Current Report Filing (8-k)
May 15 2017 - 10:38AM
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): May 15, 2017
Hercules Capital, Inc.
(Exact name of registrant as specified in its charter)
|
|
|
|
|
Maryland
|
|
814-00702
|
|
74-3113410
|
(State or other jurisdiction
of incorporation)
|
|
(Commission
File No.)
|
|
(I.R.S. Employer
Identification No.)
|
|
|
400 Hamilton Ave., Suite 310
Palo Alto, CA
|
|
94301
|
(Address of principal executive offices)
|
|
(Zip Code)
|
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):
☐
|
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
|
☐
|
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
|
☐
|
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
|
☐
|
Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
|
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 8.01 Other Events
On May 15, 2017,
Hercules Capital, Inc. (the Company) issued a press release announcing that the Company plans to expand its ongoing review designed to determine the most appropriate investment management structure to enhance stockholder value and that
the independent members of the Companys Board of Directors intend to engage an independent financial advisor to assist in the process. Accordingly, the Special Meeting of Stockholders previously scheduled for June 29, 2017 has been
postponed indefinitely and Hamilton Advisers LLCs proposal to seek stockholder approval to adopt an external investment management structure has been withdrawn at this time. The complete text of the press release is included as an exhibit to
this Form 8-K.
Item 9.01 Financial Statements and Exhibits
|
|
|
|
|
99.1
|
|
Press Release dated May 15, 2017.
|
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.
|
|
|
|
|
|
|
|
|
HERCULES CAPITAL, INC.
|
|
|
|
|
May 15, 2017
|
|
|
|
By:
|
|
/s/ Melanie Grace
|
|
|
|
|
|
|
Melanie Grace
General Counsel
|
EXHIBIT INDEX
|
|
|
Exhibit
No.
|
|
Description of Exhibits
|
|
|
99.1
|
|
Press Release dated May 15, 2017.
|
Hercules Capital (NYSE:HTGC)
Historical Stock Chart
From Jun 2024 to Jul 2024
Hercules Capital (NYSE:HTGC)
Historical Stock Chart
From Jul 2023 to Jul 2024