Hercules Capital, Inc. Contracts & Agreements

105 Contracts & Agreements
Browse by Contract Category
Contracts
Category
Company
Industry
Jur. Jurisdiction
Filed
Underwriting Agreement for $350,000,000 6.000% Notes Due 2030 between Hercules Capital, Inc. and Underwriters (Goldman Sachs & Co. LLC, SMBC Nikko Securities America, Inc.)
Underwriting Agreements
Hercules Capital, Inc.
Capital Markets
NY
2025
Ninth Supplemental Indenture between Hercules Capital, Inc. and U.S. Bank Trust Company, N.A. (6.000% Notes Due 2030)
Indenture Agreements
Hercules Capital, Inc.
Capital Markets
2025
Fourth Amendment to Loan and Security Agreement among Hercules Funding IV LLC, Lenders, and MUFG Bank, Ltd.
Loan Agreements
Hercules Capital, Inc.
Capital Markets
NY
2025
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
Transfer Agency and Service Agreement between Hercules Capital, Inc. and Computershare Trust Company, N.A. and Computershare Inc.
Administration 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
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
Hercules Capital, Inc. Equity Distribution Agreement with Sales Manager (May 2022)
Equity Distribution Agreements
Hercules Capital, Inc.
Capital Markets
MD
2022
Description of Securities Registered under Section 12 of the Exchange Act – Hercules Capital, Inc.
Registration Rights Agreements
Hercules Capital, Inc.
Capital Markets
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
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
Description of Securities Registered Under Section 12 of the Exchange Act – Hercules Capital, Inc.
Equity Distribution Agreements
Hercules Capital, Inc.
Capital Markets
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
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
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
Amended and Restated Global Custody Agreement between Hercules Capital and MUFG Union Bank, N.A.
Hercules Capital, Inc.
Capital Markets
CA
2019
Separation and Release Agreement between Hercules Capital, Inc. and Manuel Henriquez (July 13, 2019)
Separation Agreements
Hercules Capital, Inc.
Capital Markets
CA
2019
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
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
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
Intercreditor Agreement among Wells Fargo Capital Finance, MUFG Union Bank, Hercules Funding II LLC, Hercules Funding IV LLC, Hercules Capital, and U.S. Bank National Association...
Services Agreements
Hercules Capital, Inc.
Capital Markets
NY
2019
Hercules Capital, Inc. Common Stock Underwriting Agreement with Morgan Stanley, Wells Fargo, and Keefe, Bruyette & Woods (June 12, 2019)
Underwriting Agreements
Hercules Capital, Inc.
Capital Markets
NY
2019
Hercules Capital, Inc. Amended and Restated 2018 Equity Incentive Plan
Bonus & Incentive Agreements
Hercules Capital, Inc.
Capital Markets
2019
Hercules Capital, Inc. 2018 Non-Employee Director Equity Award Plan
Bonus & Incentive Agreements
Hercules Capital, Inc.
Capital Markets
NY
2019
Hercules Capital, Inc. Restricted Stock Unit Award Agreement under Amended and Restated 2018 Equity Incentive Plan
Bonus & Incentive Agreements
Hercules Capital, Inc.
Capital Markets
2019
Hercules Capital, Inc. Restricted Stock Award Agreement under Amended and Restated 2018 Equity Incentive Plan
Bonus & Incentive Agreements
Hercules Capital, Inc.
Capital Markets
2019
Hercules Capital, Inc. 2018 Non-Employee Director Plan Restricted Stock Award Agreement with Participant
Bonus & Incentive Agreements
Hercules Capital, Inc.
Capital Markets
2019
Hercules Capital, Inc. Nonstatutory Stock Option Agreement under Amended and Restated 2018 Equity Incentive Plan
Warrant Agreements
Hercules Capital, Inc.
Capital Markets
2019
Hercules Capital, Inc. Incentive Stock Option Agreement Under Amended and Restated 2018 Equity Incentive Plan
Bonus & Incentive Agreements
Hercules Capital, Inc.
Capital Markets
2019
Amended and Restated Trust Agreement between Hercules Capital Funding 2019-1 LLC and Wilmington Trust, National Association (Hercules Capital Funding Trust 2019-1)
Trust Agreements
Hercules Capital, Inc.
Capital Markets
DE
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
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
Administration Agreement among Hercules Capital Funding Trust 2018-1, Hercules Capital, Inc., Wilmington Trust, and U.S. Bank National Association (November 1, 2018)
Administration Agreements
Hercules Capital, Inc.
Capital Markets
MD
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
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
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
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
Fifth 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
2018
Sixth 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
2018
Second Amendment to Loan and Security Agreement among MUFG Union Bank, N.A., Hercules Funding III, LLC, and Lenders
Modification Agreements
Hercules Capital, Inc.
Capital Markets
2018
Hercules Capital, Inc. Amended and Restated 2004 Equity Incentive Plan Retention Performance Stock Unit Award Agreement
Bonus & Incentive Agreements
Hercules Capital, Inc.
Capital Markets
MD
2018
Hercules Capital, Inc. Cash Retention Bonus Award Agreement (May 2, 2018)
Bonus & Incentive Agreements
Hercules Capital, Inc.
Capital Markets
MD
2018
Asset Purchase Agreement between Ares Capital Corporation and Bearcub Acquisitions LLC (November 1, 2017)
Purchase Agreements
Hercules Capital, Inc.
Capital Markets
DE
2017
Separation and Release Agreement between Hercules Capital, Inc. and Mark Harris (November 2, 2017)
Separation Agreements
Hercules Capital, Inc.
Capital Markets
CA
2017
Retention Agreement between Hercules Capital, Incorporated and Executive (October 26, 2017)
Retention Agreements
Hercules Capital, Inc.
Capital Markets
CA
2017
Retention Agreement between Hercules Capital, Incorporated and Executive (October 26, 2017)
Retention Agreements
Hercules Capital, Inc.
Capital Markets
CA
2017
Hercules Capital, Inc. Retention Agreement with Executive (Effective October 26, 2017)
Retention Agreements
Hercules Capital, Inc.
Capital Markets
MA
2017
Fourth 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
2017
Indenture for 4.375% Convertible Senior Notes due 2022 between Hercules Capital, Inc. and U.S. Bank National Association
Indenture Agreements
Hercules Capital, Inc.
Capital Markets
MD
2017
Hercules Capital, Inc. 2004 Equity Incentive Plan (Amended and Restated Effective December 29, 2016)
Bonus & Incentive Agreements
Hercules Capital, Inc.
Capital Markets
2017
Hercules Capital, Inc. Restricted Stock Unit Award Agreement under Amended and Restated 2004 Equity Incentive Plan
Bonus & Incentive Agreements
Hercules Capital, Inc.
Capital Markets
2017
Hercules Capital, Inc. Amended and Restated 2004 Equity Incentive Plan Performance Restricted Stock Unit Award Agreement
Bonus & Incentive Agreements
Hercules Capital, Inc.
Capital Markets
2017
Amended and Restated Indemnification Agreement between Hercules Capital, Inc. and Director or Officer
Indemnification Agreements
Hercules Capital, Inc.
Capital Markets
MD
2016
First Amendment to Loan and Security Agreement between Hercules Funding III, LLC and MUFG Union Bank, N.A.
Modification Agreements
Hercules Capital, Inc.
Capital Markets
NY
2016
Loan and Security Agreement among Hercules Funding III, LLC, Lenders, and MUFG Union Bank, N.A. (May 5, 2016)
Loan Agreements
Hercules Capital, Inc.
Capital Markets
NY
2016
Sale and Servicing Agreement among Hercules Funding III, LLC, Hercules Capital, Inc., and MUFG Union Bank, N.A. dated May 5, 2016
Servicing Agreements
Hercules Capital, Inc.
Capital Markets
MD
2016
Third Amendment to Amended and Restated Loan and Security Agreement among Hercules Funding II LLC, Wells Fargo Capital Finance, LLC, and Lenders (April 7, 2016)
Loan Agreements
Hercules Capital, Inc.
Capital Markets
NY
2016
Second 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
2016
First 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
2015
First Amendment and Waiver to Second Amended and Restated Loan and Security Agreement by and among Hercules Technology Growth Capital, Inc., Lenders, and MUFG Union Bank, N.A.
Modification Agreements
Hercules Capital, Inc.
Capital Markets
2015
Amended and Restated Loan and Security Agreement among Hercules Funding II LLC, Lenders, and Wells Fargo Capital Finance, LLC (June 29, 2015)
Loan Agreements
Hercules Capital, Inc.
Capital Markets
NY
2015
Amended and Restated Sale and Servicing Agreement among Hercules Funding II LLC, Hercules Technology Growth Capital, Inc., and Wells Fargo Capital Finance, LLC (June 29, 2015)
Servicing Agreements
Hercules Capital, Inc.
Capital Markets
MD
2015
Seventh Amendment to Loan and Security Agreement among Hercules Funding II LLC, Wells Fargo Capital Finance, LLC, and Lenders
Loan Agreements
Hercules Capital, Inc.
Capital Markets
NY
2015
Fifth Amendment to Loan and Security Agreement among Hercules Funding II LLC and Wells Fargo Capital Finance, LLC
Loan Agreements
Hercules Capital, Inc.
Capital Markets
NY
2014
Second Amended and Restated Loan and Security Agreement among Hercules Technology Growth Capital, Inc., MUFG Union Bank, N.A., and Lenders
Loan Agreements
Hercules Capital, Inc.
Capital Markets
CA
2014
Fourth Amendment to Amended and Restated Loan and Security Agreement by and among Hercules Technology Growth Capital, Inc., Union Bank, N.A., and Lenders
Modification Agreements
Hercules Capital, Inc.
Capital Markets
2014
Fifth Amendment to Amended and Restated Loan and Security Agreement by and among Hercules Technology Growth Capital, Inc., Union Bank, N.A., and Lenders
Modification Agreements
Hercules Capital, Inc.
Capital Markets
2014
Indenture Agreement between Hercules Capital Funding Trust 2012-1 and U.S. Bank National Association, dated December 19, 2012
Indenture Agreements
Hercules Capital, Inc.
Capital Markets
DE
2012
Amended and Restated Trust Agreement between Hercules Capital Funding 2012-1 LLC and Wilmington Trust, National Association (Owner Trustee)
Trust Agreements
Hercules Capital, Inc.
Capital Markets
DE
2012
Sale and Servicing Agreement among Hercules Capital Funding Trust 2012-1, Hercules Capital Funding 2012-1 LLC, Hercules Technology Growth Capital, Inc., and U.S. Bank National...
Servicing Agreements
Hercules Capital, Inc.
Capital Markets
NY
2012
Sale and Contribution Agreement between Hercules Technology Growth Capital, Inc. and Hercules Capital Funding 2012-1 LLC (December 19, 2012)
Contribution Agreements
Hercules Capital, Inc.
Capital Markets
DE
2012
Note Purchase Agreement between Hercules Capital Funding Trust 2012-1 and Guggenheim Securities, LLC for $129,300,000 3.32% Asset-Backed Notes
Note Agreements
Hercules Capital, Inc.
Capital Markets
NY
2012
Administration Agreement among Hercules Capital Funding Trust 2012-1, Hercules Technology Growth Capital, Inc., Wilmington Trust, and U.S. Bank National Association (December 19,...
Administration Agreements
Hercules Capital, Inc.
Capital Markets
MD
2012
Third Amendment to Amended and Restated Loan and Security Agreement among Hercules Technology Growth Capital, Inc., Union Bank, N.A., and Lenders
Loan Agreements
Hercules Capital, Inc.
Capital Markets
2012
Third Amendment to Loan and Security Agreement among Hercules Funding II LLC and Wells Fargo Capital Finance, LLC (August 1, 2012)
Loan Agreements
Hercules Capital, Inc.
Capital Markets
NY
2012
First Amendment to Amended and Restated Loan and Security Agreement by and among Hercules Technology Growth Capital, Inc., Union Bank, N.A., and Lenders
Modification Agreements
Hercules Capital, Inc.
Capital Markets
2012
Amended and Restated Loan and Security Agreement among Hercules Technology Growth Capital, Inc., Union Bank, N.A., and Lenders
Loan Agreements
Hercules Capital, Inc.
Capital Markets
CA
2011
Second Amendment to Loan and Security Agreement among Hercules Funding II LLC and Wells Fargo Capital Finance, LLC
Loan Agreements
Hercules Capital, Inc.
Capital Markets
NY
2011
Fourth Amendment to Loan and Security Agreement between Hercules Technology Growth Capital, Inc. and Union Bank, N.A.
Modification Agreements
Hercules Capital, Inc.
Capital Markets
2011
Indenture for 6.00% Convertible Senior Notes due 2016 between Hercules Technology Growth Capital, Inc. and U.S. Bank National Association
Indenture Agreements
Hercules Capital, Inc.
Capital Markets
MD
2011
First Amendment to Loan and Security Agreement among Hercules Funding II LLC, Wells Fargo Foothill, LLC, and Lenders (April 30, 2009)
Loan Agreements
Hercules Capital, Inc.
Capital Markets
NY
2009
Restricted Stock Award Agreement under the 2004 Equity Incentive Plan – Hercules Technology Growth Capital, Inc.
Equity Distribution Agreements
Hercules Capital, Inc.
Capital Markets
2009
Form of SBA Debenture Between Company and JPMorgan Chase Bank N.A. as Custodian for SBA and SBIC Funding Corporation
Debenture Agreements
Hercules Capital, Inc.
Capital Markets
2009
Loan and Security Agreement among Hercules Funding II LLC, Lenders, and Wells Fargo Foothill, LLC (August 25, 2008)
Loan Agreements
Hercules Capital, Inc.
Capital Markets
NY
2008
Sale and Servicing Agreement among Hercules Funding II LLC, Hercules Technology Growth Capital, Inc., Lyon Financial Services, Inc., and Wells Fargo Foothill, LLC (August 25, 2008)
Hercules Capital, Inc.
Capital Markets
CA
2008
Amended and Restated Sale and Servicing Agreement among Hercules Funding Trust I, Hercules Funding I LLC, Hercules Technology Growth Capital, U.S. Bank, Lyon Financial Services,...
Servicing Agreements
Hercules Capital, Inc.
Capital Markets
DE
2007
Fifth Amendment to Sale and Servicing Agreement among Hercules Funding Trust I, Hercules Funding I LLC, Hercules Technology Growth Capital, Inc., U.S. Bank National Association,...
Modification Agreements
Hercules Capital, Inc.
Capital Markets
2007
Second Omnibus Amendment to Sale and Servicing and Warrant Participation Agreements (Hercules Funding Trust I, Hercules Funding I, LLC, Hercules Technology Growth Capital, U.S....
Modification Agreements
Hercules Capital, Inc.
Capital Markets
2006
Third Amendment to Sale and Servicing Agreement among Hercules Funding Trust I, Hercules Funding I LLC, Hercules Technology Growth Capital, Inc., U.S. Bank National Association,...
Modification Agreements
Hercules Capital, Inc.
Capital Markets
2006
Office Lease Agreement between 400 Hamilton Associates and Hercules Technology Growth Capital, Inc.
Lease Agreements
Hercules Capital, Inc.
Capital Markets
CA
2006