercules Capital Declares a Total Cash Distribution of $0.48 per Share for the Second Quarter 2024 The Total Cash Distribution of $0.48 per Share for the Second Quarter 2024 is Comprised of a $0.40 per Share Base Distribution and an $0.08 per Share Supplemental Distribution SAN MATEO, Calif., July 30, 2024 – Hercules Capital, Inc. (NYSE: HTGC) (“Hercules” or the “Company”), the larges

Fourth Amendment to Revolving Credit Agreement, dated of June 28, 2024, among Hercules Capital Inc., the lenders party thereto and Sumitomo Mitsui Banking Corporation, as administrative agent

Exhibit 10.2 EXECUTION COPY FOURTH AMENDMENT TO REVOLVING CREDIT AGREEMENT THIS FOURTH AMENDMENT TO REVOLVING CREDIT AGREEMENT, dated as of June 28, 2024 (this “Amendment”), is among HERCULES CAPITAL, INC., a Maryland corporation (the “Borrower”), and SUMITOMO MITSUI BANKING CORPORATION, as Administrative Agent (the “Administrative Agent”). W I T N E S S E T H: WHEREAS, the Borrower, the Lenders a

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For The Quarterly Period Ended June 30, 2024 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 814-00702 HERCULES CAPITAL, INC.

Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 30, 2024 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commission Fi

COURTESY COPY OF HTGC 10Q 2024.06.30

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For The Quarterly Period Ended June 30, 2024 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 814-00702 HERCULES CAPITAL, INC.

Second Amendment to Letter of Credit Facility Agreement, dated as of June 28, 2024, between Hercules Capital, Inc. and Sumitomo Mitsui Banking Corporation, as issuing bank

Exhibit 10.1 EXECUTION COPY SECOND AMENDMENT TO LETTER OF CREDIT FACILITY AGREEMENT THIS SECOND AMENDMENT TO LETTER OF CREDIT FACILITY AGREEMENT, dated as of June 28, 2024 (this “Amendment”), is among HERCULES CAPITAL, INC., a Maryland corporation (the “Borrower”), and SUMITOMO MITSUI BANKING CORPORATION, as Issuing Bank (the “Issuing Bank”). W I T N E S S E T H: WHEREAS, the Borrower and the Issu

Hercules Capital Reports Second Quarter 2024 Financial Results Q2 2024 Total Gross Debt and Equity Commitments of $686.5 Million Record Q2 2024 Total Gross Fundings of $461.5 Million, an Increase of 28.7% Year-over-Year Record Q2 2024 Total Investmen

Exhibit 99.1 Hercules Capital Reports Second Quarter 2024 Financial Results Q2 2024 Total Gross Debt and Equity Commitments of $686.5 Million Record Q2 2024 Total Gross Fundings of $461.5 Million, an Increase of 28.7% Year-over-Year Record Q2 2024 Total Investment Income of $125.0 Million, an Increase of 7.5% Year-over-Year Q2 2024 Net Investment Income “NII” of $82.4 Million, or $0.51 per Share,

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 17, 2024 Hercules Capital, I

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 17, 2024 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commission Fi

Hercules Capital Receives SBA Approval for Its Fourth SBIC License

EX-99.1 Exhibit 99.1 Hercules Capital Receives SBA Approval for Its Fourth SBIC License SAN MATEO, Calif., July 17, 2024 – Hercules Capital, Inc. (NYSE: HTGC) (“Hercules” or the “Company”), the largest and leading specialty financing provider to innovative venture, growth and established stage companies backed by some of the leading and top-tier venture capital and select private equity firms, tod

Current Report

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 20, 2024 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commission Fi

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For The Quarterly Period Ended March 31, 2024 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 814-00702 HERCULES CAPITAL, INC.

Hercules Capital Reports First Quarter 2024 Financial Results Record Q1 2024 Total Gross Debt and Equity Commitments of $956.0 Million, an Increase of 81.7% Year-over-Year Record Q1 2024 Total Gross Fundings of $605.2 Million, an Increase of 27.1% Ye

Exhibit 99.1 Hercules Capital Reports First Quarter 2024 Financial Results Record Q1 2024 Total Gross Debt and Equity Commitments of $956.0 Million, an Increase of 81.7% Year-over-Year Record Q1 2024 Total Gross Fundings of $605.2 Million, an Increase of 27.1% Year-over-Year Q1 2024 Total Investment Income of $121.6 Million, an Increase of 15.7% Year-over-Year Q1 2024 Net Investment Income “NII” o

Hercules Capital Declares a Total Cash Distribution of $0.48 per Share for the First Quarter 2024 The Total Cash Distribution of $0.48 per Share for the First Quarter 2024 is Comprised of a $0.40 per Share Base Distribution and an $0.08 per Share Sup

Exhibit 99.2 Hercules Capital Declares a Total Cash Distribution of $0.48 per Share for the First Quarter 2024 The Total Cash Distribution of $0.48 per Share for the First Quarter 2024 is Comprised of a $0.40 per Share Base Distribution and an $0.08 per Share Supplemental Distribution SAN MATEO, Calif., April 30, 2024 – Hercules Capital, Inc. (NYSE: HTGC) (“Hercules” or the “Company”), the largest

COURTESY COPY OF HTGC-2024.03.31-10Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For The Quarterly Period Ended March 31, 2024 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 814-00702 HERCULES CAPITAL, INC.

Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 30, 2024 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commission F

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Check the appropriate box:  ☐ Preliminary Proxy Statement  ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2))  ☒ Definitive Proxy Statement  ☐ Defi

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CORRESP Cira Centre 2929 Arch Street Philadelphia, PA 19104-2808 +1 215 994 4000 Main +1 215 994 2321 Fax www.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Check the appropriate box:  ☒ Preliminary Proxy Statement  ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2))  ☐ Definitive Proxy Statement  ☐ Defi

Hercules Capital Reports Fourth Quarter and Full-Year 2023 Financial Results Record Q4 2023 Total Investment Income of $122.6 Million, an Increase of 22.4% Year-over-Year Record Q4 2023 Net Investment Income “NII” of $86.0 Million, or $0.56 per Share

Exhibit 99.1 Hercules Capital Reports Fourth Quarter and Full-Year 2023 Financial Results Record Q4 2023 Total Investment Income of $122.6 Million, an Increase of 22.4% Year-over-Year Record Q4 2023 Net Investment Income “NII” of $86.0 Million, or $0.56 per Share, an Increase of 38.5% Year-over-Year Record Full-Year 2023 Total Investment Income of $460.7 Million, an Increase of 43.2% Year-over-Yea

Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 13, 2024 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commissio

COURTESY COPY OF HTGC-2023.12.31-10K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2023 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 814-00702 HERCULES CAPITAL

Description of the Registrant’s Securities.

Exhibit 4(m) DESCRIPTION OF OUR SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 As of December 31, 2023, Hercules Capital, Inc.

Form of Clawback Policy.

Exhibit 97 HERCULES CAPITAL, INC. CLAWBACK POLICY The Board of Directors (the Board) of Hercules Capital, Inc. (the Company) believes that it is in the best interests of the Company and its shareholders to adopt this Clawback Policy (the Policy), which provides for the recovery of certain incentive compensation in the event of an Accounting Restatement (as defined below). This Policy is designed t

Hercules Capital Declares a Total Cash Distribution of $0.48 per Share for the Fourth Quarter 2023 The Total Cash Distribution of $0.48 per Share for the Fourth Quarter 2023 is Comprised of a Base Distribution of $0.40 per Share and a New Supplementa

Exhibit 99.2 Hercules Capital Declares a Total Cash Distribution of $0.48 per Share for the Fourth Quarter 2023 The Total Cash Distribution of $0.48 per Share for the Fourth Quarter 2023 is Comprised of a Base Distribution of $0.40 per Share and a New Supplemental Distribution of $0.08 per Share SAN MATEO, Calif., February 13, 2024 – Hercules Capital, Inc. (NYSE: HTGC) (“Hercules” or the “Company”

Code of Ethics.

Exhibit 14.1 JOINT CODE OF ETHICS This Code of Ethics (the “Code”) has been adopted by the Board of Directors (the “Board”) of Hercules Capital, Inc. (“Hercules Capital”) in accordance with Rule 17j-l(c) under the Investment Company Act of 1940, as amended (the “1940 Act”), and by Hercules Adviser LLC (the “Adviser” and together with Hercules Capital, “Hercules”), in accordance with Rule 204A-1 of

Hercules Capital Announces New Supplemental Cash Distribution of $0.32 per Share The New Supplemental Cash Distribution is in Addition to the Regular Quarterly Cash Distributions and will be Distributed Equally over Four Quarters Beginning with the F

Exhibit 99.3 Hercules Capital Announces New Supplemental Cash Distribution of $0.32 per Share The New Supplemental Cash Distribution is in Addition to the Regular Quarterly Cash Distributions and will be Distributed Equally over Four Quarters Beginning with the Fourth Quarter of 2023 Distribution Payable in March of 2024 The New Supplemental Cash Distribution of $0.08 per Share for the Fourth Quar

Code of Business Conduct and Ethics.

Exhibit 14.2 CODE OF BUSINESS CONDUCT AND ETHICS Ratified: December 7, 2023 Exhibit 14.2 CODE OF BUSINESS CONDUCT AND ETHICS TABLE OF CONTENTS Introduction................................................................................................................. 1 Purpose of the code..................................................................................................... 1 Confli

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2023 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 814-00702 HERCULES CAPITAL

List of Subsidiaries.

Exhibit 21.1 List of Subsidiaries (as of December 31, 2023) Name Jurisdiction of Organization Hercules Capital IV, L.P. Delaware Hercules SBIC 4 L.P. Delaware Hercules Funding IV, LLC Delaware Hercules Capital Funding 2022-1 LLC Delaware Hercules Capital Funding Trust 2022-1 Delaware Hercules Technology Management LLC Delaware Hercules Technology Management Co II, Inc. Delaware Hercules Technology

Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 31, 2023 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commission

COURTESY COPY OF HTGC_Q3_9.30.2023_10-Q_I

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For The Quarterly Period Ended September 30, 2023 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 814-00702 HERCULES CAPITAL, INC.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For The Quarterly Period Ended September 30, 2023 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 814-00702 HERCULES CAPITAL, INC.

Hercules Capital Declares a Total Cash Distribution of $0.48 per Share for the Third Quarter 2023 The Total Cash Distribution of $0.48 per Share for the Third Quarter 2023 is Comprised of a $0.40 per Share Base Distribution and an $0.08 per Share Sup

Exhibit 99.2 Hercules Capital Declares a Total Cash Distribution of $0.48 per Share for the Third Quarter 2023 The Total Cash Distribution of $0.48 per Share for the Third Quarter 2023 is Comprised of a $0.40 per Share Base Distribution and an $0.08 per Share Supplemental Distribution PALO ALTO, Calif., October 31, 2023 – Hercules Capital, Inc. (NYSE: HTGC) (“Hercules” or the “Company”), the large

Hercules Capital Reports Third Quarter 2023 Financial Results Record Q3 2023 Total Investment Income of $116.7 Million, an Increase of 38.6% Year-over-Year Record Q3 2023 Net Investment Income “NII” of $76.8 Million, or $0.52 per Share, an Increase o

Exhibit 99.1 Hercules Capital Reports Third Quarter 2023 Financial Results Record Q3 2023 Total Investment Income of $116.7 Million, an Increase of 38.6% Year-over-Year Record Q3 2023 Net Investment Income “NII” of $76.8 Million, or $0.52 per Share, an Increase of 53.6% Year-over-Year Record Year-to-Date ending Q3 2023 Total Gross Fundings of $1.29 billion, an Increase of 17.7% Year-over Year Q3 2

Hercules Capital Announces the Appointment of Mr. Nikos Theodosopoulos to Its Board of Directors

Exhibit 99.1 Hercules Capital Announces the Appointment of Mr. Nikos Theodosopoulos to Its Board of Directors PALO ALTO, Calif., September 25, 2023 – Hercules Capital, Inc. (NYSE: HTGC) (“Hercules” or the “Company”), the largest and leading specialty financing provider to innovative venture, growth and established stage companies backed by some of the leading and top-tier venture capital and selec

Current Report

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 21, 2023 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commissi

Up to 25,000,000 Shares of Common Stock

Table of Contents Filed Pursuant to Rule 424(b)(3) Registration No. 333-261732 AMENDMENT NO. 1 DATED AUGUST 18, 2023 (To prospectus supplement dated May 5, 2023 and prospectus dated December 17, 2021) Up to 25,000,000 Shares of Common Stock This Amendment No. 1 to the Prospectus Supplement, or this amendment, amends our prospectus supplement dated May 5, 2023, or the prospectus supplement. This am

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 7, 2023 Hercules Capital,

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 7, 2023 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commission F

Underwriting Agreement, dated August 7, 2023, by and among Hercules Capital, Inc. and Morgan Stanley & Co. LLC, UBS Securities LLC and Wells Fargo Securities, LLC as representatives of the several underwriters named on Schedule I.

Exhibit 1.1 EXECUTION VERSION 6,500,000 Shares Hercules Capital, Inc. Common Stock UNDERWRITING AGREEMENT August 7, 2023 Morgan Stanley & Co. LLC 1585 Broadway New York, NY 10036 UBS Securities LLC 1285 Avenue of the Americas New York, NY 10019 Wells Fargo Securities, LLC 500 West 33rd Street, 14th Floor New York, NY 10001 As Representatives of the several Underwriters named in Schedule I hereto L

Filed Pursuant to Rule 424(b)(2) Registration No. 333-261732 PROSPECTUS SUPPLEMENT (To prospectus dated December 17, 2021) 6,500,000 Shares of Common Stock We are offering 6,500,000 shares of our common stock. Our common stock trades on the New York

Table of Contents Filed Pursuant to Rule 424(b)(2) Registration No. 333-261732 PROSPECTUS SUPPLEMENT (To prospectus dated December 17, 2021) 6,500,000 Shares of Common Stock We are offering 6,500,000 shares of our common stock. Our common stock trades on the New York Stock Exchange (“NYSE”) under the ticker symbol “HTGC.” The last reported sale price on the NYSE of our common stock on August 4, 20

Calculation of Filing Fee Tables (Form Type) Hercules Capital, Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered and Carry Forward Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule

Exhibit 107 Calculation of Filing Fee Tables 424(b)(2) (Form Type) Hercules Capital, Inc.

SUBJECT TO COMPLETION, DATED AUGUST 7, 2023

424B2 Table of Contents Filed Pursuant to Rule 424(b)(2) Registration No. 333-261732 This preliminary prospectus supplement relates to an effective registration statement under the Securities Act of 1933, as amended, but is not complete and may be changed. This preliminary prospectus supplement is not an offer to sell these securities and it is not soliciting an offer to buy these securities in an

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For The Quarterly Period Ended June 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 814-00702 HERCULES CAPITAL, INC.

COURTESY COPY OF HTGC_Q2_6.30.2023_10-Q_I

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For The Quarterly Period Ended June 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 814-00702 HERCULES CAPITAL, INC.

Hercules Capital Reports Second Quarter 2023 Financial Results Record Q2 2023 Total Investment Income of $116.2 Million, an Increase of 61.2% Year-over-Year Record Q2 2023 Net Investment Income “NII” of $75.7 Million, or $0.53 per Share, an Increase

EX-99.1 Exhibit 99.1 Hercules Capital Reports Second Quarter 2023 Financial Results Record Q2 2023 Total Investment Income of $116.2 Million, an Increase of 61.2% Year-over-Year Record Q2 2023 Net Investment Income “NII” of $75.7 Million, or $0.53 per Share, an Increase of 88.6% Year-over-Year Record 1H 2023 Total Gross Fundings of $834.8 million, an Increase of 5.6% Year-over Year Increased the C

Financial Statements and Exhibits, Results of Operations and Financial Condition, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 1, 2023 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commission F

Hercules Capital Increases Its Total Cash Distribution to $0.48 per Share for the Second Quarter 2023 The Increased Total Cash Distribution of $0.48 per Share for the Second Quarter 2023 is Comprised of a New Base Distribution of $0.40 per Share, Inc

EX-99.2 Exhibit 99.2 Hercules Capital Increases Its Total Cash Distribution to $0.48 per Share for the Second Quarter 2023 The Increased Total Cash Distribution of $0.48 per Share for the Second Quarter 2023 is Comprised of a New Base Distribution of $0.40 per Share, Increased from $0.39 per Share Previously, and an $0.08 per Share Supplemental Distribution PALO ALTO, Calif., August 1, 2023 – Herc

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 20, 2023 Hercules Capital, I

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 20, 2023 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commission Fi

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 22, 2023 Hercules Capital, I

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 22, 2023 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commission Fi

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ De

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

DEFA14A 1 d516827ddefa14a.htm DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permi

Joint Filing Agreement.

Exhibit 99.1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1) promulgated under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree to the joint filing with each of the Reporting Persons (as such term is defined in the Schedule 13G referred to below) on behalf of each of them of a statement on Schedule 13G (including amendments thereto) with respect to the share

HTGC / Hercules Capital Inc / Kingdom Holding Co. - SCHEDULE 13G Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* HERCULES CAPITAL, INC. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 427096508 (CUSIP Number) April 27, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 5, 2023 Hercules Capital, Inc

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 5, 2023 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commission File

Form of Equity Distribution Agreement

EX-10.1 Exhibit 10.1 HERCULES CAPITAL, INC. Common Stock, $0.001 par value per share EQUITY DISTRIBUTION AGREEMENT Dated May [•], 2023 TABLE OF CONTENTS SECTION 1. Description of Shares 1 SECTION 2. Placements 2 SECTION 3. Sale of Placement Securities by the Sales Manager 3 SECTION 4. Suspension of Sales 4 SECTION 5. Representations and Warranties 4 SECTION 6. Sale and Delivery to the Sales Manage

Calculation of Filing Fee Tables (Form Type) Hercules Capital, Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered and Carry Forward Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule

EX-FILING FEES Exhibit (s) EX. FILING FEES Calculation of Filing Fee Tables 424(b)(2) (Form Type) Hercules Capital, Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered and Carry Forward Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee

Up to 25,000,000 Shares of Common Stock

424B2 Table of Contents Filed Pursuant to Rule 424(b)(2) Registration No. 333-261732 PROSPECTUS SUPPLEMENT (To prospectus dated December 17, 2021) Up to 25,000,000 Shares of Common Stock About this offering. We are offering to sell up to 25,000,000 shares of our common stock from time to time through our Sales Agents, Jefferies LLC and JMP Securities LLC. Any such sales may be made in negotiated t

Quarterly Report on Form 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For The Quarterly Period Ended March 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 814-00702 HERCULES CAPITAL, INC.

First Amendment to Letter of Credit Facility, dated as of March 21, 2023, among Hercules Capital, Inc. and Sumitomo Mitsui Banking Corporation

EXECUTION COPY FIRST AMENDMENT TO LETTER OF CREDIT FACILITY AGREEMENT THIS FIRST AMENDMENT TO LETTER OF CREDIT FACILITY AGREEMENT, dated as of March 21, 2023 (this “Amendment”), is among Hercules Capital, Inc.

Hercules Capital Declares a Total Cash Distribution of $0.47 per Share for the First Quarter 2023 The Total Cash Distribution of $0.47 per Share for the First Quarter 2023 is Comprised of a $0.39 per Share Base Distribution and an $0.08 per Share Sup

EX-99.2 Exhibit 99.2 Hercules Capital Declares a Total Cash Distribution of $0.47 per Share for the First Quarter 2023 The Total Cash Distribution of $0.47 per Share for the First Quarter 2023 is Comprised of a $0.39 per Share Base Distribution and an $0.08 per Share Supplemental Distribution PALO ALTO, Calif., May 2, 2023 – Hercules Capital, Inc. (NYSE: HTGC) (“Hercules” or the “Company”), the la

Current Report on Form 8-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 2, 2023 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commission File

Hercules Capital Reports First Quarter 2023 Financial Results Record Q1 2023 Total Gross Fundings of $476.2 Million Record Q1 2023 Total Investment Income of $105.1 Million, an Increase of 61.3% Year-over-Year Record Q1 2023 Net Investment Income “NI

EX-99.1 Exhibit 99.1 Hercules Capital Reports First Quarter 2023 Financial Results Record Q1 2023 Total Gross Fundings of $476.2 Million Record Q1 2023 Total Investment Income of $105.1 Million, an Increase of 61.3% Year-over-Year Record Q1 2023 Net Investment Income “NII” of $65.5 Million, or $0.48 per Share, an Increase of 83.0% Year-over-Year Q1 2023 NII Provides 123% Coverage of the Base Cash

COURTESY COPY OF HTGC_Q1_3.31.2023_10-Q_I

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For The Quarterly Period Ended March 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 814-00702 HERCULES CAPITAL, INC.

Definitive Proxy Statement

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Proxy Statement ☐ Definiti

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April 27, 2023 Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.

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CORRESP April 25, 2023 Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy Statement ☐ Definiti

Hercules Capital Business Update and Response to the Closure of Silicon Valley Bank

EX-99.1 Exhibit 99.1 Hercules Capital Business Update and Response to the Closure of Silicon Valley Bank PALO ALTO, Calif. —March 13, 2023—The team at Hercules Capital, Inc. (NYSE: HTGC) (“Hercules” or the “Company”) is working collectively with our employees, stockholders, stakeholders, bondholders, rating agencies, portfolio companies, and our portfolio companies’ venture capital and private equ

Current Report on Form 8-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 13, 2023 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commission F

Hercules Capital Reports Fourth Quarter and Full-Year 2022 Financial Results Record Full-Year 2022 Total Gross Debt and Equity Commitments of $3.12 Billion Full-Year 2022 Total Gross Fundings of $1.47 Billion Record Full-Year 2022 Net Debt Portfolio

Exhibit 99.1 Hercules Capital Reports Fourth Quarter and Full-Year 2022 Financial Results Record Full-Year 2022 Total Gross Debt and Equity Commitments of $3.12 Billion Full-Year 2022 Total Gross Fundings of $1.47 Billion Record Full-Year 2022 Net Debt Portfolio Growth of $598.5 Million Record Full-Year 2022 Total Investment Income of $321.7 million, an Increase of 14.5% Year-over-Year Record Full

Hercules Capital Announces New Supplemental Cash Distribution of $0.32 per Share The New Supplemental Cash Distribution is in Addition to the Regular Quarterly Cash Distributions and will be Distributed Equally over Four Quarters Beginning with the F

Exhibit 99.3 Hercules Capital Announces New Supplemental Cash Distribution of $0.32 per Share The New Supplemental Cash Distribution is in Addition to the Regular Quarterly Cash Distributions and will be Distributed Equally over Four Quarters Beginning with the Fourth Quarter of 2022 Distribution Payable in March of 2023 The New Supplemental Cash Distribution of $0.08 per Share for the Fourth Quar

First Amendment to Sale and Servicing Agreement, dated as of January 13, 2023, among Hercules Funding IV LLC, as borrower, Hercules Capital, Inc., as originator and servicer, and MUFG Bank, Ltd., as agent.

Execution Version Exhibit 10(qq) FIRST AMENDMENT TO SALE AND SERVICING AGREEMENT This FIRST AMENDMENT TO SALE AND SERVICING AGREEMENT (this “Amendment”) is entered into as of January 13, 2023, by and among HERCULES FUNDING IV LLC, a Delaware limited liability company (“Borrower”), HERCULES CAPITAL, INC.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One)  ANNUAL REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 OR  TRANSITION REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 814-00702 HERCULES CAPITAL

List of Subsidiaries.

Exhibit 21.1 List of Subsidiaries (as of December 31, 2022) Name Jurisdiction of Organization Hercules Capital IV, L.P. Delaware Hercules Funding IV, LLC Delaware Hercules Capital Funding 2022-1 LLC Delaware Hercules Capital Funding Trust 2022-1 Delaware Hercules Technology Management LLC Delaware Hercules Technology Management Co II, Inc. Delaware Hercules Technology Management Co IV LLC Delaware

EX-21

Exhibit 21.1 List of Subsidiaries (as of December 31, 2022) Name Jurisdiction of Organization Hercules Capital IV, L.P. Delaware Hercules Funding IV, LLC Delaware Hercules Capital Funding 2022-1 LLC Delaware Hercules Capital Funding Trust 2022-1 Delaware Hercules Technology Management LLC Delaware Hercules Technology Management Co II, Inc. Delaware Hercules Technology Management Co IV LLC Delaware

Letter of Credit Facility Agreement, dated as of January 13, 2023, between Hercules Capital, Inc. and Sumitomo Mitsui Banking Corporation, as issuing bank

Exhibit 10(nn) LETTER OF CREDIT FACILITY AGREEMENT dated as of January 13, 2023 among HERCULES CAPITAL, INC.

Third Amendment to Loan and Security Agreement, dated as of January 13, 2023, among Hercules Funding IV LLC, as borrower, the lenders from time to time party thereto, and MUFG Bank, Ltd., as agent, a joint lead arranger, swingline lender and sole bookrunner.

Execution Version Exhibit 10(pp) THIRD AMENDMENT TO LOAN AND SECURITY AGREEMENT This THIRD AMENDMENT TO LOAN AND SECURITY AGREEMENT (this “Amendment”) is entered into as of January 13, 2023, by and among HERCULES FUNDING IV LLC, a Delaware limited liability company (“Borrower”), the lenders identified on the signature pages hereof (such lenders, together with their respective successors and assigns, are referred to hereinafter each individually as a “Lender” and collectively as the “Lenders”), GOLDMAN SACHS BANK USA, as a Lender and a Joint Lead Arranger, UMPQUA BANK, as a Lender and a Documentation Agent, ZIONS BANCORPORATION, N.

Financial Statements and Exhibits, Results of Operations and Financial Condition, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 14, 2023 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commissio

First Omnibus Amendment to Revolving Credit Agreement and Guarantee and Security Agreement, dated as of January 13, 2023, among Hercules Capital, Inc., the lenders party thereto and Sumitomo Mitsui Banking Corporation, as administrative agent and collateral agent

Exhibit 10(oo) FIRST OMNIBUS AMENDMENT TO REVOLVING CREDIT AGREEMENT AND GUARANTEE AND SECURITY AGREEMENT THIS FIRST OMNIBUS AMENDMENT TO REVOLVING CREDIT AGREEMENT AND GUARANTEE AND SECURITY AGREEMENT, dated as of January 13, 2023 (this “Amendment”), is among Hercules Capital, Inc.

Form of Long-Term Restricted Stock Unit.

Exhibit 10(yy) Hercules Capital, Inc. Amended and Restated 2018 Equity Incentive Plan Long Term Restricted Stock Unit Award Agreement [] (the “Participant”) (i) acknowledges receipt of an award (the “Award”) of long term restricted stock units from Hercules Capital, Inc. (the “Company”) under the Amended and Restated 2018 Equity Incentive Plan (the “Plan”), subject to the terms set forth below and

Hercules Capital Increases Its Quarterly Cash Distribution to $0.39 per Share for the Fourth Quarter of 2022

Exhibit 99.2 Hercules Capital Increases Its Quarterly Cash Distribution to $0.39 per Share for the Fourth Quarter of 2022 PALO ALTO, Calif., February 14, 2023 – Hercules Capital, Inc. (NYSE: HTGC) (“Hercules” or the “Company”), the largest and leading specialty finance provider to innovative, venture, growth and established stage companies backed by some of the leading and top-tier venture capital

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 27, 2023 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commission

Entry into a Material Definitive Agreement, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 13, 2023 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commission

Transfer Agency and Service Agreement, dated October 3, 2022, between Hercules Capital, Inc. and Computershare Trust Company, N.A. and Computershare Inc.

Exhibit 10.2 Transfer Agency and Service Agreement Between HERCULES CAPITAL, INC. and Computershare Trust Company, N.A. and Computershare Inc. 0 THIS TRANSFER AGENCY AND SERVICE AGREEMENT, effective as of October 3, 2022 (?Effective Date?), is by and between Hercules Capital, Inc., a Maryland corporation, having its principal office and place of business at 400 Hamilton Avenue, Suite 310, Palo Alt

Hercules Capital Reports Third Quarter 2022 Financial Results Record Year-to-Date Q3 2022 Total Gross Debt and Equity Commitments of $2.48 Billion Record Year-to-Date Q3 2022 Total Gross Fundings of $1.10 Billion Record Q3 2022 Total Gross Debt and E

Exhibit 99.1 Hercules Capital Reports Third Quarter 2022 Financial Results Record Year-to-Date Q3 2022 Total Gross Debt and Equity Commitments of $2.48 Billion Record Year-to-Date Q3 2022 Total Gross Fundings of $1.10 Billion Record Q3 2022 Total Gross Debt and Equity Commitments of $817.2 Million Record Year-to-Date Q3 2022 Net Debt Portfolio Growth of $465.1 Million Record Total Investment Incom

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For The Quarterly Period Ended September 30, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 814-00702 HERCULES CAPITAL, INC.

Form of Dividend Reinvestment Plan

Exhibit 10.1 DIVIDEND REINVESTMENT PLAN Hercules Capital, Inc., a Maryland corporation (the ?Company?), hereby adopts the following plan (the ?Plan?) with respect to dividends and distributions declared by its Board of Directors (the ?Board?) on shares of its common stock, par value $0.001 per share (the ?Common Stock?): Unless a stockholder specifically elects to receive cash as set forth below,

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 2, 2022 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commission

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 13, 2022 Hercules Capital

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 13, 2022 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commission

Hercules Capital Announces Supplemental Cash Distribution of $0.15 per Share for the Third Quarter of 2022 The Supplemental Cash Distribution of $0.15 per Share is in Addition to the Regular Quarterly Cash Distribution for the Third Quarter of 2022 o

EX-99.2 Exhibit 99.2 Hercules Capital Announces Supplemental Cash Distribution of $0.15 per Share for the Third Quarter of 2022 The Supplemental Cash Distribution of $0.15 per Share is in Addition to the Regular Quarterly Cash Distribution for the Third Quarter of 2022 of $0.36 per Share PALO ALTO, Calif., October 18, 2022 – Hercules Capital, Inc. (NYSE: HTGC) (“Hercules” or the “Company”), the la

Hercules Capital Increases Its Quarterly Cash Distribution to $0.36 per Share for the Third Quarter of 2022

EX-99.1 Exhibit 99.1 Hercules Capital Increases Its Quarterly Cash Distribution to $0.36 per Share for the Third Quarter of 2022 PALO ALTO, Calif., October 18, 2022 – Hercules Capital, Inc. (NYSE: HTGC) (“Hercules” or the “Company”), the largest and leading specialty finance provider to innovative, venture, growth and established stage companies backed by some of the leading and top-tier venture c

PEGY / Pineapple Holdings Inc / Hercules Technology Growth Capital Inc - SC 13G/A Passive Investment

SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 1)* Pineapple Energy Inc. (Name of Issuer) Common Stock, $0.05 par value per share (Title of Class of Securities) 72303P107 (CUSIP Number) September 28, 2022 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule p

Hercules Capital Reports Second Quarter 2022 Financial Results Record 1H 2022 Total Gross Debt and Equity Commitments of $1.66 Billion Record 1H 2022 Gross Fundings of $790.7 Million Record 1H 2022 Net Debt Investment Portfolio Growth of $359.8 Milli

Exhibit 99.1 Hercules Capital Reports Second Quarter 2022 Financial Results Record 1H 2022 Total Gross Debt and Equity Commitments of $1.66 Billion Record 1H 2022 Gross Fundings of $790.7 Million Record 1H 2022 Net Debt Investment Portfolio Growth of $359.8 Million Record Q2 Total Gross Debt and Equity Commitments of $1.04 Billion Increased the Company?s Quarterly Base Cash Distribution to $0.35 p

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For The Quarterly Period Ended June 30, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 814-00702 HERCULES CAPITAL, INC.

Sale and Contribution Agreement, dated as of June 22, 2022, between Hercules Capital, Inc., as Seller, and Hercules Capital Funding 2022-1 LLC, as Trust Depositor.

EXECUTION VERSION Exhibit 10.4 SALE AND CONTRIBUTION AGREEMENT by and between HERCULES CAPITAL, INC., as the Seller and HERCULES CAPITAL FUNDING 2022-1 LLC, as the Trust Depositor Dated as of June 22, 2022 Hercules Capital Funding Trust 2022-1 Asset-Backed Notes BUSINESS.29147458.4 Table of Contents Page ARTICLE I DEFINITIONS 1 Section 1.01 Definitions. 1 Section 1.02 Other Terms 4 Section 1.03 Co

Amended and Restated Trust Agreement, dated as of June 22, 2022, between Hercules Capital Funding 2022-1 LLC, as Trust Depositor, and Wilmington Trust, National Association, as Owner Trustee.

EXECUTION VERSION Exhibit 4.2 AMENDED AND RESTATED TRUST AGREEMENT by and between HERCULES CAPITAL FUNDING 2022-1 LLC, as the Trust Depositor and WILMINGTON TRUST, NATIONAL ASSOCIATION, as the Owner Trustee Dated as of June 22, 2022 Hercules Capital Funding Trust 2022-1 Asset-Backed Notes BUSINESS.29147460.5 Table of Contents Page ARTICLE I DEFINITIONS 1 Section 1.01 Definitions. 1 Section 1.02 Ot

Administration Agreement, dated June 22, 2022, by and among Hercules Capital, Inc., as Administrator, Hercules Capital Funding Trust 2022-1, as Issuer, Wilmington Trust National Association, as Owner Trustee, and U.S. Bank Trust Company, National Association, as Trustee.

Exhibit 10.6 ADMINISTRATION AGREEMENT among HERCULES CAPITAL FUNDING TRUST 2022-1, as Issuer, HERCULES CAPITAL, INC., as Administrator WILMINGTON TRUST, NATIONAL ASSOCIATION, as Owner Trustee and U.S. BANK TRUST COMPANY, NATIONAL ASSOCIATION, as Trustee Dated as of June 22, 2022 29147461.3 Table of Contents Page 1. Duties of the Administrator 1 2. Records 3 3. Compensation; Payment of Fees and Exp

Sale and Servicing Agreement, dated as of June 22, 2022, by and among Hercules Capital Funding Trust 2022-1, as Issuer, Hercules Capital, Inc., as Seller and Servicer, Hercules Capital Funding 2022-1 LLC, as Trust Depositor, U.S. Bank Trust Company, National Association, as Trustee and Securities Intermediary, and U.S. Bank National Association, as Backup Servicer and Custodian.

Exhibit 10.3 SALE AND SERVICING AGREEMENT by and among HERCULES CAPITAL FUNDING TRUST 2022-1, as the Issuer, HERCULES CAPITAL FUNDING 2022-1 LLC, as the Trust Depositor, HERCULES CAPITAL, INC. as the Seller and as the Servicer, U.S. BANK TRUST COMPANY, NATIONAL ASSOCIATION, as the Trustee and Paying Agent, U.S. BANK NATIONAL ASSOCIATION as the Backup Servicer and Custodian Dated as of June 22, 202

Hercules Capital Increases Its Quarterly Cash Distribution to $0.35 per Share for the Second Quarter of 2022

Exhibit 99.2 Hercules Capital Increases Its Quarterly Cash Distribution to $0.35 per Share for the Second Quarter of 2022 PALO ALTO, Calif., July 26, 2022 ? Hercules Capital, Inc. (NYSE: HTGC) (?Hercules? or the ?Company?), the largest and leading specialty finance provider to innovative, venture, growth and established stage companies backed by some of the leading and top-tier venture capital and

Indenture, dated as of June 22, 2022, between Hercules Capital Funding Trust 2022-1, as Issuer, and U.S. Bank Trust Company National Association, as Trustee.

Exhibit 4.1 INDENTURE by and between HERCULES CAPITAL FUNDING TRUST 2022-1, as the Issuer, and U.S. BANK TRUST COMPANY, NATIONAL ASSOCIATION, as the Trustee Dated as of June 22, 2022 Hercules Capital Funding Trust 2022-1 Notes BUSINESS.29147457.3 Table of Contents Page ARTICLE I DEFINITIONS 2 Section 1.01 Definitions. 2 Section 1.02 Rules of Construction. 6 ARTICLE II THE NOTES 7 Section 2.01 Form

Second Supplement to the Note Purchase Agreement, dated as of June 23, 2022, by and among Hercules Capital, Inc. and the Additional Purchasers party thereto.

Exhibit 10.7 Execution Version Hercules Capital, Inc. Second Supplement to Note Purchase Agreement Dated as of June 23, 2022 Re: $50,000,000 6.00% Series 2022A Senior Notes Due June 23, 2025 Hercules Capital, Inc. Dated as of June 23, 2022 To the Additional Purchaser(s) named in Schedule A hereto Ladies and Gentlemen: This Second Supplement to Note Purchase Agreement (the or this ?Supplement?) is

Note Purchase Agreement, dated as of June 22, 2022, by and among Hercules Capital, Inc., as Originator and Servicer, Hercules Capital Funding 2022-1 LLC, as Trust Depositor, Hercules Capital Funding Trust 2022-1, as Issuer, and American Family Life Assurance Company of Columbus, Allianz Life Insurance Company of North America, Compsource Mutual Insurance Company, The Lincoln National Life Insurance Company, Massachusetts Mutual Life Insurance Company, Great American Life Insurance Company, and Fidelity & Guaranty Life Insurance Company, as Purchasers.

Execution Version Exhibit 10.5 HERCULES CAPITAL FUNDING TRUST 2022-1 $150,000,000 Senior Secured Notes Note Purchase Agreement Dated June 22, 2022 Table of Contents Section Heading Page Section 1. Authorization of Notes. 1 Section 2. Sale and Purchase of Notes. 2 Section 3. Closing. 2 Section 4. Conditions to Closing. 3 Section 4.1. Representations and Warranties 3 Section 4.2. Performance 3 Secti

Hercules Capital Announces Supplemental Cash Distribution of $0.15 per Share for the Second Quarter of 2022 The Supplemental Cash Distribution of $0.15 per Share is in Addition to the Regular Quarterly Cash Distribution for the Second Quarter of 2022

Exhibit 99.3 Hercules Capital Announces Supplemental Cash Distribution of $0.15 per Share for the Second Quarter of 2022 The Supplemental Cash Distribution of $0.15 per Share is in Addition to the Regular Quarterly Cash Distribution for the Second Quarter of 2022 of $0.35 per Share PALO ALTO, Calif., July 26, 2022 ? Hercules Capital, Inc. (NYSE: HTGC) (?Hercules? or the ?Company?), the largest and

Financial Statements and Exhibits, Results of Operations and Financial Condition, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 26, 2022 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commission Fi

Hercules Capital Completes Two Institutional Debt Financings, Raising a Total of $200.0 Million to Support Continued Growth

Exhibit 99.1 Hercules Capital Completes Two Institutional Debt Financings, Raising a Total of $200.0 Million to Support Continued Growth PALO ALTO, Calif., June 23, 2022 ? Hercules Capital, Inc. (NYSE: HTGC) (?Hercules? or the ?Company?) today announced that it has closed two new debt financings raising a total of $200.0 million. Hercules Capital Funding Trust 2022-1, a newly-formed wholly owned,

Hercules Capital Announces the Appointment of Ms. DeAnne Aguirre to Its Board of Directors

Exhibit 99.2 Hercules Capital Announces the Appointment of Ms. DeAnne Aguirre to Its Board of Directors PALO ALTO, Calif., June 24, 2022 ? Hercules Capital, Inc. (NYSE: HTGC) (?Hercules? or the ?Company?), the largest and leading specialty financing provider to innovative venture, growth and established stage companies backed by some of the leading and top-tier venture capital and select private e

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant, Other Events, Submission of Matters to a Vote of Security Holders

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 22, 2022 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commission Fi

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive

Second Amendment to Loan and Security Agreement, dated as of June 10, 2022, among Hercules Funding IV LLC, the

Exhibit 10.2 Execution Version SECOND AMENDMENT TO LOAN AND SECURITY AGREEMENT This SECOND AMENDMENT TO LOAN AND SECURITY AGREEMENT (this ?Amendment?) is entered into as of June 10, 2022, by and among HERCULES FUNDING IV LLC, a Delaware limited liability company (?Borrower?), the lenders identified on the signature page hereof (such lenders, together with their respective successors and assigns, a

Hercules Capital Expands Its Credit Facilities to $720 Million to Support Strong Investment Portfolio Growth The Company has increased its $400.0 million MUFG credit facility to $545.0 million and its $100.0 million SMBC credit facility to $175.0 mil

Exhibit 99.1 Hercules Capital Expands Its Credit Facilities to $720 Million to Support Strong Investment Portfolio Growth The Company has increased its $400.0 million MUFG credit facility to $545.0 million and its $100.0 million SMBC credit facility to $175.0 million. PALO ALTO, Calif., June 15, 2022 - Hercules Capital, Inc. (NYSE: HTGC) (?Hercules? or the ?Company?), the largest and leading speci

Second Amendment to Revolving Credit Agreement, dated of June 14, 2022, among Hercules Capital Inc., the lenders

Exhibit 10.1 EXECUTION COPY SECOND AMENDMENT TO REVOLVING CREDIT AGREEMENT THIS SECOND AMENDMENT TO REVOLVING CREDIT AGREEMENT, dated as of June 14, 2022 (this ?Amendment?), is among HERCULES CAPITAL, INC., a Maryland corporation (the ?Borrower?), the LENDERS party hereto and SUMITOMO MITSUI BANKING CORPORATION (?SMBC?), as Administrative Agent (in such capacity, the ?Administrative Agent?). W I T

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 10, 2022 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commission Fi

Up to 17,500,000 Shares of Common Stock

Table of Contents Filed Pursuant to Rule 424(b)(2) Registration No. 333-261732 PROSPECTUS SUPPLEMENT (To prospectus dated December 17, 2021) Up to 17,500,000 Shares of Common Stock About this offering. We are offering to sell up to 17,500,000 shares of our common stock from time to time through our Sales Agents, Jefferies LLC and JMP Securities LLC. Any such sales may be made in negotiated transac

Financial Statements and Exhibits, Other Events

8-K 1 d296679d8k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 9, 2022 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorp

Calculation of Filing Fee Tables (Form Type) Hercules Capital, Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered and Carry Forward Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule

Exhibit (s) EX. FILING FEES Calculation of Filing Fee Tables 424(b)(2) (Form Type) Hercules Capital, Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered and Carry Forward Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive

Form of Equity Distribution Agreement

Table of Contents Exhibit 1.1 HERCULES CAPITAL, INC. Common Stock, $0.001 par value per share EQUITY DISTRIBUTION AGREEMENT Dated May [?], 2022 Table of Contents TABLE OF CONTENTS SECTION 1. Description of Shares 1 SECTION 2. Placements 2 SECTION 3. Sale of Placement Securities by the Sales Manager 3 SECTION 4. Suspension of Sales 4 SECTION 5. Representations and Warranties 4 SECTION 6. Sale and D

Hercules Capital Declares Cash Distribution of $0.33 per Share for the First Quarter of 2022

Exhibit 99.2 Hercules Capital Declares Cash Distribution of $0.33 per Share for the First Quarter of 2022 PALO ALTO, Calif., May 3, 2022 ? Hercules Capital, Inc. (NYSE: HTGC) (?Hercules? or the ?Company?), the largest and leading specialty finance provider to innovative, venture, growth and established stage companies backed by some of the leading and top-tier venture capital and select private eq

Financial Statements and Exhibits, Results of Operations and Financial Condition, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 3, 2022 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commission File

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For The Quarterly Period Ended March 31, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 814-00702 HERCULES CAPITAL, INC.

Hercules Capital Announces Supplemental Cash Distribution of $0.15 per Share for the First Quarter of 2022 The Supplemental Cash Distribution of $0.15 per Share is in Addition to the Regular Quarterly Cash Distribution for the First Quarter of 2022 o

Exhibit 99.3 Hercules Capital Announces Supplemental Cash Distribution of $0.15 per Share for the First Quarter of 2022 The Supplemental Cash Distribution of $0.15 per Share is in Addition to the Regular Quarterly Cash Distribution for the First Quarter of 2022 of $0.33 per Share PALO ALTO, Calif., May 3, 2022 ? Hercules Capital, Inc. (NYSE: HTGC) (?Hercules? or the ?Company?), the largest and lea

Hercules Capital Reports First Quarter 2022 Financial Results Record Quarterly Net Debt Portfolio Growth of $190.7 Million Record Q1 Total Gross Debt and Equity Commitments of $615.2 Million Q1 Total Gross Fundings of $351.6 Million Undistributed Ear

Exhibit 99.1 Hercules Capital Reports First Quarter 2022 Financial Results Record Quarterly Net Debt Portfolio Growth of $190.7 Million Record Q1 Total Gross Debt and Equity Commitments of $615.2 Million Q1 Total Gross Fundings of $351.6 Million Undistributed Earnings Spillover of $171.7 Million, or $1.39(1) per Ending Shares Outstanding Q1 2022 Financial Achievements and Highlights ? Net Investme

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

DEF 14A 1 2022proxystatement.htm DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant   ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as

PEGY / Pineapple Holdings Inc / Hercules Technology Growth Capital Inc - SC 13G Passive Investment

SC 13G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. )* Pineapple Energy Inc. (Name of Issuer) Common Stock, $0.05 par value per share (Title of Class of Securities) 72303P107 (CUSIP Number) March 28, 2022 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant

Hercules Capital Reports Fourth Quarter and Full-Year 2021 Financial Results Record Annual Total Gross Debt and Equity Commitments of $2.64 Billion, an Increase of 122.1% Year-over-Year Record Annual Total Gross Fundings of $1.57 Billion, an Increase

Exhibit 99.1 Hercules Capital Reports Fourth Quarter and Full-Year 2021 Financial Results Record Annual Total Gross Debt and Equity Commitments of $2.64 Billion, an Increase of 122.1% Year-over-Year Record Annual Total Gross Fundings of $1.57 Billion, an Increase of 106.0% Year-over-Year Record Q4 Total Gross Debt and Equity Commitments of $947.8 Million Record Q4 Total Gross Fundings of $503.3 Mi

Hercules Capital Announces New Supplemental Cash Distribution of $0.60 per Share The New Supplemental Cash Distribution is in Addition to the Regular Quarterly Cash Distributions and will be Distributed Equally over Four Quarters Beginning with the F

EX-99.3 4 d293903dex993.htm EX-99.3 Exhibit 99.3 Hercules Capital Announces New Supplemental Cash Distribution of $0.60 per Share The New Supplemental Cash Distribution is in Addition to the Regular Quarterly Cash Distributions and will be Distributed Equally over Four Quarters Beginning with the Fourth Quarter of 2021 Distribution Payable in March 2022 The Supplemental Cash Distribution for the F

Code of Business Conduct and Ethics.

EX-14.2 9 htgc-ex142.htm EX-14.2 Exhibit 14.2 CODE OF BUSINESS CONDUCT AND ETHICS Amended and Restated: December 2, 2021 CODE OF BUSINESS CONDUCT AND ETHICS TABLE OF CONTENTS Introduction 1 Purpose of the Code 1 Conflicts of Interest 1 Corporate Opportunities 2 Confidentiality 2 Fair Dealing 2 Protection and Proper Use of Company Assets 2 Compliance with Applicable Laws, Rules and Regulations 3 Eq

Custodial Agreement by and between Hercules Capital, Inc. and State Street Bank and Trust Company, dated as of November 9, 2021.

Exhibit 10(zz) Execution Version CUSTODY AGREEMENT This Agreement (the ?Agreement?) is made as of November 9, 2021 (the ?Effective Date?) between: (1) Each entity identified on Appendix A, whose jurisdiction of formation is identified opposite its name (the ?Client?); and (2) STATE STREET BANK AND TRUST COMPANY, a bank and trust company organized under the laws of The Commonwealth of Massachusetts, U.

List of Subsidiaries.

Exhibit 21.1 List of Subsidiaries (as of December 31, 2021) Name Jurisdiction of Organization Bearcub Acquisitions LLC Delaware Gibraltar Acquisition LLC Delaware HercGBC LLC Delaware Hercules Capital Funding Trust 2018-1 Delaware Hercules Capital Funding Trust 2019-1 Delaware Hercules Capital IV, L.P. Delaware Hercules Capital Management LLC Delaware Hercules Funding II, LLC Delaware Hercules Fun

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 814-00702 HERCULES CAPITAL

EX-14.2

COURTESY COPY OF HTGC_10K_2021

Description of the Registrant’s Securities.(45)

EX-10.ZZ

EX-21.1

EX-14.1

Code of Ethics.

Exhibit 14.1 CODE OF ETHICS This Code of Ethics (the ?Code?) has been adopted by the Board of Directors (the ?Board?) of Hercules Capital, Inc. (?Hercules Capital?) in accordance with Rule 17j-l(c) under the Investment Company Act of 1940, as amended (the ?1940 Act?) and by Hercules Adviser LLC (the ?Adviser?) and together with the Hercules Capital, ?Hercules?), in accordance with Rule 204A-1 of t

Hercules Capital Declares Cash Distribution of $0.33 per Share for the Fourth Quarter of 2021

Exhibit 99.2 Hercules Capital Declares Cash Distribution of $0.33 per Share for the Fourth Quarter of 2021 PALO ALTO, Calif., February 22, 2022 ? Hercules Capital, Inc. (NYSE: HTGC) (?Hercules? or the ?Company?), the largest and leading specialty finance provider to innovative, venture, growth and established stage companies backed by some of the leading and top-tier venture capital and select pri

Description of the Registrant’s Securities

Exhibit 4(ab) DESCRIPTION OF OUR SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 As of December 31, 2021, Hercules Capital, Inc.

Financial Statements and Exhibits, Results of Operations and Financial Condition, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 22, 2022 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commissio

Hercules Capital Enhances C-Suite for Future Growth

EX-99.1 2 d303511dex991.htm EX-99.1 Exhibit 99.1 Hercules Capital Enhances C-Suite for Future Growth PALO ALTO, Calif., February 1, 2022 – Hercules Capital, Inc. (NYSE: HTGC) (“Hercules” or the “Company”), the largest and leading specialty financing provider to innovative venture, growth and established stage companies backed by some of the leading and top-tier venture capital and select private e

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 1, 2022 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commission

Eighth Supplemental Indenture, dated as of January 20, 2022, between the Registrant and U.S. Bank National Association.

Exhibit 4.2 EIGHTH SUPPLEMENTAL INDENTURE between HERCULES CAPITAL, INC. and U.S. BANK NATIONAL ASSOCIATION, as Trustee Dated as of January 20, 2022 EIGHTH SUPPLEMENTAL INDENTURE THIS EIGHTH SUPPLEMENTAL INDENTURE (this ?Eighth Supplemental Indenture?), dated as of January 20, 2022, is between Hercules Capital, Inc., a Maryland corporation (the ?Company?), and U.S. Bank National Association, as tr

Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 21, 2022 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commission

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 20, 2022 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commission

Underwriting Agreement, dated as of January 14, 2022, by and among Hercules Capital, Inc. and Goldman Sachs & Co. LLC and SMBC Nikko Securities America, Inc., as representatives of the several underwriters named in Schedule A thereto

EX-1.1 2 d264493dex11.htm EX-1.1 Exhibit 1.1 EXECUTION VERSION $350,000,000 Aggregate Principal Amount 3.375% Notes Due 2027 Hercules Capital, Inc. UNDERWRITING AGREEMENT January 14, 2022 Goldman Sachs & Co. LLC RBC Capital Markets, LLC SMBC Nikko Securities America, Inc., As Representatives of the several Underwriters c/o Goldman Sachs & Co. LLC 200 West Street New York, New York 10282 c/o RBC Ca

CALCULATION OF REGISTRATION FEE Title of Each Class of Securities to be Registered Amount to be Registered Maximum Offering Price Per Unit Maximum Aggregate Offering Price Amount of Registration Fee(1) 3.375% Notes due 2027 $350,000,000 99.282% $347,

Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-261732 CALCULATION OF REGISTRATION FEE Title of Each Class of Securities to be Registered Amount to be Registered Maximum Offering Price Per Unit Maximum Aggregate Offering Price Amount of Registration Fee(1) 3.375% Notes due 2027 $350,000,000 99.282% $347,487,000 $32,212.05 (1) Calculated in accordance with Rule 457(r) under

Hercules Capital, Inc. 3.375% Notes due 2027 PRICING TERM SHEET January 14, 2022

Filed pursuant to Rule 433 Issuer Free Writing Prospectus dated January 14, 2022 Relating to Preliminary Prospectus dated January 14, 2022 and Prospectus dated December 17, 2021 Registration No.

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 14, 2022 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commission

SUBJECT TO COMPLETION, DATED JANUARY 14, 2022

Table of Contents Filed Pursuant to Rule 424(b)(2) Registration No. 333-261732 This preliminary prospectus supplement relates to an effective registration statement under the Securities Act of 1933, as amended, but is not complete and may be changed. This preliminary prospectus supplement is not an offer to sell these securities and it is not soliciting an offer to buy these securities in any stat

Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 10, 2022 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commission

Custodial Agreement by and between Hercules Funding IV LLC and Wells Fargo Bank, National Associated, dated as of April 23, 2021.(53)

Exhibit J.2 CUSTODIAL AGREEMENT THIS CUSTODIAL AGREEMENT (this ?Agreement?) dated as of April 23, 2021, is entered into between HERCULES FUNDING IV LLC (the ?Owner?) and WELLS FARGO BANK, NATIONAL ASSOCIATION, as custodian (in such capacity, the ? Custodian?). W I T N E S S E T H: WHEREAS, the Owner has acquired or will acquire, from time to time, cash (the ?Assets?) and desires to deposit the Ass

Custodial Agreement by and between Hercules Growth Capital, Inc. and Wells Fargo Bank, National Association, dated as of July 29, 2015

EX-99.J.1 2 d267825dex99j1.htm EX-J.1 Exhibit J.1 Execution Version CUSTODIAL AGREEMENT THIS CUSTODIAL AGREEMENT (this “Agreement”) dated as of July 29, 2015, is entered into between Hercules Technology Growth Capital, Inc., an investment company that has elected to be regulated as a business development company under the Investment Company of 1940 (“1940 Act”) and each of its subsidiaries listed

Consent of PricewaterhouseCoopers LLP.

Exhibit N1 CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the incorporation by reference in this Registration Statement on Form N-2 of Hercules Capital, Inc.

As filed with the Securities and Exchange Commission on December 17, 2021

Table of Contents As filed with the Securities and Exchange Commission on December 17, 2021 Securities Act File No.

Consent of Dechert LLP (included in Exhibit l.1).

EX-99.L.1 5 d267825dex99l1.htm EX-L.1 Exhibit L1 Three Bryant Park 1095 Avenue of the Americas New York, NY 10036-6797 +1 212 698 3500 Main +1 212 698 3599 Fax www.dechert.com December 17, 2021 Hercules Capital, Inc. 400 Hamilton Avenue, Suite 310 Palo Alto, CA 94301 Re: Registration Statement on Form N-2 Ladies and Gentlemen: We have acted as special counsel to Hercules Capital, Inc., a Maryland

Safekeeping Custody Agreement between Hercules Funding IV LLC and City National Bank, a National Banking Association dated as of June 23, 2021.

EX-99.J.3 4 d267825dex99j3.htm EX-J.3 Exhibit J.3 SAFEKEEPING CUSTODY AGREEMENT This custody agreement is made as of between Hercules Funding IV, LLC and City National Bank (“CNB”), a National Banking Association. I, the undersigned Principal, hereby agree that you, CNB, shall have custody in an account (“Account’’) of all assets along with income and proceeds thereon you now or hereafter accept a

Termination of a Material Definitive Agreement

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 29, 2021 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commissio

* * * * * * * * * *

1900 K Street, NW Washington, DC 20006-1110 +1 202 261 3300 Main +1 202 261 3333 Fax www.

Hercules Capital Further Strengthens Its Capital Resources with New $100.0 Million Multi-Currency Credit Facility

Exhibit 99.1 Hercules Capital Further Strengthens Its Capital Resources with New $100.0 Million Multi-Currency Credit Facility PALO ALTO, Calif., November 10, 2021?Hercules Capital, Inc. (NYSE: HTGC) (?Hercules? or the ?Company?), the largest and leading specialty financing provider to innovative venture, growth and established stage companies backed by some of the leading and top-tier venture cap

Revolving Credit Agreement, dated as of November 9, 2021, among Hercules Capital, Inc., the lenders and using bank from time to time party thereto and Sumitomo Mitsui Banking Corporation, as administrative agent.

Exhibit 10.1 EXECUTION COPY REVOLVING CREDIT AGREEMENT dated as of November 9, 2021 among HERCULES CAPITAL, INC. as Borrower The LENDERS and ISSUING BANKS Party Hereto and SUMITOMO MITSUI BANKING CORPORATION as Administrative Agent $100,000,000 SUMITOMO MITSUI BANKING CORPORATION as Lead Arranger and Book Runner TABLE OF CONTENTS Page ARTICLE I DEFINITIONS 1 SECTION 1.01. Defined Terms 1 SECTION 1

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

8-K 1 d257885d8k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 9, 2021 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of i

Hercules Capital Reports Third Quarter 2021 Financial Results Record Q3 Total Gross Debt and Equity Commitments of $719.6 Million Record Q3 Total Gross Fundings of $431.1 Million Record Year-to-Date Total Gross Debt and Equity Commitments of $1.69 Bi

EX-99.1 2 d182068dex991.htm EX-99.1 Exhibit 99.1 Hercules Capital Reports Third Quarter 2021 Financial Results Record Q3 Total Gross Debt and Equity Commitments of $719.6 Million Record Q3 Total Gross Fundings of $431.1 Million Record Year-to-Date Total Gross Debt and Equity Commitments of $1.69 Billion Record Year-to-Date Total Gross Fundings of $1.07 Billion Record Undistributed Earnings Spillov

Hercules Capital Announces Supplemental Cash Distribution of $0.07 per Share for the Third Quarter of 2021 Supplemental Cash Distribution of $0.07 per Share is in Addition to the Regular Quarterly Cash Distribution for the Third Quarter of 2021 of $0

EX-99.3 4 d182068dex993.htm EX-99.3 Exhibit 99.3 Hercules Capital Announces Supplemental Cash Distribution of $0.07 per Share for the Third Quarter of 2021 Supplemental Cash Distribution of $0.07 per Share is in Addition to the Regular Quarterly Cash Distribution for the Third Quarter of 2021 of $0.33 per Share PALO ALTO, Calif., October 26, 2021 – Hercules Capital, Inc. (NYSE: HTGC) (“Hercules” o

Hercules Capital Increases Its Quarterly Cash Distribution to $0.33 per Share for the Third Quarter of 2021

Exhibit 99.2 Hercules Capital Increases Its Quarterly Cash Distribution to $0.33 per Share for the Third Quarter of 2021 PALO ALTO, Calif., October 26, 2021 ? Hercules Capital, Inc. (NYSE: HTGC) (?Hercules? or the ?Company?), the largest and leading specialty finance provider to innovative, venture, growth and established stage companies backed by some of the leading and top-tier venture capital a

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For The Quarterly Period Ended September 30, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 814-00702 HERCULES CAPITAL, INC.

Financial Statements and Exhibits, Results of Operations and Financial Condition, Other Events

8-K 1 d182068d8k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 26, 2021 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of i

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 20, 2021 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commission

Hercules Capital Announces the Appointment of Ms. Pam Randhawa to Its Board of Directors

Exhibit 99.1 Hercules Capital Announces the Appointment of Ms. Pam Randhawa to Its Board of Directors PALO ALTO, Calif., October 20, 2021 ? Hercules Capital, Inc. (NYSE: HTGC) (?Hercules? or the ?Company?), the largest and leading specialty financing provider to innovative venture, growth and established stage companies backed by some of the leading and top-tier venture capital and select private

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 23, 2021 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commissi

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 16, 2021 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commissi

Seventh Supplemental Indenture, dated as of September 16, 2021, between the Registrant and U.S. Bank, National Association.

EX-4.2 2 d220455dex42.htm EX-4.2 Exhibit 4.2 SEVENTH SUPPLEMENTAL INDENTURE between HERCULES CAPITAL, INC. and U.S. BANK NATIONAL ASSOCIATION, as Trustee Dated as of September 16, 2021 SEVENTH SUPPLEMENTAL INDENTURE THIS SEVENTH SUPPLEMENTAL INDENTURE (this “Seventh Supplemental Indenture”), dated as of September 16, 2021, is between Hercules Capital, Inc., a Maryland corporation (the “Company”),

$325,000,000 2.625% Notes due 2026

Table of Contents Filed Pursuant to Rule 424(b)(2) Registration No. 333-231089 PROSPECTUS SUPPLEMENT (To prospectus dated April 29, 2019) $325,000,000 2.625% Notes due 2026 We are an internally-managed, non-diversified, closed-end investment company that has elected to be regulated as a business development company under the Investment Company Act of 1940, as amended, or the 1940 Act. Our investme

Underwriting Agreement, dated as of September 13, 2021, by and among Hercules Capital, Inc. and Goldman Sachs & Co. LLC and SMBC Nikko Securities America, Inc., as representatives of the several underwriters named in Schedule A thereto

EX-1.1 2 d224185dex11.htm EX-1.1 Exhibit 1.1 $325,000,000 Aggregate Principal Amount 2.625% Notes Due 2026 Hercules Capital, Inc. UNDERWRITING AGREEMENT September 13, 2021 Goldman Sachs & Co. LLC SMBC Nikko Securities America, Inc. As Representatives of the several Underwriters c/o Goldman Sachs & Co. LLC 200 West Street New York, New York 10282 c/o SMBC Nikko Securities America, Inc. 277 Park Ave

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 15, 2021 (September 13, 2021) Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of inc

$ % Notes due

Table of Contents Filed Pursuant to Rule 424(b)(2) Registration No. 333-231089 This preliminary prospectus supplement relates to an effective registration statement under the Securities Act of 1933, as amended, but is not complete and may be changed. This preliminary prospectus supplement is not an offer to sell these securities and it is not soliciting an offer to buy these securities in any stat

Hercules Capital, Inc. 2.625% Notes due 2026 PRICING TERM SHEET September 13, 2021

Filed pursuant to Rule 433 Issuer Free Writing Prospectus dated September 13, 2021 Relating to Preliminary Prospectus dated September 13, 2021 and Prospectus dated April 29, 2019 Registration No.

Hercules Capital Reports Second Quarter 2021 Financial Results Record Year-to-Date Total Debt and Equity Commitments of $971.7 Million Record Year-to-Date Total Fundings of $634.0 Million Surpassed $12.0 Billion in Cumulative Total Debt Commitments s

Exhibit 99.1 Hercules Capital Reports Second Quarter 2021 Financial Results Record Year-to-Date Total Debt and Equity Commitments of $971.7 Million Record Year-to-Date Total Fundings of $634.0 Million Surpassed $12.0 Billion in Cumulative Total Debt Commitments since Inception Q2 2021 Net Asset Value per Share Increased 3.1% to $11.71 from Q1 2021 Record Undistributed Earnings Spillover of $160.2

Financial Statements and Exhibits, Results of Operations and Financial Condition, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 27, 2021 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commission Fi

Hercules Capital Declares Cash Distribution of $0.32 per Share for the Second Quarter of 2021

Exhibit 99.2 Hercules Capital Declares Cash Distribution of $0.32 per Share for the Second Quarter of 2021 PALO ALTO, Calif., July 27, 2021 ? Hercules Capital, Inc. (NYSE: HTGC) (?Hercules? or the ?Company?), the largest and leading specialty finance provider to innovative, venture, growth and established stage companies backed by some of the leading and top-tier venture capital and select private

Hercules Capital Announces Supplemental Cash Distribution of $0.07 per Share for the Second Quarter of 2021 Supplemental Cash Distribution of $0.07 per Share is in Addition to the Regular Quarterly Cash Distribution for the Second Quarter of 2021 of

Exhibit 99.3 Hercules Capital Announces Supplemental Cash Distribution of $0.07 per Share for the Second Quarter of 2021 Supplemental Cash Distribution of $0.07 per Share is in Addition to the Regular Quarterly Cash Distribution for the Second Quarter of 2021 of $0.32 per Share PALO ALTO, Calif., July 27, 2021 ? Hercules Capital, Inc. (NYSE: HTGC) (?Hercules? or the ?Company?), the largest and lea

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For The Quarterly Period Ended June 30, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 814-00702 HERCULES CAPITAL, INC.

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 12, 2021 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commission Fi

EX-99.25

NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The New York Stock Exchange hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on July 13, 2021, pursuant to the provisions of Rule 12d2-2 (a).

Hercules Capital Announces the Appointment of Wade Loo to Its Board of Directors

Exhibit 99.1 Hercules Capital Announces the Appointment of Wade Loo to Its Board of Directors PALO ALTO, Calif., June 25, 2021 ? Hercules Capital, Inc. (NYSE: HTGC) (?Hercules? or the ?Company?), the largest and leading specialty financing provider to innovative venture, growth and established stage companies backed by some of the leading and top-tier venture capital and select private equity firm

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits, Other Events, Submission of Matters to a Vote of Security Holders

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 24, 2021 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commission Fi

Current Report

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 28, 2021 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commission Fil

Hercules Capital Announces Its Intention to Fully Redeem its 5.25% Notes due 2025 The redemption is expected to be completed in Q3 2021, and to include a one-time (non-cash) expense to earnings of approximately $1.46 Million, or $0.01 per share

Exhibit 99.1 Hercules Capital Announces Its Intention to Fully Redeem its 5.25% Notes due 2025 The redemption is expected to be completed in Q3 2021, and to include a one-time (non-cash) expense to earnings of approximately $1.46 Million, or $0.01 per share PALO ALTO, Calif., May 28, 2021 ? Hercules Capital, Inc. (NYSE: HTGC) (?Hercules? or the ?Company?), the largest and leading specialty financi

Financial Statements and Exhibits, Results of Operations and Financial Condition, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 27, 2021 Hercules Capital, Inc. (Exact name of registrant as specified in its charter) Maryland 814-00702 74-3113410 (State or other jurisdiction of incorporation) (Commission F

Hercules Capital Announces Fiscal 2021 Supplemental Cash Distribution of $0.28 per Share Supplemental Cash Distribution is in Addition to the Regular Quarterly Cash Distributions and will be Distributed Equally over Four Quarters Beginning with the F

Exhibit 99.3 Hercules Capital Announces Fiscal 2021 Supplemental Cash Distribution of $0.28 per Share Supplemental Cash Distribution is in Addition to the Regular Quarterly Cash Distributions and will be Distributed Equally over Four Quarters Beginning with the First Quarter Distribution Payable in May 2021 PALO ALTO, Calif., April 27, 2021 ? Hercules Capital, Inc. (NYSE: HTGC) (?Hercules? or the