Hercules Capital, Inc. Business Finance Contracts & Agreements

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Indenture for 4.750% Convertible Senior Notes due 2028 between Hercules Capital, Inc. and U.S. Bank Trust Company, N.A.
Indenture Agreements
Hercules Capital, Inc.
Capital Markets
MD
2025
Description of Securities Registered under Section 12 of the Exchange Act – Hercules Capital, Inc.
Equity Distribution Agreements
Hercules Capital, Inc.
Capital Markets
2025
Third Amendment to Letter of Credit Facility Agreement between Hercules Capital, Inc. and Sumitomo Mitsui Banking Corporation
Facility Agreements
Hercules Capital, Inc.
Capital Markets
NY
2025
Equity Distribution Agreement between Hercules Capital, Inc. and Sales Manager (December 2024)
Equity Distribution Agreements
Hercules Capital, Inc.
Capital Markets
MD
2024
Description of Securities Registered Under Section 12 of the Exchange Act – Hercules Capital, Inc.
Equity Distribution Agreements
Hercules Capital, Inc.
Capital Markets
2024
Underwriting Agreement for Sale of 6,500,000 Shares of Common Stock by Hercules Capital, Inc. to Underwriters Led by Morgan Stanley, UBS, and Wells Fargo
Underwriting Agreements
Hercules Capital, Inc.
Capital Markets
NY
2023
Hercules Capital, Inc. Equity Distribution Agreement with Sales Manager (May 2023)
Equity Distribution Agreements
Hercules Capital, Inc.
Capital Markets
MD
2023
Hercules Capital, Inc. Dividend Reinvestment Plan Agreement
Equity Distribution Agreements
Hercules Capital, Inc.
Capital Markets
NY
2022
Second Amendment to Loan and Security Agreement among Hercules Funding IV LLC, Lenders, and MUFG Bank, Ltd.
Loan Agreements
Hercules Capital, Inc.
Capital Markets
NY
2022
Second Amendment to Revolving Credit Agreement among Hercules Capital, Inc., Lenders, and SMBC
Modification Agreements
Hercules Capital, Inc.
Capital Markets
NY
2022
Hercules Capital, Inc. Equity Distribution Agreement with Sales Manager (May 2022)
Equity Distribution Agreements
Hercules Capital, Inc.
Capital Markets
MD
2022
Custody Agreement between State Street Bank and Trust Company and Clients Listed in Appendix A (November 9, 2021)
Trust Agreements
Hercules Capital, Inc.
Capital Markets
MA
2022
Description of Securities Registered under Section 12 of the Exchange Act – Hercules Capital, Inc.
Registration Rights Agreements
Hercules Capital, Inc.
Capital Markets
2022
Eighth Supplemental Indenture between Hercules Capital, Inc. and U.S. Bank National Association (3.375% Notes Due 2027)
Indenture Agreements
Hercules Capital, Inc.
Capital Markets
2022
Underwriting Agreement for $350,000,000 3.375% Notes Due 2027 between Hercules Capital, Inc. and Underwriters
Underwriting Agreements
Hercules Capital, Inc.
Capital Markets
NY
2022
Revolving Credit Agreement among Hercules Capital, Inc., Lenders, and Sumitomo Mitsui Banking Corporation (2021)
Credit Agreements
Hercules Capital, Inc.
Capital Markets
NY
2021
Seventh Supplemental Indenture between Hercules Capital, Inc. and U.S. Bank National Association (2.625% Notes Due 2026)
Indenture Agreements
Hercules Capital, Inc.
Capital Markets
2021
Underwriting Agreement for $325,000,000 2.625% Notes Due 2026 between Hercules Capital, Inc. and Underwriters (Goldman Sachs & Co. LLC, SMBC Nikko Securities America, Inc.)
Underwriting Agreements
Hercules Capital, Inc.
Capital Markets
NY
2021
Description of Securities Registered Under Section 12 of the Exchange Act – Hercules Capital, Inc.
Equity Distribution Agreements
Hercules Capital, Inc.
Capital Markets
2021
First Supplement to Note Purchase Agreement between Hercules Capital, Inc. and Additional Purchasers (Series 2020B Senior Notes)
Note Agreements
Hercules Capital, Inc.
Capital Markets
2020
Equity Distribution Agreement between Hercules Capital, Inc. and JMP Securities LLC (July 2, 2020)
Equity Distribution Agreements
Hercules Capital, Inc.
Capital Markets
MD
2020
Loan and Security Agreement among Hercules Funding IV LLC, Lenders, and MUFG Union Bank, N.A. (February 20, 2020)
Loan Agreements
Hercules Capital, Inc.
Capital Markets
DE
2020
Sale and Servicing Agreement among Hercules Funding IV LLC, Hercules Capital, Inc., and MUFG Union Bank, N.A. (February 20, 2020)
Servicing Agreements
Hercules Capital, Inc.
Capital Markets
NY
2020
Description of Securities Registered Under Section 12 of the Exchange Act – Hercules Capital, Inc.
Equity Distribution Agreements
Hercules Capital, Inc.
Capital Markets
2020
Master Note Purchase Agreement between Hercules Capital, Inc. and Purchasers for $120,000,000 Senior Notes (2020)
Note Agreements
Hercules Capital, Inc.
Capital Markets
NY
2020
Note Purchase Agreement for $105,000,000 4.77% Senior Notes due July 16, 2024 between Hercules Capital, Inc. and Purchasers
Note Agreements
Hercules Capital, Inc.
Capital Markets
NY
2019
Eighth Amendment to Amended and Restated Loan and Security Agreement among Hercules Funding II LLC, Wells Fargo Capital Finance, LLC, and Lenders
Loan Agreements
Hercules Capital, Inc.
Capital Markets
NY
2019
First Amendment to Loan and Security Agreement among Hercules Funding IV LLC, City National Bank, Umpqua Bank, and MUFG Union Bank, N.A.
Modification Agreements
Hercules Capital, Inc.
Capital Markets
NY
2019
Underwriting Agreement, dated June 12, 2019, by and among Hercules Capital, Inc. and Morgan Stanley & Co. LLC, Wells Fargo Securities, LLC and Keefe, Bruyette & Woods, Inc., as...
Underwriting Agreements
Hercules Capital, Inc.
Capital Markets
NY
2019
Form of Nonstatutory Stock Option Award Agreement
Stock Agreements
Hercules Capital, Inc.
Capital Markets
2019
Form of Restricted Stock Award Agreement (Director Plan)
Stock Agreements
Hercules Capital, Inc.
Capital Markets
2019
Form of Restricted Stock Unit Award Agreement
Stock Agreements
Hercules Capital, Inc.
Capital Markets
2019
Indenture Agreement between Hercules Capital Funding Trust 2019-1 and U.S. Bank National Association (2019)
Indenture Agreements
Hercules Capital, Inc.
Capital Markets
NY
2019
Amended and Restated Trust Agreement, dated as of January 22, 2019, between Hercules Capital Funding 2019-1 LLC, as Trust Depositor, and Wilmington Trust, National Association, as...
Funding Agreements
Hercules Capital, Inc.
Capital Markets
DE
2019
Seventh Amendment to Amended and Restated Loan and Security Agreement by and among Hercules Funding II LLC, Wells Fargo Capital Finance, LLC, and Lenders
Loan Agreements
Hercules Capital, Inc.
Capital Markets
NY
2019
Note Purchase Agreement for U.S.$200,000,000 4.605% Series 2018-1 Fixed Rate Senior Notes by Hercules Capital Funding Trust 2018-1 and Guggenheim Securities, LLC
Note Agreements
Hercules Capital, Inc.
Capital Markets
NY
2018
Sale and Contribution Agreement between Hercules Capital, Inc. and Hercules Capital Funding 2018-1 LLC (November 1, 2018)
Contribution Agreements
Hercules Capital, Inc.
Capital Markets
DE
2018
Sale and Servicing Agreement among Hercules Capital Funding Trust 2018-1, Hercules Capital Funding 2018-1 LLC, Hercules Capital, Inc., and U.S. Bank National Association (November...
Servicing Agreements
Hercules Capital, Inc.
Capital Markets
NY
2018
Amended and Restated Trust Agreement between Hercules Capital Funding 2018-1 LLC and Wilmington Trust, National Association (Owner Trustee)
Trust Agreements
Hercules Capital, Inc.
Capital Markets
DE
2018
Indenture Agreement between Hercules Capital Funding Trust 2018-1 and U.S. Bank National Association (2018)
Indenture Agreements
Hercules Capital, Inc.
Capital Markets
DE
2018