Hercules Capital Inc (HTGC)

FINANCE: CORPORATE FINANCE
SIC:

400 HAMILTON AVE PALO ALTO, CA 94301

Provides debt and equity growth capital to technology-related companies at all stages of development. Operates as a non-diversified closed-end investment company that has elected to be treated as a business development company under the Investment Company Act of 1940.

Data as of 2020-08-09
Market Cap1.328 Billion Shares Outstanding114.23 Million Avg 30-day Volume795.448 Thousand
P/E Ratio13.2 Dividend Yield11.006 EPS0.88
Price/Sales5.663 Price cash flow ratio34.3 Price free cash flow ratio-8.7
Book Value10.19 Price to Tangible Book1.14 Alpha-0.0
Short Interest Ratio2.8 % Short Interest to Float1.9 R-squared0.524853
BETA1.59116 52-week High/Low16.4 / 5.42 Stddev0.092357
View SEC Filings from HTGC instead.
Q1 2020 All Institutions Hedge Funds 1
Filers who had this stock in their top 10: 3 2 (0.13%)
13F Filers holding this stock: 189 47 (3.08%)
Aggregate 13F shares on 03/31/2020: 37.178 Million 6.186 Million
Aggregate 13F shares on 12/31/2019: 35.255 Million 6.663 Million
Percent change: 5.45% -7.16%
Funds creating new positions: 34 11
Funds Adding to an existing position: 70 15
Funds closing out their position: 25 5
Funds reducing their position: 60 17
1 hedge funds as identified by whalewisdom.com through public filings.

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Funds Holding HTGC (via 13F filings)

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*Shares are split adjusted
*Please note that if a filer hasn't submitted a 13F filing for a quarter then the filer's shares will be listed as "Sold All"

Mutual Funds Holding HTGC BETA

Active Schedule 13D and 13G filings

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Open Market Buys/Sells Last 60 Days

Open Market Buys (P)

none

Open Market Sells (S)

none

Exercise Derivative Conversion (M)

none

Current/Former Insiders

Insider Name Type Last Reported Shares Held Last Reported Date Filings in past year

BLUESTEIN SCOTT CHIEF EXECUTIVE OFFICER

  • Officer
677,062 2020-07-31 18

GRACE MELANIE GENERAL COUNSEL & CCO

  • Officer
34,922 2020-07-31 17

TITINGER JORGE

  • Director
0 2020-07-29 5

BADAVAS ROBERT P

  • Director
132,452 2020-06-12 4

FOSTER CAROL L

  • Director
12,073 2020-06-12 7

CROWELL GAYLE A

  • Director
0 2020-06-02 5

FALLON THOMAS J

  • Director
45,254 2020-05-21 5

KOENIG BRADFORD C.

  • Director
15,161 2020-05-21 4

HARVEY SCOTT H CCO & GENERAL COUNSEL

  • Officer
0 2020-03-16 0

LUND DAVID MICHAEL EXECUTIVE VP (1)

  • Officer
0 2020-03-16 0

MEYER SETH H CHIEF FINANCIAL OFFICER

  • Officer
111,321 2020-03-14 3

HARRIS MARK R CHIEF FINANCIAL OFFICER

  • Officer
4,375 2020-03-08 0

HOFFMAN JOSEPH F

  • Director
32,745 2019-09-26 1

HO DOREEN WOO

  • Director
17,043 2019-08-19 1

HENRIQUEZ MANUEL A

  • Director
1,310,898 2019-05-20 0

WALDT GERARD R JR. INTERIM CHIEF ACCOUNTING OFF

  • Officer
8,243 2018-08-20 0

WOODWARD ALLYN C

262,309 2018-05-21 0

OLSON ANDREW CHIEF FINANCIAL OFFICER

  • Officer
7,386 2017-10-25 0

LYONS SUSANNE D

11,575 2016-09-15 0

FERGUSON RODNEY A

  • Director
7,855 2015-12-31 0

BHAUMIK SAM EVP-SILICON VALLEY BANKING

  • Officer
No longer subject to file 2015-10-06 0

BARON JESSICA T CFO

  • Officer
98,269 2015-06-09 0

LAKE ROBERT C CHIEF CREDIT OFFICER

  • Officer
0 2015-05-29 0

SHAH PARAG SENIOR MANAGING DIRECTOR

  • Officer
249,562 2014-12-04 0

BUTLER MICHAEL L GENERAL COUNSEL & CCO

  • Officer
0 2014-10-07 0

FEUERSTEIN HARRY CHIEF OPERATING OFFICER

  • Officer
0 2014-07-08 0

JAQUEZ-FISSORI TODD MANAGING DIRECTOR

  • Officer
1,200 2014-05-13 0

PENNEY MICHAEL GENERAL COUNSEL

  • Officer
4,000 2014-04-10 0

GABLE SCOTT CHIEF OPERATING OFFICER

  • Officer
6,666 2014-02-04 0

CHOW JOSEPH W

  • Director
124,263 2013-08-07 0

DENOMME MARK

  • Director
No longer subject to file 2011-01-18 0

Insider Transactions Last 60 Days

Reporting Owners Transaction Date Transaction Code Shares Share Price Acquired or Disposed Shares Owned Following Transaction Combined shares owned after filing Direct/Indirect Ownership 10b-5

GRACE MELANIE - Officer GENERAL COUNSEL & CCO

2020-07-31 F 553 $11.04 d 34,922 34,922.00 direct

BLUESTEIN SCOTT - Officer CHIEF EXECUTIVE OFFICER

2020-07-31 F 11,340 $11.04 d 677,062 677,062.00 direct

BLUESTEIN SCOTT - Officer CHIEF EXECUTIVE OFFICER

2020-07-31 F 11,340 $11.04 d 677,062 677,062.00 direct

BLUESTEIN SCOTT - Officer CHIEF EXECUTIVE OFFICER

2020-07-31 F 11,340 $11.04 d 677,062 677,062.00 direct

GRACE MELANIE - Officer GENERAL COUNSEL & CCO

2020-07-31 F 553 $11.04 d 34,922 34,922.00 direct

GRACE MELANIE - Officer GENERAL COUNSEL & CCO

2020-07-31 F 553 $11.04 d 34,922 34,922.00 direct

GRACE MELANIE - Officer GENERAL COUNSEL & CCO

2020-07-31 A 1,446 $11.04 a 35,475 34,922.00 direct

BLUESTEIN SCOTT - Officer CHIEF EXECUTIVE OFFICER

2020-07-31 A 25,568 $11.04 a 688,402 677,062.00 direct

BLUESTEIN SCOTT - Officer CHIEF EXECUTIVE OFFICER

2020-07-31 A 25,568 $11.04 a 688,402 677,062.00 direct

BLUESTEIN SCOTT - Officer CHIEF EXECUTIVE OFFICER

2020-07-31 A 25,568 $11.04 a 688,402 677,062.00 direct

GRACE MELANIE - Officer GENERAL COUNSEL & CCO

2020-07-31 A 1,446 $11.04 a 35,475 34,922.00 direct

GRACE MELANIE - Officer GENERAL COUNSEL & CCO

2020-07-31 A 1,446 $11.04 a 35,475 34,922.00 direct

GRACE MELANIE - Officer GENERAL COUNSEL & CCO

2020-07-31 D 1,446 $11.04 d 54,261 34,922.00 direct

BLUESTEIN SCOTT - Officer CHIEF EXECUTIVE OFFICER

2020-07-31 D 25,568 $11.04 d 433,887 677,062.00 direct

BLUESTEIN SCOTT - Officer CHIEF EXECUTIVE OFFICER

2020-07-31 D 25,568 $11.04 d 433,887 677,062.00 direct

BLUESTEIN SCOTT - Officer CHIEF EXECUTIVE OFFICER

2020-07-31 D 25,568 $11.04 d 433,887 677,062.00 direct

GRACE MELANIE - Officer GENERAL COUNSEL & CCO

2020-07-31 D 1,446 $11.04 d 54,261 34,922.00 direct

GRACE MELANIE - Officer GENERAL COUNSEL & CCO

2020-07-31 D 1,446 $11.04 d 54,261 34,922.00 direct

BLUESTEIN SCOTT - Officer CHIEF EXECUTIVE OFFICER

2020-07-17 F 11,372 $10.73 d 662,834 662,834.00 direct

BLUESTEIN SCOTT - Officer CHIEF EXECUTIVE OFFICER

2020-07-09 F 3,402 $10.02 d 674,206 459,455.00 direct

GRACE MELANIE - Officer GENERAL COUNSEL & CCO

2020-07-09 F 410 $10.02 d 34,029 34,029.00 direct

BLUESTEIN SCOTT - Officer CHIEF EXECUTIVE OFFICER

2020-07-09 F 44 $10.02 d 459,455 459,455.00 direct

BADAVAS ROBERT P - Director

2020-06-12 A 5,499 $10.91 a 132,452 132,452.00 direct

FOSTER CAROL L - Director

2020-06-12 A 5,499 $10.91 a 12,073 12,073.00 direct
Transaction Code Definitions
Code Definition
A Grant, award or other acquisition pursuant to Rule 16b-3(d)
C Conversion of derivative security
D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e)
E Expiration of short derivative position
F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3
G Bona fide gift
H Expiration (or cancellation) of long derivative position with value received
I Discretionary transaction in accordance with Rule 16b-3(f) resulting in acquisition or disposition of issuer securities
J Other acquisition or disposition
L Small acquisition under Rule 16a-6
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3
O Exercise of out-of-the-money derivative security
P Open market or private purchase of non-derivative or derivative security
S Open market or private sale of non-derivative or derivative security
U Disposition pursuant to a tender of shares in a change of control transaction
W Acquisition or disposition by will or the laws of descent and distribution
X Exercise of in-the-money or at-the-money derivative security
Z Deposit into or withdrawal from voting trust

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