Hercules Capital, Inc. Contracts & Agreements

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FIRST AMENDMENT TO AMENDED AND RESTATED LOAN AND SECURITY AGREEMENT
Loan Agreements
Hercules Capital, Inc.
Capital Markets
2012
Description of the Registrants Securities
Hercules Capital, Inc.
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...
Underwriting Agreements
Hercules Capital, Inc.
2023
Form of Equity Distribution Agreement
Equity Distribution Agreements
Hercules Capital, Inc.
2023
Form of Dividend Reinvestment Plan, dated September 22, 2022
Hercules Capital, Inc.
Capital Markets
NY
2022
Transfer Agency and Service Agreement, dated October 3, 2022, between Hercules Capital, Inc. and Computershare Trust Company, N.A. and Computershare Inc
Agency Agreements
Hercules Capital, Inc.
Capital Markets
NY
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...
Credit Agreements
Hercules Capital, Inc.
Capital Markets
NY
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...
Loan Agreements
Hercules Capital, Inc.
Capital Markets
NY
2022
Form of Equity Distribution Agreement
Equity Distribution Agreements
Hercules Capital, Inc.
Capital Markets
MD
2022
Description of the Registrants Securities
Hercules Capital, Inc.
Capital Markets
2022
Custodial Agreement by and between Hercules Capital, Inc. and State Street Bank and Trust Company, dated as of November 9, 2021
Trust Agreements
Hercules Capital, Inc.
Capital Markets
MA
2022
Eighth Supplemental Indenture, dated as of January 20, 2022, between the Registrant and U.S. Bank National Association
Indenture Agreements
Hercules Capital, Inc.
Capital Markets
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...
Underwriting Agreements
Hercules Capital, Inc.
Capital Markets
NY
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...
Credit Agreements
Hercules Capital, Inc.
Capital Markets
NY
2021
Seventh Supplemental Indenture, dated as of September 16, 2021 between the Registrant and U.S. Bank National Association
Indenture Agreements
Hercules Capital, Inc.
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...
Underwriting Agreements
Hercules Capital, Inc.
2021
Description of the Registrants Securities
Hercules Capital, Inc.
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
Note Agreements
Hercules Capital, Inc.
Capital Markets
2020
Equity Distribution Agreement, dated July 2, 2020, between the Company and the Sales Agent
Sales Agreements
Hercules Capital, Inc.
Capital Markets
MD
2020
Description of the Registrants Securities
Hercules Capital, Inc.
Capital Markets
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...
Services Agreements
Hercules Capital, Inc.
Capital Markets
NY
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...
Loan Agreements
Hercules Capital, Inc.
2020
Note Purchase Agreement, dated February 5, 2020, by and among Hercules Capital, Inc. and the Purchasers party thereto
Note Agreements
Hercules Capital, Inc.
Capital Markets
NY
2020
Form of Amended and Restated Global Custody Agreement, by and between Hercules Capital, Inc. and MUFG Union Bank, N.A
Hercules Capital, Inc.
Capital Markets
CA
2019
Separation Agreement, dated as of July 13, 2019, by and between Hercules Capital, Inc. and Manuel Henriquez
Separation Agreements
Hercules Capital, Inc.
Capital Markets
CA
2019
Note Purchase Agreement, dated July 16, 2019, by and among Hercules Capital, Inc. and the Purchasers party thereto
Note Agreements
Hercules Capital, Inc.
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...
Loan Agreements
Hercules Capital, Inc.
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...
Loan Agreements
Hercules Capital, Inc.
Capital Markets
NY
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...
Services 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.
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 Plan
Hercules Capital, Inc.
2019
Form of Restricted Stock Unit Award Agreement
Stock Agreements
Hercules Capital, Inc.
Capital Markets
2019
Form of Restricted Stock Award Agreement (2018 Equity Incentive Plan)
Bonus & Incentive Agreements
Hercules Capital, Inc.
Capital Markets
2019
Form of Restricted Stock Award Agreement (Director Plan)
Stock Agreements
Hercules Capital, Inc.
2019
Form of Nonstatutory Stock Option Award Agreement
Stock Agreements
Hercules Capital, Inc.
2019
Form of Incentive Stock Option Award Agreement
Bonus & Incentive Agreements
Hercules Capital, Inc.
Capital Markets
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
Indenture, dated as of January 22, 2019, between Hercules Capital Funding Trust 2019-1, as Issuer, and U.S. Bank National Association, as Trustee
Indenture Agreements
Hercules Capital, Inc.
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...
Loan Agreements
Hercules Capital, Inc.
Capital Markets
NY
2019
Indenture, dated as of November 1, 2018, between Hercules Capital Funding Trust 2018-1, as Issuer, and U.S. Bank National Association, as Trustee
Indenture Agreements
Hercules Capital, Inc.
Capital Markets
DE
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...
Funding Agreements
Hercules Capital, Inc.
2018
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...
Services Agreements
Hercules Capital, Inc.
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
Funding Agreements
Hercules Capital, Inc.
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,...
Note Agreements
Hercules Capital, Inc.
Capital Markets
NY
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...
Funding Agreements
Hercules Capital, Inc.
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,...
Loan Agreements
Hercules Capital, Inc.
Capital Markets
NY
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...
Loan Agreements
Hercules Capital, Inc.
Capital Markets
NY
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...
Loan Agreements
Hercules Capital, Inc.
Capital Markets
2018
Form of Retention Performance Stock Unit Award Agreement
Bonus & Incentive Agreements
Hercules Capital, Inc.
Capital Markets
MD
2018
Form of Cash Retention Bonus Award Agreement
Bonus & Incentive Agreements
Hercules Capital, Inc.
2018
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...
Purchase Agreements
Hercules Capital, Inc.
2017
Separation Agreement, dated as of November 2, 2017, by and between Hercules Capital, Inc. and Mark Harris
Separation Agreements
Hercules Capital, Inc.
Capital Markets
CA
2017
Retention Agreement, dated as of October 26, 2017, by and between Hercules Capital, Inc. and Manual Henriquez
Retention Agreements
Hercules Capital, Inc.
2017
Retention Agreement, dated as of October 26, 2017, by and between Hercules Capital, Inc. and Mark Harris
Retention Agreements
Hercules Capital, Inc.
Capital Markets
CA
2017
Retention Agreement, dated as of October 26, 2017, by and between Hercules Capital, Inc. and Scott Bluestein
Retention Agreements
Hercules Capital, Inc.
Capital Markets
MA
2017
FOURTH AMENDMENT TO AMENDED AND RESTATED LOAN AND SECURITY AGREEMENT
Loan Agreements
Hercules Capital, Inc.
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
Indenture Agreements
Hercules Capital, Inc.
Capital Markets
MD
2017
FORM OF HERCULESCAPITAL, INC. 2004 EQUITY INCENTIVE PLAN AS AMENDED AND RESTATED EFFECTIVE DECEMBER 29, 2016
Bonus & Incentive Agreements
Hercules Capital, Inc.
Capital Markets
2017
[Hercules Letterhead] Hercules Capital, Inc. Amended and Restated 2004 Equity Incentive Plan Restricted Stock Unit Award Agreement
Bonus & Incentive Agreements
Hercules Capital, Inc.
Capital Markets
2017
[Hercules Letterhead] Hercules Capital, Inc. Amended and Restated 2004 Equity Incentive Plan Performance Restricted Stock Unit Award Agreement
Bonus & Incentive Agreements
Hercules Capital, Inc.
2017
AMENDED AND RESTATED INDEMNIFICATION AGREEMENT
Indemnification Agreements
Hercules Capital, Inc.
2016
FIRST AMENDMENT TO LOAN AND SECURITY AGREEMENT
Loan Agreements
Hercules Capital, Inc.
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...
Loan Agreements
Hercules Capital, Inc.
Capital Markets
NY
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...
Services Agreements
Hercules Capital, Inc.
Capital Markets
MD
2016
THIRDAMENDMENT TO AMENDED AND RESTATED LOAN AND SECURITY AGREEMENT
Loan Agreements
Hercules Capital, Inc.
Capital Markets
NY
2016
SECONDAMENDMENT TO AMENDED AND RESTATED LOAN AND SECURITY AGREEMENT
Loan Agreements
Hercules Capital, Inc.
2016
Specimen certificate of the Companys common stock, par value $.001 per share
Stock Agreements
Hercules Capital, Inc.
Capital Markets
2016
FIRST AMENDMENT TO AMENDED AND RESTATED LOAN AND SECURITY AGREEMENT
Loan Agreements
Hercules Capital, Inc.
2015
FIRST AMENDMENT AND WAIVER TO SECOND AMENDED AND RESTATED LOAN AND SECURITY AGREEMENT
Loan Agreements
Hercules Capital, Inc.
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...
Loan Agreements
Hercules Capital, Inc.
Capital Markets
NY
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...
Services Agreements
Hercules Capital, Inc.
2015
SEVENTH AMENDMENT TO LOAN AND SECURITY AGREEMENT
Loan Agreements
Hercules Capital, Inc.
Capital Markets
NY
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,...
Loan Agreements
Hercules Capital, Inc.
Capital Markets
CA
2014
FOURTH AMENDMENT TO AMENDED AND RESTATED LOAN AND SECURITY AGREEMENT
Loan Agreements
Hercules Capital, Inc.
Capital Markets
2014
FIFTH AMENDMENT TO AMENDED AND RESTATED LOAN AND SECURITY AGREEMENT
Loan Agreements
Hercules Capital, Inc.
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...
Indenture Agreements
Hercules Capital, Inc.
Capital Markets
DE
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...
Note Agreements
Hercules Capital, Inc.
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...
Note Agreements
Hercules Capital, Inc.
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...
Note Agreements
Hercules Capital, Inc.
2012
HERCULES CAPITAL FUNDING TRUST 2012-1 NOTES U.S. $129,300,000 OF 3.32% ASSET-BACKED NOTES NOTE PURCHASE AGREEMENT
Note Agreements
Hercules Capital, Inc.
Capital Markets
NY
2012
ADMINISTRATION AGREEMENT between HERCULES CAPITAL FUNDING TRUST 2012-1, as Issuer, HERCULES TECHNOLOGY GROWTH CAPITAL, INC., as Administrator WILMINGTON TRUST, NATIONAL...
Funding Agreements
Hercules Capital, Inc.
Capital Markets
MD
2012
THIRD AMENDMENT TO AMENDED AND RESTATED LOAN AND SECURITY AGREEMENT
Loan Agreements
Hercules Capital, Inc.
Capital Markets
2012
THIRD AMENDMENT TO LOAN AND SECURITY AGREEMENT
Loan Agreements
Hercules Capital, Inc.
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...
Loan Agreements
Hercules Capital, Inc.
Capital Markets
CA
2011
SECOND AMENDMENT TO LOAN AND SECURITY AGREEMENT
Loan Agreements
Hercules Capital, Inc.
Capital Markets
NY
2011
FOURTH AMENDMENT TO LOAN AND SECURITY AGREEMENT
Loan Agreements
Hercules Capital, Inc.
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...
Indenture Agreements
Hercules Capital, Inc.
2011
FIRST AMENDMENT TO LOAN AND SECURITY AGREEMENT
Loan Agreements
Hercules Capital, Inc.
Capital Markets
NY
2009
Hercules Technology Growth Capital, Inc. Amended and Restated 2004 Equity Incentive Plan Restricted Stock Award Agreement
Bonus & Incentive Agreements
Hercules Capital, Inc.
Capital Markets
2009
DEBENTURE *****************
Debenture Agreements
Hercules Capital, Inc.
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...
Loan Agreements
Hercules Capital, Inc.
2008
Dated as of August 25, 2008 TABLE OF CONTENTS
Hercules Capital, Inc.
2008
THIRD AMENDMENT TO SALE AND SERVICING AGREEMENT (Hercules Funding Trust I)
Funding Agreements
Hercules Capital, Inc.
2006
OFFICE LEASE AGREEMENT 400 HAMILTON BUILDING
Lease Agreements
Hercules Capital, Inc.
2006