Welcome to our dedicated page for Hercules Capital SEC filings (Ticker: HCXY), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
The Hercules Capital, Inc. 6.25% Notes due 2033 (NYSE: HCXY) SEC filings page aggregates regulatory documents that reference these exchange-listed notes and their issuer, Hercules Capital, Inc. HCXY is identified in Hercules Capital’s Form 8-K as 6.25% Notes due 2033 registered under Section 12(b) of the Securities Exchange Act of 1934 and listed on the New York Stock Exchange. Filings that mention HCXY typically appear alongside disclosures about the company’s common stock (HTGC).
Through this page, users can access current reports on Form 8-K where Hercules Capital furnishes quarterly earnings press releases and announces board-approved cash distributions on its common stock. These filings confirm the continued registration and listing of HCXY and provide context on the issuer’s financial results, leverage levels, liquidity and distribution policy, all of which are relevant to assessing the credit profile behind the 6.25% Notes due 2033.
In addition to 8-Ks, investors may review other SEC filings for Hercules Capital, such as annual and quarterly reports when available, to understand the company’s business as a specialty finance provider of senior secured venture growth loans and its use of unsecured debt, including HCXY, within a diversified funding mix. Rating agency commentary cited by Hercules Capital notes that a high proportion of unsecured debt to total debt outstanding supports protection for noteholders, making those disclosures particularly pertinent for HCXY analysis.
Stock Titan enhances this filings page with AI-powered summaries that explain the key points of lengthy SEC documents in plain language. Users can quickly identify how a filing references the 6.25% Notes due 2033, what it reveals about Hercules Capital’s capital structure and operating performance, and how new information may affect perceptions of the issuer’s ability to service HCXY over the life of the notes.
BADAVAS ROBERT P reported open-market purchase transactions in this Form 4 filing.
Hercules Capital director Robert P. Badavas acquired 3,658 shares of common stock at an average price of $14.35 per share. The shares were taken as stock in lieu of a cash director compensation fee. Following this transaction, he holds 5,070 shares directly and 122,073 shares indirectly through the Robert P. Badavas Trust of 2007.
Hercules Capital director Wade Loo acquired 7,317 shares of common stock through an open-market purchase, electing to receive stock in lieu of a director cash compensation fee at an average price of $14.35 per share. After this transaction, he holds 14,050 shares directly, including shares acquired through the company’s dividend reinvestment plan, and 32,767 shares indirectly through the Loo Revocable Trust.
Hercules Capital director Thomas J. Fallon increased his stake through equity compensation rather than cash. On March 26, 2026, a trust associated with him acquired 7,300 shares of Hercules Capital common stock at $14.30 per share, reported as an open‑market purchase.
The footnotes explain these shares were received in lieu of a cash director fee and are held by the Fallon Family Revocable Trust. After this transaction, the trust held 157,669 shares, while Fallon also reported 5,959 shares held directly, including shares accumulated through the company’s dividend reinvestment plan.
Hercules Capital, Inc. director DeAnne Aguirre acquired common stock by electing to receive shares instead of a cash director fee. She obtained 7,317 shares at an average price of $14.35 per share, with actual purchase prices ranging from $14.31 to $14.39.
Following this compensation-related acquisition, she directly holds 10,749 shares of common stock. In addition, 20,086 shares are held indirectly by the Aguirre Family 2004 Trust. The filing notes that the share count includes stock acquired through Hercules Capital’s dividend reinvestment plan under Rule 16a-11.
Hercules Capital, Inc. director Paramjeet K. Randhawa acquired 2,926 shares of common stock on March 26, 2026 through an open-market purchase at an average price of $14.35 per share. Following this transaction, the director directly holds 22,486 shares of Hercules Capital common stock.
According to the footnotes, the shares were purchased based on the director’s election to receive stock in lieu of a cash compensation fee otherwise payable for board service. The average purchase price reflects trades executed in a price range between $14.31 and $14.39 per share.
Hercules Capital director Gayle A. Crowell acquired 7,317 shares of Common Stock through an open-market purchase election on March 26, 2026 at an average price of $14.35 per share. These shares were received in stock instead of a cash director fee.
After this transaction, Crowell directly holds 97,589 Hercules Capital shares. The filing notes the purchase price reflects an average of trades executed between $14.31 and $14.39 per share, and that the total reported holdings include shares acquired under the company’s dividend reinvestment plan.
Hercules Capital, Inc. director Nikos Theodosopoulos reported an open-market purchase of 7,317 shares of common stock on March 26, 2026 at an average price of $14.35 per share. After this transaction, he directly owns 29,362 shares.
According to the footnotes, these shares were acquired based on his election to receive stock instead of a cash director compensation fee, and the reported price reflects an average of trades between $14.31 and $14.39. His total share count also includes shares obtained through the company’s dividend reinvestment plan.
Hercules Capital, Inc. Chief Financial Officer Seth H. Meyer reported a small tax-withholding disposition of company stock. On March 5, 2026, 5 shares of common stock were withheld at $15.11 per share to cover taxes on vesting restricted stock, leaving him with 448,548 directly held shares.
Hercules Capital, Inc. Chief Operating Officer Christian Follmann reported an open-market purchase of 5,000 shares of common stock on March 4, 2026 at an average price of $14.68 per share. Following this transaction, he directly owns 150,135 shares of Hercules Capital common stock.
The filing also reports 350 shares of common stock held indirectly by his spouse. This amendment corrects an earlier administrative error in how the type of transaction was reported, and restates it as an open-market purchase by the reporting person.
Hercules Capital, Inc. Chief Operating Officer Christian Follmann reported an open-market purchase of 5,000 shares of common stock on March 4, 2026 at an average price of $14.68 per share. The filing notes these shares were bought at prices between $14.60 and $14.78.
After this transaction, Follmann directly held 150,135 shares of common stock. The filing also reports 350 shares held indirectly, identified as owned "By Spouse," with the specific transaction direction for that holding not detailed.