Form 8-K
8-K — Hercules Capital, Inc.
Accession: 0001280784-26-000030
Filed: 2026-06-18
Period: 2026-06-18
CIK: 0001280784
Item: Submission of Matters to a Vote of Security Holders
Item: Financial Statements and Exhibits
Documents
8-K — htgc-20260618.htm (Primary)
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8-K
8-K (Primary)
Filename: htgc-20260618.htm · Sequence: 1
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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): June 18, 2026
Hercules Capital, Inc.
(Exact name of registrant as specified in its charter)
Maryland 814-00702 74-3113410
(State or other jurisdiction
of incorporation)
(Commission
File No.)
(I.R.S. Employer
Identification No.)
1 North B Street, Suite 2000
San Mateo, CA
94401
(Address of principal executive offices) (Zip Code)
Registrant’s 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):
☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
Securities registered pursuant to Section 12(b) of the Act:
Title of each class
Trading
Symbol(s)
Name of each exchange
on which registered
Common Stock, par value $0.001 per share HTGC New York Stock Exchange
6.25% Notes due 2033 HCXY New York Stock Exchange
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 5.07
Submission of Matters to a Vote of Security Holders
On June 18, 2026, Hercules Capital, Inc. (the “Company”) held its 2026 Annual Meeting of Stockholders (the “Annual Meeting”). As of April 9, 2026, the record date for the Annual Meeting, 187,133,158 shares of the Company’s common stock were outstanding and entitled to vote.
The following matters were submitted at the Annual Meeting to the stockholders for consideration:
Proposal 1. Election of one independent director
Proposal 2. Advisory vote to approve the Company’s named executive officer compensation
Proposal 3. Advisory vote on the frequency of the advisory vote on executive compensation
Proposal 4. Approve the amendment and restatement of the Hercules Capital, Inc. Amended and Restated 2018 Equity Incentive Plan
Proposal 5. Approve the amendment and restatement of the Hercules Capital, Inc. 2018 Non-Employee Director Plan
Proposal 6. Ratify the appointment of PricewaterhouseCoopers LLP as the Company’s independent registered public accounting firm for the year ending December 31, 2026
At the Annual Meeting, stockholders (i) elected Robert P. Badavas to serve as a Class I independent director until 2029, or until his successor is elected and qualified, (ii) on an advisory basis, approved the Company’s named executive officer compensation, (iii) on an advisory basis, selected 1 year as the frequency of the advisory vote on executive compensation, (iv) approved the amendment and restatement of the Hercules Capital, Inc. Amended and Restated 2018 Equity Incentive Plan, (v) approved the amendment and restatement of the Hercules Capital, Inc. 2018 Non-Employee Director Plan, and (vi) ratified the selection of PricewaterhouseCoopers LLP to serve as the Company’s independent public accountant for the year ending December 31, 2026. In light of these voting results, the Company intends to hold a non-binding, advisory stockholder vote on the compensation of the Company’s named executive officers on an annual basis until the next required vote on the frequency of advisory votes to approve executive compensation, or until the Board of Directors otherwise determines a different frequency for such non-binding votes. Detailed results are below.
For Against Abstain Broker Non-Votes
Proposal 1 56,422,755 7,998,130 1,208,961 64,127,395
For Against Abstain Broker Non-Votes
Proposal 2 58,698,529 4,560,167 2,371,150 64,127,395
1 Year 2 Years 3 Years Abstain Broker-Non Votes
Proposal 3 61,201,443 1,250,414 1,310,361 1,867,628 64,127,395
For Against Abstain Broker Non-Votes
Proposal 4 59,276,440 4,054,542 2,298,864 64,127,395
For Against Abstain Broker Non-Votes
Proposal 5 59,722,634 3,596,932 2,310,280 64,127,395
For Against Abstain Broker Non-Votes
Proposal 6 126,724,716 1,631,996 1,400,529 −
Item 9.01. Financial Statements and Exhibits
(d) Exhibits.
Number Exhibit
104 Cover Page Interactive Data File (embedded within the Inline XBRL document)
SIGNATURE
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.
HERCULES CAPITAL, INC.
June 18, 2026
By: /s/ Kiersten Zaza Botelho
Kiersten Zaza Botelho
Secretary
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Registrant Name
Hercules Capital, Inc.
Entity Incorporation, State or Country Code
MD
Entity File Number
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Entity Tax Identification Number
74-3113410
Entity Address, Address Line One
1 North B Street
Entity Address, Address Line Two
Suite 2000
Entity Address, City or Town
San Mateo
Entity Address, State or Province
CA
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City Area Code
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Local Phone Number
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Common Stock, par value $0.001 per share
Document Information [Line Items]
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Common Stock, par value $0.001 per share
Trading Symbol
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Security Exchange Name
NYSE
6.25% Notes due 2033
Document Information [Line Items]
Title of 12(b) Security
6.25% Notes due 2033
Trading Symbol
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Security Exchange Name
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