Current Report Filing (8-k)
04 August 2017 - 6:25AM
Edgar (US Regulatory)
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 3, 2017
Hercules Capital, Inc.
(Exact name of registrant as specified in its charter)
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Maryland
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814-00702
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74-3113410
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(State or other jurisdiction
of incorporation)
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(Commission
File No.)
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(I.R.S. Employer
Identification No.)
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400 Hamilton Ave., Suite 310
Palo Alto, CA
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94301
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(Address of principal executive offices)
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(Zip Code)
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Registrants telephone number, including area code: (650)
289-3060
Not Applicable
(Former name or address, if changed since last report)
Check the appropriate box below
if the Form
8-K
filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):
☐
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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Soliciting material pursuant to Rule
14a-12
under the Exchange Act (17 CFR
240.14a-12)
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Pre-commencement
communications pursuant to Rule
14d-2(b)
under the Exchange Act (17 CFR
240.14d-2(b))
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Pre-commencement
communications pursuant to Rule
13e-4(c)
under the Exchange Act (17 CFR
240.13e-4(c))
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Indicate by check mark whether the registrant is an emerging growth company as
defined in Rule 405 of the Securities Act of 1933 (230.405 of this chapter) or Rule
12b-2
of the Securities Exchange Act of 1934
(240.12b-2
of this chapter).
Emerging growth company ☐
If an emerging
growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange
Act. ☐
Item 2.02 Results of Operations and Financial Condition
On August 3, 2017, Hercules Capital, Inc. issued a press release announcing its earnings for the quarter ended June 30, 2017 and that it had declared
a dividend. The text of the press release is included as an exhibit to this Form
8-K.
This information disclosed
under this Item 2.02 including Exhibit 99.1 hereto, is being furnished and shall not be deemed filed for purposes of Section 18 of the Securities Exchange Act of 1934 and shall not be deemed incorporated by reference into any filing
made under the Securities Act of 1933, except as expressly set forth by specific reference in such filing.
Item 9.01 Financial Statements and
Exhibits
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99.1
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Press Release dated August 3, 2017
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SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned
hereunto duly authorized.
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HERCULES CAPITAL, INC.
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August 3, 2017
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By:
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/s/ Melanie Grace
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Melanie Grace
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General Counsel, Chief Compliance Officer And Secretary
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EXHIBIT INDEX
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Exhibit
No.
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Description
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99.1
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Press Release dated August 3, 2017
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