Current Report Filing (8-k)
23 August 2018 - 6:16AM
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 16, 2018
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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☐
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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 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain
Officers; Compensatory Arrangements of Certain Officers
On August 16, 2018, Gerard R. Waldt, Jr., Controller and Interim Chief Accounting
Officer, tendered his resignation from Hercules Capital, Inc. (the Company). Mr. Waldts resignation was not a result of any disagreement with the Company on any matter relating to the Companys operations, policies or
practices. David Lund, the Companys current Interim Chief Financial Officer, will assume the duties of Interim Chief Accounting Officer effective on or about August 23, 2018. The resignation of Mr. Waldt will be effective on
September 7, 2018.
Mr. Lund, age 64, has served as the Companys Interim Chief Financial Officer since 2017. Prior to joining the Company,
Mr. Lund served as Chief Financial Officer and Consultant of White Oak Global Advisors LLC from 2011 - 2016 where he was Chairman of the Valuation Committee, responsible for financial and tax reporting for various partnerships, managed the
audit process for multiple investment vehicles, and involved in fund structuring and operational initiatives. Since 2016, Mr. Lund has been a Partner at Ravix Group Inc., a provider of outsourced accounting, financial consulting, and
financial management services. Mr. Lund also served as the Companys initial Chief Financial Officer from 2005 through 2011.
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 22, 2018
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By:
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/s/ Melanie Grace
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Melanie Grace
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General Counsel and Secretary
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