Hercules Capital, Inc. Contracts & Agreements

Description of the Registrants Securities (Filed With SEC on February 15, 2024)

Underwriting Agreement, dated August 7, 2023, by and among Hercules Capital, Inc. and Morgan Stanley & Co. LLC, UBS Securities LLC and Wells Fargo Securities, LLC as... (Filed With SEC on August 10, 2023)

Form of Equity Distribution Agreement (Filed With SEC on May 5, 2023)

Transfer Agency and Service Agreement, dated October 3, 2022, between Hercules Capital, Inc. and Computershare Trust Company, N.A. and Computershare Inc (Filed With SEC on November 2, 2022)

Form of Dividend Reinvestment Plan, dated September 22, 2022 (Filed With SEC on November 2, 2022)

Second Amendment to Loan and Security Agreement, dated as of June 10, 2022, among Hercules Funding IV LLC, the lenders from time to time party thereto, MUFG Union Bank, N.A., as... (Filed With SEC on June 15, 2022)

Second Amendment to Revolving Credit Agreement, dated as of June 14, 2022, among Hercules Capital, Inc., the lenders party thereto and Sumitomo Mitsui Banking Corporation, as... (Filed With SEC on June 15, 2022)

Form of Equity Distribution Agreement (Filed With SEC on May 9, 2022)

Description of the Registrants Securities (Filed With SEC on February 22, 2022)

Custodial Agreement by and between Hercules Capital, Inc. and State Street Bank and Trust Company, dated as of November 9, 2021 (Filed With SEC on February 22, 2022)

Eighth Supplemental Indenture, dated as of January 20, 2022, between the Registrant and U.S. Bank National Association (Filed With SEC on January 21, 2022)

Underwriting Agreement, dated as of January 14, 2022, by and among Hercules Capital, Inc. and Goldman Sachs & Co. LLC and SMBC Nikko Securities America, Inc., as representatives... (Filed With SEC on January 18, 2022)

Revolving Credit Agreement, dated as of November 9, 2021, among Hercules Capital, Inc., the lenders and issuing banks from time to time party thereto and Sumitomo Mitsui Banking... (Filed With SEC on November 10, 2021)

Seventh Supplemental Indenture, dated as of September 16, 2021 between the Registrant and U.S. Bank National Association (Filed With SEC on September 16, 2021)

Underwriting Agreement, dated as of September 13, 2021, by and among Hercules Capital, Inc. and Goldman Sachs & Co. LLC and SMBC Nikko Securities America, Inc., as representatives... (Filed With SEC on September 15, 2021)

Description of the Registrants Securities (Filed With SEC on February 23, 2021)

First Supplement to the Note Purchase Agreement, dated as of November 2, 2020, by and among Hercules Capital, Inc. and the Additional Purchasers party thereto (Filed With SEC on November 4, 2020)

Equity Distribution Agreement, dated July 2, 2020, between the Company and the Sales Agent (Filed With SEC on July 2, 2020)

Description of the Registrants Securities (Filed With SEC on February 20, 2020)

Sale and Servicing Agreement, dated as of February 20, 2020, by and among Hercules Funding IV LLC, as borrower, Hercules Capital, Inc., as originator and servicer, and MUFG Union... (Filed With SEC on February 20, 2020)

Loan and Security Agreement, dated February 20, 2020 by and among Hercules Funding IV LLC, as borrower, MUFG Union Bank, N.A., as the administrative agent, lender and swingline... (Filed With SEC on February 20, 2020)

Note Purchase Agreement, dated February 5, 2020, by and among Hercules Capital, Inc. and the Purchasers party thereto (Filed With SEC on February 6, 2020)

Form of Amended and Restated Global Custody Agreement, by and between Hercules Capital, Inc. and MUFG Union Bank, N.A (Filed With SEC on October 30, 2019)

Separation Agreement, dated as of July 13, 2019, by and between Hercules Capital, Inc. and Manuel Henriquez (Filed With SEC on August 1, 2019)

Note Purchase Agreement, dated July 16, 2019, by and among Hercules Capital, Inc. and the Purchasers party thereto (Filed With SEC on July 16, 2019)

Eighth Amendment to Amended and Restated Loan and Security Agreement, dated as of July 2, 2019, by and among Hercules Funding II LLC, as borrower, Wells Fargo Capital Finance, LLC... (Filed With SEC on July 3, 2019)

Intercreditor Agreement, dated as of July 2, 2019, by and among Wells Fargo Capital Finance, LLC, as arranger and administrative agent, MUFG Union Bank, N.A., as arranger and... (Filed With SEC on July 3, 2019)

First Amendment to the Loan and Security Agreement, dated as of June 28, 2019, by and among Hercules Funding IV LLC, as borrower, MUFG Union Bank, N.A., as the arranger and... (Filed With SEC on July 3, 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... (Filed With SEC on June 18, 2019)

Hercules Capital, Inc. Amended and Restated 2018 Equity Incentive Plan (Filed With SEC on January 31, 2019)

Form of Incentive Stock Option Award Agreement (Filed With SEC on January 31, 2019)

Form of Nonstatutory Stock Option Award Agreement (Filed With SEC on January 31, 2019)

Form of Restricted Stock Award Agreement (Director Plan) (Filed With SEC on January 31, 2019)

Form of Restricted Stock Award Agreement (2018 Equity Incentive Plan) (Filed With SEC on January 31, 2019)

Hercules Capital, Inc. 2018 Non-Employee Director Plan (Filed With SEC on January 31, 2019)

Form of Restricted Stock Unit Award Agreement (Filed With SEC on January 31, 2019)

Indenture, dated as of January 22, 2019, between Hercules Capital Funding Trust 2019-1, as Issuer, and U.S. Bank National Association, as Trustee (Filed With SEC on January 22, 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... (Filed With SEC on January 22, 2019)

Seventh Amendment to the Amended and Restated Loan and Security Agreement, dated as of January 11, 2019, by and among Hercules Funding II LLC as borrower, Wells Fargo Capital... (Filed With SEC on January 17, 2019)

Sale and Servicing Agreement, dated as of November 1, 2018, by and among Hercules Capital Funding Trust 2018-1, as Issuer, Hercules Capital, Inc., as Seller and Servicer, Hercules... (Filed With SEC on November 2, 2018)

Sale and Contribution Agreement, dated as of November 1, 2018, between Hercules Capital, Inc., as Seller, and Hercules Capital Funding 2018-1 LLC, as Trust Depositor (Filed With SEC on November 2, 2018)

Note Purchase Agreement, dated as of October 25, 2018, by and among Hercules Capital, Inc., as Originator and Servicer, Hercules Capital Funding 2018-1 LLC, as Trust Depositor,... (Filed With SEC on November 2, 2018)

Administration Agreement, dated November 1, 2018, by and among Hercules Capital, Inc., as Administrator, Hercules Capital Funding Trust 2018-1, as Issuer, Wilmington Trust... (Filed With SEC on November 2, 2018)

Amended and Restated Trust Agreement, dated as of November 1, 2018, between Hercules Capital Funding 2018-1 LLC, as Trust Depositor, and Wilmington Trust, National Association, as... (Filed With SEC on November 2, 2018)

Indenture, dated as of November 1, 2018, between Hercules Capital Funding Trust 2018-1, as Issuer, and U.S. Bank National Association, as Trustee (Filed With SEC on November 2, 2018)

Fifth Amendment to the Amended and Restated Loan and Security Agreement, dated as of July 31, 2018, by and among Hercules Funding II LLC as borrower, Wells Fargo Capital Finance,... (Filed With SEC on November 1, 2018)

Sixth Amendment to the Amended and Restated Loan and Security Agreement, dated as of October 26, 2018, by and among Hercules Funding II LLC as borrower, Wells Fargo Capital... (Filed With SEC on November 1, 2018)

Second Amendment to the Loan and Security Agreement, dated as of May 25, 2018, by and among Hercules Funding III, LLC, as borrower, MUFG Union Bank, N.A., as the arranger and... (Filed With SEC on June 1, 2018)

Form of Retention Performance Stock Unit Award Agreement (Filed With SEC on May 3, 2018)

Form of Cash Retention Bonus Award Agreement (Filed With SEC on May 3, 2018)

Separation Agreement, dated as of November 2, 2017, by and between Hercules Capital, Inc. and Mark Harris (Filed With SEC on November 2, 2017)

Asset Purchase Agreement, dated as of November 1, 2017 by and between Ares Capital Corporation, a Maryland corporation and, together with each Seller Designee permitted pursuant... (Filed With SEC on November 2, 2017)

Retention Agreement, dated as of October 26, 2017, by and between Hercules Capital, Inc. and Scott Bluestein (Filed With SEC on October 26, 2017)

Retention Agreement, dated as of October 26, 2017, by and between Hercules Capital, Inc. and Mark Harris (Filed With SEC on October 26, 2017)

Retention Agreement, dated as of October 26, 2017, by and between Hercules Capital, Inc. and Manual Henriquez (Filed With SEC on October 26, 2017)

FOURTH AMENDMENT TO AMENDED AND RESTATED LOAN AND SECURITY AGREEMENT (Filed With SEC on April 7, 2017)

HERCULES CAPITAL, INC. AND U.S. BANK NATIONALASSOCIATION, as Trustee INDENTURE Dated as ofJanuary 25, 2017 4.375% Convertible Senior Notes due 2022 TABLE OF CONTENTS (Filed With SEC on January 25, 2017)

[Hercules Letterhead] Hercules Capital, Inc. Amended and Restated 2004 Equity Incentive Plan Restricted Stock Unit Award Agreement (Filed With SEC on January 5, 2017)

[Hercules Letterhead] Hercules Capital, Inc. Amended and Restated 2004 Equity Incentive Plan Performance Restricted Stock Unit Award Agreement (Filed With SEC on January 5, 2017)

FORM OF HERCULESCAPITAL, INC. 2004 EQUITY INCENTIVE PLAN AS AMENDED AND RESTATED EFFECTIVE DECEMBER 29, 2016 (Filed With SEC on January 5, 2017)

AMENDED AND RESTATED INDEMNIFICATION AGREEMENT (Filed With SEC on July 22, 2016)

FIRST AMENDMENT TO LOAN AND SECURITY AGREEMENT (Filed With SEC on July 19, 2016)

SALE AND SERVICING AGREEMENT Among HERCULES FUNDING III, LLC, as Borrower And HERCULES CAPITAL, INC., asOriginator and Servicer and MUFG UNION BANK, N.A., as Agent Dated as of May... (Filed With SEC on May 10, 2016)

LOAN AND SECURITYAGREEMENT by and among HERCULES FUNDING III, LLC asBorrower, THE LENDERS THAT ARE SIGNATORIES HERETO as the Lenders, and MUFG UNION BANK, N.A. as theArranger and... (Filed With SEC on May 10, 2016)

THIRDAMENDMENT TO AMENDED AND RESTATED LOAN AND SECURITY AGREEMENT (Filed With SEC on April 11, 2016)

SECONDAMENDMENT TO AMENDED AND RESTATED LOAN AND SECURITY AGREEMENT (Filed With SEC on March 8, 2016)

Specimen certificate of the Companys common stock, par value $.001 per share (Filed With SEC on February 25, 2016)

FIRST AMENDMENT TO AMENDED AND RESTATED LOAN AND SECURITY AGREEMENT (Filed With SEC on December 18, 2015)

FIRST AMENDMENT AND WAIVER TO SECOND AMENDED AND RESTATED LOAN AND SECURITY AGREEMENT (Filed With SEC on November 13, 2015)

AMENDED AND RESTATED LOAN AND SECURITY AGREEMENT by and among HERCULESFUNDING II LLC as Borrower, THE LENDERS THAT ARE SIGNATORIES HERETO as the Lenders, and WELLS FARGO CAPITAL... (Filed With SEC on June 30, 2015)

AMENDED AND RESTATED SALE ANDSERVICING AGREEMENT Among HERCULES FUNDING II LLC, asBorrower And HERCULESTECHNOLOGY GROWTH CAPITAL, INC., as Originator and Servicer And WELLS FARGO... (Filed With SEC on June 30, 2015)

SEVENTH AMENDMENT TO LOAN AND SECURITY AGREEMENT (Filed With SEC on May 7, 2015)

SECOND AMENDED AND RESTATED LOAN AND SECURITY AGREEMENT by and among HERCULESTECHNOLOGY GROWTH CAPITAL, INC. as Borrower, THE LENDERS PARTY HERETO FROM TIME TO TIME as Lenders,... (Filed With SEC on August 19, 2014)

FIFTH AMENDMENT TO AMENDED AND RESTATED LOAN AND SECURITY AGREEMENT (Filed With SEC on February 27, 2014)

FOURTH AMENDMENT TO AMENDED AND RESTATED LOAN AND SECURITY AGREEMENT (Filed With SEC on February 27, 2014)

INDENTURE by and between HERCULES CAPITAL FUNDING TRUST 2012-1, as the Issuer, and U.S. BANK NATIONAL ASSOCIATION, as the Trustee Dated as of December 19, 2012 Hercules Capital... (Filed With SEC on December 20, 2012)

AMENDED AND RESTATED TRUST AGREEMENT by and between HERCULES CAPITAL FUNDING 2012-1 LLC, as the Trust Depositor and WILMINGTON TRUST, NATIONAL ASSOCIATION, as the Owner Trustee... (Filed With SEC on December 20, 2012)

SALE AND SERVICING AGREEMENT by and among HERCULES CAPITAL FUNDING TRUST 2012-1, as the Issuer, HERCULES CAPITAL FUNDING 2012-1 LLC, as the Trust Depositor, HERCULES TECHNOLOGY... (Filed With SEC on December 20, 2012)

SALE AND CONTRIBUTION AGREEMENT by and between HERCULES TECHNOLOGY GROWTH CAPITAL, INC., as the Seller and HERCULES CAPITAL FUNDING 2012-1 LLC, as the Trust Depositor Dated as of... (Filed With SEC on December 20, 2012)

HERCULES CAPITAL FUNDING TRUST 2012-1 NOTES U.S. $129,300,000 OF 3.32% ASSET-BACKED NOTES NOTE PURCHASE AGREEMENT (Filed With SEC on December 20, 2012)

ADMINISTRATION AGREEMENT between HERCULES CAPITAL FUNDING TRUST 2012-1, as Issuer, HERCULES TECHNOLOGY GROWTH CAPITAL, INC., as Administrator WILMINGTON TRUST, NATIONAL... (Filed With SEC on December 20, 2012)

THIRD AMENDMENT TO AMENDED AND RESTATED LOAN AND SECURITY AGREEMENT (Filed With SEC on December 20, 2012)

THIRD AMENDMENT TO LOAN AND SECURITY AGREEMENT (Filed With SEC on August 2, 2012)

FIRST AMENDMENT TO AMENDED AND RESTATED LOAN AND SECURITY AGREEMENT (Filed With SEC on May 8, 2012)

AMENDED AND RESTATED LOAN AND SECURITY AGREEMENT by and among HERCULES TECHNOLOGY GROWTH CAPITAL, INC. as Borrower, THE LENDERS PARTY HERETO FROM TIME TO TIME as Lenders, and... (Filed With SEC on November 4, 2011)

FOURTH AMENDMENT TO LOAN AND SECURITY AGREEMENT (Filed With SEC on June 24, 2011)

SECOND AMENDMENT TO LOAN AND SECURITY AGREEMENT (Filed With SEC on June 24, 2011)

HERCULES TECHNOLOGY GROWTHCAPITAL, INC. AND U.S. BANK NATIONAL ASSOCIATION, as Trustee INDENTURE Dated as of April 15, 2011 6.00% Convertible Senior Notes due 2016 TABLE OF... (Filed With SEC on April 18, 2011)

FIRST AMENDMENT TO LOAN AND SECURITY AGREEMENT (Filed With SEC on May 11, 2009)

Hercules Technology Growth Capital, Inc. Amended and Restated 2004 Equity Incentive Plan Restricted Stock Award Agreement (Filed With SEC on March 16, 2009)

DEBENTURE ***************** (Filed With SEC on March 16, 2009)

LOAN AND SECURITY AGREEMENT by and among HERCULES FUNDING II LLC as Borrower, THE LENDERS THAT ARE SIGNATORIES HERETO as the Lenders, and WELLS FARGO FOOTHILL, LLC as the Arranger... (Filed With SEC on August 27, 2008)

Dated as of August 25, 2008 TABLE OF CONTENTS (Filed With SEC on August 27, 2008)

THIRD AMENDMENT TO SALE AND SERVICING AGREEMENT (Hercules Funding Trust I) (Filed With SEC on August 3, 2006)

OFFICE LEASE AGREEMENT 400 HAMILTON BUILDING (Filed With SEC on August 1, 2006)

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Hercules Capital, Inc. Contracts & Agreements