Current Report Filing (8-k)
June 01 2018 - 12:09PM
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 25, 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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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 1.01 Entry into a Material Definitive Agreement.
On May 25, 2018, Hercules Capital, Inc., (the Company) through a special purpose wholly-owned subsidiary, Hercules Funding III, LLC
(Hercules Funding III), entered into the Second Amendment (the Amendment) to the Loan and Security Agreement, dated as of May 5, 2016 (the Union Bank Credit Facility), with MUFG Union Bank, N.A., as the
arranger and administrative agent, and the lenders party thereto from time to time.
The Amendment amends certain provisions of the Union Bank Credit
Facility to increase the commitments thereunder from $75,000,000 to $100,000,000.
The foregoing description of the Amendment does not purport to be
complete, and is qualified in its entirety by reference to the full text of the Amendment filed herewith as Exhibit 10.1 and incorporated herein by reference.
Item 2.03 Creation of a Direct Financial Obligation or an Obligation under an
Off-Balance
Sheet Arrangement of
a Registrant.
The information set forth in Item 1.01 of this Form
8-K
is incorporated herein by
reference.
Item 9.01
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Financial Statements and Exhibits
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(d) Exhibits
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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June 1, 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
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