• Live Feeds
    • Press Releases
    • Insider Trading
    • FDA Approvals
    • Analyst Ratings
    • Insider Trading
    • SEC filings
    • Market insights
  • Analyst Ratings
  • Alerts
  • Subscriptions
  • Settings
  • RSS Feeds
Quantisnow Logo
  • Live Feeds
    • Press Releases
    • Insider Trading
    • FDA Approvals
    • Analyst Ratings
    • Insider Trading
    • SEC filings
    • Market insights
  • Analyst Ratings
  • Alerts
  • Subscriptions
  • Settings
  • RSS Feeds
Dashboard
    Quantisnow Logo

    © 2025 quantisnow.com
    Democratizing insights since 2022

    Services
    Live news feedsRSS FeedsAlerts
    Company
    AboutQuantisnow PlusContactJobs
    Legal
    Terms of usePrivacy policyCookie policy

    SEC Form SC 13G filed

    2/17/21 2:27:11 PM ET
    $HCXY
    Get the next $HCXY alert in real time by email
    SC 13G 1 r13gHerc_cap_pfd_1220.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1394 (Amendment No. )* Hercules Capital Inc. 6.250% 427096847 December 31, 2020 Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [X] Rule 13d-1 (b) [ ] Rule 13d-1 (c) [ ] Rule 13d-1 (d) *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). CUSIP No. 427096847 1. Names of Reporting Persons. I.R.S. Identification Nos. of above persons Truist Financial Corporation as Parent Holding Company for BB&T Securities LLC in various fiduciary capacities. 56-0939887 2. Check the Appropriate Box if a Member of a Group (a) __________ (b) __________ 3. SEC Use Only 4. Citizenship or Place of Organization North Carolina Number of 5. Sole Voting Power 82,737. Shares Beneficially 6. Shared Voting Power 0. Owned by Each 7. Sole Dispositive Power 82,737. Reporting Person With 8. Shared Dispositive Power 0. 9. Aggregate Amount Beneficially Owned by Each Reporting Person 82,737. 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares* 11. Percent of Class Represented by Amount in Row (9) 5.171% 12. Type of Reporting Person* HC / BD UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Item 1. (a) Name of Issuer: Hercules Capital (b) Address of Issuer's Principal Executive Offices: 400 Hamilton Ave Suite 310 Palo Alto, CA 94301 Item 2. (a) Name of Person Filing: Truist Financial Corporation as Parent Holding Company for BB&T Securities LLC. (b) Address of Principal Business Office or, if none, Residence: 214 North Tryon Street Charolotte, NC 28202 (c) Citizenship: Truist Financial Corporation is a North Carolina corporation; BB&T Securities LLC is a Delaware Limited Liability Corporation. (d) Title of Class of Securities: Preferred Stock (e) CUSIP Number 427096847 Item 3. If this statement is filed pursuant to SS240.13d-1(b) or 240.13-2(b) or (c), check whether the person filing is a: (a) [X] Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o); (b) [ ] Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c); (c) [ ] Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c); (d) [ ] Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8); (e) [ ] An investment adviser in accordance with SS240.13d-1(b)(1)(ii)(E); (f) [ ] An employee benefit plan or endowment fund in accordance with SS240.13d-1(b)(1)(ii)(F); (g) [X] A parent holding company or control person in accordance with SS240.13d-1(b)(1)(ii)(G); (h) [ ] A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); (i) [ ] A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); (j) [ ] Group, in accordance with SS240.13d-1(b)(1)(ii)(J). Item 4. Ownership Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1. (a) Amount beneficially owned: 82,737. (b) Percent of class: 5.171%. (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote 82,737. (ii) Shared power to vote or to direct the vote 0. (iii) Sole power to dispose or to direct the disposition of 82,373. (iv) Shared power to dispose or to direct the disposition of 0. Item 5. Ownership of Five Percent or Less of a Class If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following [ ]. Item 6. Ownership of More than Five Percent on Behalf of Another Person Various co-trustees may share the power to direct the receipt of income including dividends as well as the proceeds from sale of securities. Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company Not applicable Item 8. Identification and Classification of Members of the Group Not Applicable Item 9. Notice of Dissolution of Group Not Applicable Item 10. Certification By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. February 16, 2021 Date /s/ Robert R Magill Signature Robert R Magill / Vice President Name / Title Truist Financial Corporation 214 North Tryon Street Charlotte, NC 28292 February 16, 2021 Ladies and Gentlemen: There is hereby transmitted for filing pursuant to Section 13(g) of the Securities and Exchange Act of 1934 and Rule 13G thereunder a Schedule 13G relating to beneficial ownership by Truist Financial Corporation and its subsidiaries of shares of Hercules Capital Inc. Please call the undersigned at (252) 246-2190 if you have any questions. Sincerely, /s/ Robert R Magill Vice President
    Get the next $HCXY alert in real time by email

    Chat with this insight

    Save time and jump to the most important pieces.

    Recent Analyst Ratings for
    $HCXY

    DatePrice TargetRatingAnalyst
    More analyst ratings

    $HCXY
    Press Releases

    Fastest customizable press release news feed in the world

    See more
    • Hercules Capital Announces Date of 2025 Annual Meeting of Stockholders

      Hercules Capital, Inc. (NYSE:HTGC) ("Hercules" or the "Company"), will conduct its 2025 Annual Meeting of Stockholders by virtual meeting on Wednesday, June 18, 2025 at 9:00 a.m. (Eastern Time). The proxy statement for the meeting was filed on April 24, 2025 and mailed to stockholders of record as of April 17, 2025. 2025 Annual Meeting of Stockholders June 18, 2025 at 9:00 a.m. Eastern Time Virtual Meeting via Internet: http://www.virtualshareholdermeeting.com/HTGC2025 Matters to be voted on include: 1) election of three directors, 2) an advisory vote on the compensation of the Company's named executive officers, 3) authorization of the Company to sell or issue shares of its common stock

      5/8/25 6:00:00 AM ET
      $HCXY
      $HTGC
      Investment Managers
      Finance
    • Hercules Capital Reports First Quarter 2025 Financial Results

      Q1 2025 Total Gross Debt and Equity Commitments of $1.02 Billion Q1 2025 Total Gross Fundings of $539.1 Million Q1 2025 Total Investment Income of $119.5 Million Q1 2025 Net Investment Income "NII" of $77.5 Million, or $0.45 per Share Q1 2025 NII of $0.45 per Share, provides 113% Coverage of the Base Cash Distribution Received an Investment Grade Rating Upgrade to BBB (high) from Morningstar DBRS Closed Offering of $287.5 Million of 4.750% Convertible Unsecured Notes due 2028 Conservative Balance Sheet Management with Net GAAP Leverage of 97.4% and Net Regulatory Leverage of 82.7%(1) Inclusive of the Adviser Funds Advised by Hercules Adviser LLC, its Wholly-Owned Subsidiary, Hercule

      5/1/25 4:04:00 PM ET
      $HCXY
      $HTGC
      Investment Managers
      Finance
    • Hercules Capital Declares a Total Cash Distribution of $0.47 Per Share for the First Quarter 2025

      The Total Cash Distribution of $0.47 per Share for the First Quarter 2025 is Comprised of a $0.40 per Share Base Distribution and an $0.07 per Share Supplemental Distribution Hercules Capital, Inc. (NYSE:HTGC) ("Hercules" or the "Company"), the largest and leading specialty finance provider to innovative venture, growth and established stage companies backed by some of the leading and top-tier venture capital and select private equity firms, is pleased to announce that its Board of Directors has declared a first quarter 2025 total cash distribution of $0.47 per share. The following shows the key dates of the first quarter 2025 distribution payment: Record Date May 13, 2025 Payment Date Ma

      4/29/25 6:00:00 AM ET
      $HCXY
      $HTGC
      Investment Managers
      Finance

    $HCXY
    Insider Trading

    Insider transactions reveal critical sentiment about the company from key stakeholders. See them live in this feed.

    See more
    • SEC Form 4: Scott Bluestein sold $1,264,000 worth of Common Stock (80,000 units at $15.80), decreasing direct ownership by 8% to 923,086 units

      4 - Hercules Capital, Inc. (0001280784) (Issuer)

      3/19/21 5:10:03 PM ET
      $HCXY
    • SEC Form 4: Melanie Grace was granted 513 units of Restricted Stock Units, disposed of $166 worth of Restricted Stock Units (10 units at $16.60), disposed to the issuer $1,361 worth of Restricted Stock Units (82 units at $16.60), was granted 82 units of Common Stock and disposed of $681 worth of Common Stock (41 units at $16.60), increasing direct ownership by 188% to 64,807 units

      4 - Hercules Capital, Inc. (0001280784) (Issuer)

      3/17/21 6:05:31 PM ET
      $HCXY
    • SEC Form 4: Scott Bluestein disposed of $10,607 worth of Common Stock (639 units at $16.60), was granted 4,958 units of Restricted Stock Units, disposed of $1,096 worth of Restricted Stock Units (66 units at $16.60), disposed to the issuer $23,904 worth of Restricted Stock Units (1,440 units at $16.60) and was granted 1,440 units of Common Stock, increasing direct ownership by 355% to 1,003,086 units

      4 - Hercules Capital, Inc. (0001280784) (Issuer)

      3/17/21 6:04:43 PM ET
      $HCXY

    $HCXY
    Leadership Updates

    Live Leadership Updates

    See more
    • Hercules Capital Announces the Appointment of Mr. Nikos Theodosopoulos to Its Board of Directors

      Hercules Capital, Inc. (NYSE:HTGC) ("Hercules" or the "Company"), the largest and leading specialty financing provider to innovative venture, growth and established stage companies backed by some of the leading and top-tier venture capital and select private equity firms, today announced that Nikos Theodosopoulos was appointed to serve as an independent member of its board of directors, effective September 21, 2023. Mr. Theodosopoulos is an experienced corporate executive and board director with more than 38 years in senior management roles in both the financial services and technology industries. Mr. Theodosopoulos will serve on the Company's Audit Committee. "Nikos' combined experienc

      9/25/23 6:00:00 AM ET
      $HCXY
      $HTGC
      Investment Managers
      Finance
    • Hercules Capital Announces the Appointment of Ms. DeAnne Aguirre to Its Board of Directors

      Hercules Capital, Inc. (NYSE:HTGC) ("Hercules" or the "Company"), the largest and leading specialty financing provider to innovative venture, growth and established stage companies backed by some of the leading and top-tier venture capital and select private equity firms, today announced that DeAnne Aguirre was appointed to serve as an independent member of its board of directors, effective June 23, 2022. Ms. Aguirre is an experienced corporate executive and Board Director with more than 30 years in senior leadership managing large and complex domestic and international business units. Ms. Aguirre will serve on the Nominating and Corporate Governance Committee. "As we continue to expand o

      6/24/22 6:00:00 AM ET
      $HCXY
      $HTGC
      Investment Managers
      Finance
    • Hercules Capital Announces the Appointment of Ms. Pam Randhawa to Its Board of Directors

      Hercules Capital, Inc. (NYSE:HTGC) ("Hercules" or the "Company"), the largest and leading specialty financing provider to innovative venture, growth and established stage companies backed by some of the leading and top-tier venture capital and select private equity firms, today announced that Pam Randhawa was appointed to serve as a member of its board of directors, effective November 1, 2021. Ms. Randhawa is a thought leader within the life sciences sector and an experienced industry executive, with more than 20 years of experience leading public and private companies, ranging from biotech, healthcare and sustainable solutions, through their various stages of growth. Ms. Randhawa will ser

      10/20/21 6:00:00 AM ET
      $HCXY
      $HTGC
      $MCK
      Investment Managers
      Finance
      Other Pharmaceuticals
      Health Care

    $HCXY
    Financials

    Live finance-specific insights

    See more
    • Hercules Capital Announces Date of 2025 Annual Meeting of Stockholders

      Hercules Capital, Inc. (NYSE:HTGC) ("Hercules" or the "Company"), will conduct its 2025 Annual Meeting of Stockholders by virtual meeting on Wednesday, June 18, 2025 at 9:00 a.m. (Eastern Time). The proxy statement for the meeting was filed on April 24, 2025 and mailed to stockholders of record as of April 17, 2025. 2025 Annual Meeting of Stockholders June 18, 2025 at 9:00 a.m. Eastern Time Virtual Meeting via Internet: http://www.virtualshareholdermeeting.com/HTGC2025 Matters to be voted on include: 1) election of three directors, 2) an advisory vote on the compensation of the Company's named executive officers, 3) authorization of the Company to sell or issue shares of its common stock

      5/8/25 6:00:00 AM ET
      $HCXY
      $HTGC
      Investment Managers
      Finance
    • Hercules Capital Reports First Quarter 2025 Financial Results

      Q1 2025 Total Gross Debt and Equity Commitments of $1.02 Billion Q1 2025 Total Gross Fundings of $539.1 Million Q1 2025 Total Investment Income of $119.5 Million Q1 2025 Net Investment Income "NII" of $77.5 Million, or $0.45 per Share Q1 2025 NII of $0.45 per Share, provides 113% Coverage of the Base Cash Distribution Received an Investment Grade Rating Upgrade to BBB (high) from Morningstar DBRS Closed Offering of $287.5 Million of 4.750% Convertible Unsecured Notes due 2028 Conservative Balance Sheet Management with Net GAAP Leverage of 97.4% and Net Regulatory Leverage of 82.7%(1) Inclusive of the Adviser Funds Advised by Hercules Adviser LLC, its Wholly-Owned Subsidiary, Hercule

      5/1/25 4:04:00 PM ET
      $HCXY
      $HTGC
      Investment Managers
      Finance
    • Hercules Capital Announces Date for Release of First Quarter 2025 Financial Results and Conference Call

      Hercules Capital, Inc. (NYSE:HTGC) ("Hercules" or the "Company"), the largest and leading specialty financing provider to innovative venture, growth and established stage companies backed by some of the leading and top-tier venture capital and select private equity firms, today announced that it has scheduled its first quarter 2025 financial results conference call for Thursday, May 1, 2025, at 2:00 p.m. PT (5:00 p.m. ET). Hercules will release its financial results after market close that same day. To participate via telephone, please register here. Upon registration, all telephone participants will receive the dial-in number along with a unique PIN number that can be used to access the c

      4/17/25 6:00:00 AM ET
      $HCXY
      $HTGC
      Investment Managers
      Finance

    $HCXY
    Large Ownership Changes

    This live feed shows all institutional transactions in real time.

    See more
    • SEC Form SC 13G filed

      SC 13G - Hercules Capital, Inc. (0001280784) (Subject)

      2/17/21 2:27:11 PM ET
      $HCXY

    $HCXY
    SEC Filings

    See more
    • SEC Form 8-K filed

      8-K - Hercules Capital, Inc. (0001280784) (Filer)

      3/8/21 7:00:33 AM ET
      $HCXY
    • SEC Form 8-K filed

      8-K - Hercules Capital, Inc. (0001280784) (Filer)

      3/4/21 4:48:30 PM ET
      $HCXY
    • SEC Form 8-K filed

      8-K - Hercules Capital, Inc. (0001280784) (Filer)

      2/23/21 4:40:42 PM ET
      $HCXY