Current Report Filing (8-k)
January 20 2017 - 5:03AM
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): January 19, 2017
Hercules Capital, Inc.
(formerly known as Hercules Technology Growth 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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Item 7.01.
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Regulation FD Disclosure.
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On January 19, 2017, Hercules Capital, Inc. (the Company)
issued a press release announcing that it upsized and priced its previously announced offering of $200 million aggregate principal amount of its Convertible Senior Notes due 2022 (the Convertible Senior Notes). The offering was upsized
to $200 million aggregate principal amount of the Convertible Senior Notes from the previously announced offering size of $150 million aggregate principal amount of the Convertible Senior Notes. The Company also granted the initial purchaser an
option to purchase up to an additional $30 million principal amount of the Convertible Senior Notes to cover overallotments, if any. Closing is subject to a number of customary closing conditions and is expected to occur on January 25, 2017.
A copy of the press release is filed herewith as Exhibit 99.1 and incorporated herein by reference.
The information disclosed under this Item 7.01, including Exhibit 99.1 hereto, is being furnished and shall not be deemed filed
by the Company for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the Exchange Act), or otherwise subject to the liabilities of that Section, and shall not be deemed incorporated by reference into any
filing under the Securities Act, or the Exchange Act, except as shall be expressly set forth by specific reference in such filing. The furnishing of this information pursuant to Item 7.01 shall not be deemed an admission by the Company as to
the materiality of such information.
Item 9.01
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Financial Statements and Exhibits
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99.1
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Press Release of Hercules Capital, Inc., dated January 19, 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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January 19, 2017
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By:
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/s/ Melanie Grace
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Melanie Grace
General Counsel
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EXHIBIT INDEX
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Exhibit No.
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Description of Exhibits
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99.1
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Press Release of Hercules Capital, Inc., dated January 19, 2017
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