Hercules Capital, Inc. (NYSE:HTGZ) Files An 8-K Other Events
Item 8.01. Other Events. 

The Company issued a press release on March 4, 2021 to announce the closing of the 4.55% Notes, a copy of which is attached hereto as Exhibit 99.1.

Forward-Looking Statements

This Current Report on Form 8-K, including the press release attached hereto as Exhibit 99.1, may contain “forward-looking statements” within the meaning of the Private Securities Litigation Reform Act of 1995. The information disclosed herein is made as of the date hereof. Actual events, including the use of proceeds from the offering of the Notes, may differ from those described herein. These forward-looking statements are not guarantees of future events and are subject to uncertainties and other factors that could cause actual results to differ materially from those expressed in the forward-looking statements including, without limitation, the risks, uncertainties, including the uncertainties surrounding the current market volatility, and other factors the Company identifies from time to time in its filings with the Securities and Exchange Commission (the “SEC”). Although the Company believes that the assumptions on which these forward-looking statements are based are reasonable, any of those assumptions could prove to be inaccurate and, as a result, the forward-looking statements based on those assumptions also could be incorrect. You should not place undue reliance on these forward-looking statements. The forward-looking statements contained in this release are made as of the date hereof, and the Company assumes no obligation to update the forward-looking statements for subsequent events.

Shelf Registration Statement Update

The Company previously filed with the SEC a registration statement on Form N-2 on April 29, 2019 (File No.: 333-231089) (the “Registration Statement”) using the “shelf” registration process as a “well-known seasoned issuer” in reliance on the Small Business Credit Availability Act. Certain items required by Form N-2 have been incorporated by reference into the Registration Statement through documents filed to Section 13(a), 13(c), 14 or 15(d) of the Securities Exchange Act of 1934, as amended, including the Company’s most recent Annual Report on Form 10-K for the fiscal year ended December 31, 2020, filed on February 23, 2021 (the “Form 10-K”), that are incorporated or deemed incorporated by reference into the prospectus that is part of the Registration Statement (the “Prospectus”).

The purpose of this Shelf Registration Statement Update (the “Update”) is to file certain information that is required to be disclosed on Form N-2 but that was not required to be disclosed in the Form 10-K, so that this information is incorporated by reference into the Registration Statement. This Update should be read in conjunction with the Form 10-K, which is incorporated by reference herein.

Following is a schedule of financial highlights for the five years ended December 31, 2015. This should be read in conjunction with the Company’s financial highlights for the five years ended December 31, 2020, which are contained in the Form 10-K.

Item 9.01. Financial Statements and Exhibits. 

* Previously filed as Exhibit 10.1 to the Current Report on Form 8-K of the Company, filed on February 6, 2020. 

** Previously filed as Exhibit 10.2 to the Current Report on Form 8-K of the Company, filed on November 4, 2020. 

Hercules Capital, Inc. Exhibit
EX-99.1 2 ex_231769.htm EXHIBIT 99.1 ex_231769.htm Exhibit 99.1     Hercules Capital Completes Investment Grade Bond Offering of $50.0 Million of 4.55% Notes due March 2026     PALO ALTO,…
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