Hercules Capital, Inc. (NYSE:HTGZ) Files An 8-K Submission of Matters to a Vote of Security Holders
Item 5.07 Submission of Matters to a Vote of Security Holders

On June 12, 2020, Hercules Capital, Inc., a Maryland corporation, (the “Company”), held its 2020 Annual Meeting of Stockholders (the “Annual Meeting”) and its 2020 Special Meeting of Stockholders (the “Special Meeting”). As of April 20, 2020, the record date for the Annual Meeting and Special Meeting, 110,594,697 shares of the Company’s common stock were outstanding and entitled to vote.

The following matters were submitted at the Annual Meeting, including any adjournments thereof, to the stockholders for consideration to:

Mr. Badavas and Ms. Foster were each elected to serve as a director for the term specified above, or until his or her successor is elected and qualified, and proposal 2 and proposal 3 were approved by the Company’s stockholders. The detailed voting results of the shares voted with regards to each of these matters are as follows:

Continuing directors are as follows: Robert P. Badavas, Joseph F. Hoffman, Thomas J. Fallon, Doreen Woo Ho, Gayle Crowell,

Carol L. Foster, Brad Koenig, and Scott Bluestein.

The Company’s named executive officer compensation was approved.

The appointment of PricewaterhouseCoopers was ratified.

The following matters were submitted at the Special Meeting, including any adjournments thereof, to the stockholders for consideration to:

The proposal to authorize the Company, with the approval of its board of directors, to sell or otherwise issue shares of its common stock at the price below its then current net asset value per share subject to limitations set forth herein (including without limitation, that the number of shares issued does not exceed 25% of its then outstanding common stock) was approved by the Company’s stockholders. The detailed voting results of the shares voted with regards to this matter is as follows:

All stockholders:

All stockholders excluding shares held by affiliated persons: