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    SEC Form SC 13G filed by Hercules Capital Inc.

    4/27/22 4:31:08 PM ET
    $HTGC
    Investment Managers
    Finance
    Get the next $HTGC alert in real time by email
    SC 13G 1 d283108dsc13g.htm SC 13G SC 13G

     

     

    SECURITIES AND EXCHANGE COMMISSION

    Washington, D.C. 20549

     

     

    SCHEDULE 13G

    UNDER THE SECURITIES EXCHANGE ACT OF 1934

    (Amendment No.    )*

     

     

    Pineapple Energy Inc.

    (Name of Issuer)

    Common Stock, $0.05 par value per share

    (Title of Class of Securities)

    72303P107

    (CUSIP Number)

    March 28, 2022

    (Date of Event Which Requires Filing of this Statement)

     

     

    Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

    ☐ 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. 72303P107    13G            

     

      1.    

      Names of Reporting Persons

     

      Hercules Capital, Inc.

      2.  

      Check the Appropriate Box if a Member of a Group (See Instructions)

     

      (a)  ☐        (b)  ☐

      3.  

      SEC Use Only

     

      4.  

      Citizenship or Place of Organization

     

      Maryland

    Number of

    Shares

     Beneficially 

    Owned by

    Each

    Reporting

    Person

    With

       5.    

      Sole Voting Power

     

      554,999

       6.  

      Shared Voting Power

     

      0

       7.  

      Sole Dispositive Power

     

      554,999

       8.  

      Shared Dispositive Power

     

      0

      9.    

      Aggregate Amount Beneficially Owned by Each Reporting Person

     

      554,999

    10.  

      Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

     

       ☐

    11.  

      Percent of Class Represented by Amount in Row (9)

     

      7.5%

    12.  

      Type of Reporting Person (See Instructions)

     

      CO


    Item 1.

     

      (a)

    Name of Issuer:

    Pineapple Energy Inc.

     

      (b)

    Address of Issuer’s Principal Executive Offices:

    10900 Red Circle Drive

    Minnetonka, MN 55343

    Item 2.

     

      (a)

    Name of Person Filing:

    Hercules Capital, Inc.

     

      (b)

    Address of Principal Business Office or, if None, Residence:

    400 Hamilton Avenue, Suite 310

    Palo Alto, CA 94301

     

      (c)

    Citizenship:

    Maryland

     

      (d)

    Title of Class of Securities:

    Common Stock, par value of $0.05 per share

     

      (e)

    CUSIP Number:

    72303P107

     

    Item 3.

    If this statement is filed pursuant to §§ 240.13d-1(b), or 240.13d-2(b) or (c), check whether the person filing is a:

     

    (a)    ☐    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 § 240.13d-1(b)(1)(ii)(E);
    (f)    ☐    An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F);
    (g)    ☐    A parent holding company or control person in accordance with § 240.13d-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 (15 U.S.C. 80a-3);
    (j)    ☐    A non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J).
    (k)    ☐    Group, in accordance with § 240.13d-1(b)(1)(ii)(K).

     

    3


    If filing as a non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J), please specify the type of institution:

     

    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:    

    554,999

     

      (b)

    Percent of class:    

    7.5% of the 7,435,586 shares outstanding as reported in the Issuer’s Form 8-K filed on March 29, 2022.

     

      (c)

    Number of shares as to which the person has:

     

      (i)

    Sole power to vote or to direct the vote:    

    554,999

     

      (ii)

    Shared power to vote or to direct the vote:    

    0

     

      (iii)

    Sole power to dispose or to direct the disposition of:    

    554,999

     

      (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.

    Not Applicable

     

    Item 7.

    Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person.

    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.

    Certifications.

    By signing below I certify that, to the best of my knowledge and belief, the securities referred to above 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, other than activities solely in connection with a nomination under § 240.14a-11.


    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.

    Date: April 27, 2022

     

    HERCULES CAPITAL, INC.
    Signed:  

    /s/ Kiersten Zaza Botelho

    Name:   Kiersten Zaza Botelho
    Title:   General Counsel, Chief Compliance Officer and Secretary
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