HERCULES CAPITAL, INC. Material Contracts
Every material contract the company filed as Exhibit 10 (executive pay plans, credit agreements, supplier and indemnity agreements), newest first, with the filing's own description.
- 2025-06-16: Form 8-K; Exhibit 10.1; Description Fourth Amendment to Loan and Security Agreement, dated as of June 10, 2025, among Hercules Funding IV LLC, as borrower, the lenders from time to time party thereto, and MUFG Bank, Ltd., as agent, a joint lead arranger, swingline lender and sole bookrunner.
- 2025-02-05: Form 8-K; Exhibit 10.1; Description Third Amendment to Letter of Credit Facility Agreement, dated as of February 5, 2025, between Hercules Capital, Inc. and Sumitomo Mitsui Banking Corporation, as issuing bank..
- 2024-12-12: Form 8-K; Exhibit 10.1; Description Form of Equity Distribution Agreement.
- 2024-08-01: Form 10-Q; Exhibit 10.2; Description Fourth Amendment to Revolving Credit Agreement, dated of June 28, 2024, among Hercules Capital Inc., the lenders party thereto and Sumitomo Mitsui Banking Corporation, as administrative agent..
| Filed | Form | Exhibit | Description |
|---|---|---|---|
| 2025-06-16 | 8-K | 10.1 | Fourth Amendment to Loan and Security Agreement, dated as of June 10, 2025, among Hercules Funding IV LLC, as borrower, the lenders from time to time party thereto, and MUFG Bank, Ltd., as agent, a joint lead arranger, swingline lender and sole bookrunner |
| 2025-02-05 | 8-K | 10.1 | Third Amendment to Letter of Credit Facility Agreement, dated as of February 5, 2025, between Hercules Capital, Inc. and Sumitomo Mitsui Banking Corporation, as issuing bank. |
| 2024-12-12 | 8-K | 10.1 | Form of Equity Distribution Agreement |
| 2024-08-01 | 10-Q | 10.2 | Fourth Amendment to Revolving Credit Agreement, dated of June 28, 2024, among Hercules Capital Inc., the lenders party thereto and Sumitomo Mitsui Banking Corporation, as administrative agent. |
| 2024-08-01 | 10-Q | 10.1 | Second Amendment to Letter of Credit Facility Agreement, dated as of June 28, 2024, between Hercules Capital, Inc. and Sumitomo Mitsui Banking Corporation, as issuing bank. |
| 2023-05-05 | 8-K | 10.1 | Form of Equity Distribution Agreement |
| 2023-05-04 | 10-Q | 10.6 | First Amendment to Letter of Credit Facility, dated as of March 21, 2023, among Hercules Capital, Inc. and Sumitomo Mitsui Banking Corporation |
| 2023-02-16 | 10-K | 10 | Letter of Credit Facility Agreement, dated as of January 13, 2023, between Hercules Capital, Inc. and Sumitomo Mitsui Banking Corporation, as issuing bank. |
| 2023-02-16 | 10-K | 10 | First Omnibus Amendment to Revolving Credit Agreement and Guarantee and Security Agreement, dated as of January 13, 2023, among Hercules Capital, Inc., the lenders party thereto and Sumitomo Mitsui Banking Corporation, as administrative agent and collateral agent. |
| 2023-02-16 | 10-K | 10 | Third Amendment to Loan and Security Agreement, dated as of January 13, 2023, among Hercules Funding IV LLC, as borrower, the lenders from time to time party thereto, and MUFG Bank, Ltd., as agent, a joint lead arranger, swingline lender and sole bookrunner. |
| 2023-02-16 | 10-K | 10 | First Amendment to Sale and Servicing Agreement, dated as of January 13, 2023, among Hercules Funding IV LLC, as borrower, Hercules Capital, Inc., as originator and servicer, and MUFG Bank, Ltd., as agent. |
| 2023-02-16 | 10-K | 10 | Form of Long-Term Restricted Stock Unit. |
| 2022-11-02 | 10-Q | 10.2 | Transfer Agency and Service Agreement, dated October 3, 2022, between Hercules Capital, Inc. and Computershare Trust Company, N.A. and Computershare Inc. |
| 2022-11-02 | 10-Q | 10.1 | Form of Dividend Reinvestment Plan, dated September 22, 2022 |
| 2022-07-28 | 10-Q | 10.7 | Second Supplement to the Note Purchase Agreement, dated as of June 23, 2022, by and among Hercules Capital, Inc. and the Additional Purchasers party thereto. |
| 2022-07-28 | 10-Q | 10.6 | Administration Agreement, dated June 22, 2022, by and among Hercules Capital, Inc., as Administrator, Hercules Capital Funding Trust 2022-1, as Issuer, Wilmington Trust National Association, as Owner Trustee, and U.S. Bank Trust Company, National Association, as Trustee. |
| 2022-07-28 | 10-Q | 10.5 | Note Purchase Agreement, dated as of June 22, 2022, by and among Hercules Capital, Inc., as Originator and Servicer, Hercules Capital Funding 2022-1 LLC, as Trust Depositor, Hercules Capital Funding Trust 2022-1, as Issuer, and American Family Life Assurance Company of Columbus, Allianz Life Insurance Company of North America, Compsource Mutual Insurance Company, The Lincoln National Life Insurance Company, Massachusetts Mutual Life Insurance Company, Great American Life Insurance Company, and Fidelity & Guaranty Life Insurance Company, as Purchasers. |
| 2022-07-28 | 10-Q | 10.4 | Sale and Contribution Agreement, dated as of June 22, 2022, between Hercules Capital, Inc., as Seller, and Hercules Capital Funding 2022-1 LLC, as Trust Depositor. |
| 2022-07-28 | 10-Q | 10.3 | Sale and Servicing Agreement, dated as of June 22, 2022, by and among Hercules Capital Funding Trust 2022-1, as Issuer, Hercules Capital, Inc., as Seller and Servicer, Hercules Capital Funding 2022-1 LLC, as Trust Depositor, U.S. Bank Trust Company, National Association, as Trustee and Securities Intermediary, and U.S. Bank National Association, as Backup Servicer and Custodian. |
| 2022-06-15 | 8-K | 10.2 | 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 resigning agent, and MUFG Bank, Ltd. (as successor to MUFG Union Bank, N.A.), as administrative agent. |
| 2022-06-15 | 8-K | 10.1 | 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 administrative agent. |
| 2022-02-22 | 10-K | 10.ZZ | Custodial Agreement by and between Hercules Capital, Inc. and State Street Bank and Trust Company, dated as of November 9, 2021. |
| 2022-02-22 | 10-K | 10.ZZ | PDF COURTESY COPY |
| 2021-11-10 | 8-K | 10.1 | 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 Corporation, as administrative agent. |
| 2020-11-04 | 8-K | 10.2 | 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. |
| 2020-02-20 | 8-K | 10.2 | 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 Bank, N.A., as agent. |
| 2020-02-20 | 8-K | 10.1 | 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 lender and the lenders part thereto from time to time. |
| 2020-02-06 | 8-K | 10.1 | Note Purchase Agreement, dated February 5, 2020, by and among Hercules Capital, Inc. and the Purchasers party thereto. |
| 2019-10-30 | 10-Q | 10.5 | Form of Amended and Restated Global Custody Agreement, by and between Hercules Capital, Inc. and MUFG Union Bank, N.A. |
| 2019-08-01 | 10-Q | 10.6 | Separation Agreement, dated as of July 13, 2019, by and between Hercules Capital, Inc. and Manuel Henriquez. |
| 2019-07-16 | 8-K | 10.1 | Note Purchase Agreement, dated July 16, 2019, by and among Hercules Capital, Inc. and the Purchasers party thereto. |
| 2019-07-03 | 8-K | 10.3 | 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 administrative agent, Hercules Funding II LLC, Hercules Funding IV LLC, Hercules Capital, Inc., and U.S. Bank National Association, as special servicer. |
| 2019-07-03 | 8-K | 10.2 | 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 (f/k/a Wells Fargo Foothill, LLC), as the arranger and the administrative agent, and the lenders party thereto from time to time. |
| 2019-07-03 | 8-K | 10.1 | 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 administrative agent, and the lenders party thereto from time to time. |
| 2019-02-21 | 8-K | 10.2 | Sale and Servicing Agreement, dated as of February 20, 2019, by and among Hercules Funding IV LLC, as borrower, Hercules Capital, Inc., as originator and servicer, and MUFG Union Bank, N.A., as agent. |
| 2019-02-21 | 8-K | 10.1 | Loan and Security Agreement, dated as of February 20, 2019, by and among Hercules Funding IV LLC, as borrower, MUFG Union Bank, N.A., as the arranger and administrative agent, and the lenders party thereto from time to time. |
| 2019-01-31 | 8-K | 10.7 | Form of Incentive Stock Option Award Agreement |
| 2019-01-31 | 8-K | 10.6 | Form of Nonstatutory Stock Option Award Agreement |
| 2019-01-31 | 8-K | 10.5 | Form of Restricted Stock Award Agreement (Director Plan) |
| 2019-01-31 | 8-K | 10.4 | Form of Restricted Stock Award Agreement (2018 Equity Incentive Plan) |
| 2019-01-31 | 8-K | 10.3 | Form of Restricted Stock Unit Award Agreement |
| 2019-01-31 | 8-K | 10.2 | Hercules Capital, Inc. 2018 Non-Employee Director Plan |
| 2019-01-31 | 8-K | 10.1 | Hercules Capital, Inc. Amended and Restated 2018 Equity Incentive Plan |
| 2019-01-22 | 8-K | 10.4 | Administration Agreement, dated January 22, 2019, by and among Hercules Capital, Inc., as Administrator, Hercules Capital Funding Trust 2019-1, as Issuer, Wilmington Trust National Association, as Owner Trustee, and U.S. Bank National Association, as Trustee. |
| 2019-01-22 | 8-K | 10.3 | Note Purchase Agreement, dated as of January 14, 2019, by and among Hercules Capital, Inc., as Originator and Servicer, Hercules Capital Funding 2019-1 LLC, as Trust Depositor, Hercules Capital Funding Trust 2019-1, as Issuer, and Guggenheim Securities, LLC, as Initial Purchaser. |
| 2019-01-22 | 8-K | 10.2 | Sale and Contribution Agreement, dated as of January 22, 2019, between Hercules Capital, Inc., as Seller, and Hercules Capital Funding 2019-1 LLC, as Trust Depositor. |
| 2019-01-22 | 8-K | 10.1 | Sale and Servicing Agreement, dated as of January 22, 2019, by and among Hercules Capital Funding Trust 2019-1, as Issuer, Hercules Capital, Inc., as Seller and Servicer, Hercules Capital Funding 2019-1 LLC, as Trust Depositor, and U.S. Bank National Association, as Trustee, Backup Servicer, Custodian and Securities Intermediary. |
| 2019-01-17 | 8-K | 10.1 | 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 Finance, LLC (f/k/a Wells Fargo Foothill, LLC), as Administrative Agent, and the Lenders party thereto from time to time. |
| 2018-11-02 | 8-K | 10.4 | Administration Agreement, dated November 1, 2018, by and among Hercules Capital, Inc., as Administrator, Hercules Capital Funding Trust 2018-1, as Issuer, Wilmington Trust National Association, as Owner Trustee, and U.S. Bank National Association, as Trustee. |
| 2018-11-02 | 8-K | 10.3 | 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, Hercules Capital Funding Trust 2018-1, as Issuer, and Guggenheim Securities, LLC, as Initial Purchaser. |
| 2018-11-02 | 8-K | 10.2 | 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. |
| 2018-11-02 | 8-K | 10.1 | 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 Capital Funding 2018-1 LLC, as Trust Depositor, and U.S. Bank National Association, as Trustee, Backup Servicer, Custodian and Securities Intermediary. |
| 2018-11-01 | 10-Q | 10.2 | 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 Finance, LLC (f/k/a Wells Fargo Foothill, LLC), as Administrative Agent, and the Lenders party thereto from time to time. |
| 2018-11-01 | 10-Q | 10.1 | 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, LLC (f/k/a Wells Fargo Foothill, LLC), as Administrative Agent, and the Lenders party thereto from time to time. |
| 2018-06-01 | 8-K | 10.1 | 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 administrative agent, and the lenders party thereto. |
| 2018-05-03 | 10-Q | 10.2 | Form of Cash Retention Bonus Award Agreement. |
| 2018-05-03 | 10-Q | 10.1 | Form of Retention Performance Stock Unit Award Agreement. |
| 2017-11-02 | 8-K | 10.1 | Separation Agreement, dated as of November 2, 2017, by and between Hercules Capital, Inc. and Mark Harris. |
| 2017-11-02 | 8-K | 10.1 | 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 to the Agreement, and Bearcub Acquisitions LLC, a Delaware limited liability company. |
| 2017-10-26 | 8-K | 10.3 | Retention Agreement, dated as of October 26, 2017, by and between Hercules Capital, Inc. and Scott Bluestein. |
| 2017-10-26 | 8-K | 10.2 | Retention Agreement, dated as of October 26, 2017, by and between Hercules Capital, Inc. and Mark Harris. |
| 2017-10-26 | 8-K | 10.1 | Retention Agreement, dated as of October 26, 2017, by and between Hercules Capital, Inc. and Manual Henriquez. |
| 2017-04-07 | 8-K | 10.1 | Fourth Amendment to the Amended and Restated Loan and Security Agreement, dated as of April 3, 2017, by and among Hercules Funding II LLC as borrower, Wells Fargo Capital Finance, LLC (f/k/a Wells Fargo Foothill, LLC), as Administrative Agent, and the Lenders party thereto from time to time. |
| 2017-01-05 | 8-K | 10.3 | Form of Performance Restricted Stock Unit Award Agreement |
| 2017-01-05 | 8-K | 10.2 | Form of Restricted Stock Unit Award Agreement |
| 2017-01-05 | 8-K | 10.1 | Hercules Capital, Inc. Amended and Restated 2004 Equity Incentive Plan |
| 2016-07-22 | 8-K | 10.1 | Form of Amended and Restated Indemnification Agreement. |
| 2016-07-19 | 8-K | 10.1 | First Amendment to the Loan and Security Agreement, dated as of July 14, 2016 (effective as of July 18, 2016), by and among Hercules Funding III LLC as borrower, MUFG Union Bank, N.A., as the arranger and administrative agent, and the lenders party thereto. |
| 2016-05-10 | 8-K | 10.2 | Sale and Servicing Agreement, dated as of May 5, 2016, by and among Hercules Funding III LLC, as borrower, Hercules Capital, Inc., as originator and servicer, and MUFG Union Bank, N.A., as agent. |
| 2016-05-10 | 8-K | 10.1 | Loan and Security Agreement, dated as of May 5, 2016, by and among Hercules Funding III, LLC, as borrower, MUFG Union Bank, N.A., as the arranger and administrative agent, and the lenders party thereto from time to time. |
| 2016-04-11 | 8-K | 10.1 | Third Amendment to the Amended and Restated Loan and Security Agreement, dated as of April 7, 2016, by and among Hercules Funding II LLC as borrower, Wells Fargo Capital Finance, LLC (f/k/a Wells Fargo Foothill, LLC), as Administrative Agent, and the Lenders party thereto from time to time. |
| 2016-03-08 | 8-K | 10.1 | Second Amendment to Amended and Restated Loan and Security Agreement, dated as of March 8, 2016, by and among Hercules Funding II LLC as borrower, the lenders party thereto and Wells Fargo Capital Finance, LLC as a lender and as the arranger and the administrative agent. |
| 2015-12-18 | 8-K | 10.1 | First Amendment to Amended and Restated Loan and Security Agreement, dated as of December 16, 2015, by and among Hercules Funding II as borrower, the lenders party thereto and Wells Fargo Capital Finance, LLC as a lender and as the arranger and the administrative agent. |
| 2015-11-13 | 8-K | 10.1 | First Amendment and Waiver to Second Amended and Restated Credit Agreement, dated as of November 3, 2015 by and among Hercules Technology Growth Capital, Inc., MUFG Union Bank, N.A., as administrative agent, and the lenders party thereto. |
| 2015-06-30 | 8-K | 10.2 | Amended and Restated Sale and Servicing Agreement dated as of June 29, 2015 |
| 2015-06-30 | 8-K | 10.1 | Amended and Restated Loan and Security Agreement dated as of June 29, 2015. |
| 2015-05-07 | 10-Q | 10.1 | Seventh Amendment to Loan and Security Agreement by and among Hercules Funding II, LLC and Wells Fargo Capital Finance, LLC (f/k/a Wells Fargo Foothill, LLC), dated as of May 6, 2015. |
| 2014-11-06 | 10-Q | 10.1 | Fifth Amendment to Loan and Security Agreement by and among Hercules Funding II LLC and Wells Fargo Capital Finance, LLC (f/k/a Wells Fargo Foothill, LLC), dated as of August 8, 2014. |
| 2014-08-19 | 8-K | 10.1 | Second Amended and Restated Loan and Security Agreement between the Company and MUFG Union Bank, N.A., dated as of August 14, 2014. |
| 2014-02-27 | 10-K | 10.XX | Fourth Amendment to Amended and Restated Loan and Security Agreement by and between Hercules Technology Growth Capital, Inc. and Union Bank, N.A., dated as of December 2, 2013 |
| 2014-02-27 | 10-K | 10.YY | Fifth Amendment to Amended and Restated Loan and Security Agreement by and between Hercules Technology Growth Capital, Inc. and Union Bank, N.A., dated as of January 31, 2014 |
| 2012-12-20 | 8-K | 10.5 | THIRD AMENDMENT TO THE AMENDED AND RESTATED LOAN AND SECURITY AGREEMENT |
| 2012-12-20 | 8-K | 10.4 | ADMINISTRATION AGREEMENT |
| 2012-12-20 | 8-K | 10.3 | NOTE PURCHASE AGREEMENT |
| 2012-12-20 | 8-K | 10.2 | SALE AND CONTRIBUTION AGREEMENT |
| 2012-12-20 | 8-K | 10.1 | SALE AND SERVICING AGREEMENT |
| 2012-08-02 | 8-K | 10.1 | THIRD AMENDMENT TO LOAN AND SECURITY AGREEMENT |
| 2012-05-08 | 10-Q | 10.1 | FIRST AMENDMENT TO AMENDED AND RESTATED LOAN AND SECURITY AGREEMENT |
| 2011-11-04 | 8-K | 10.1 | AMENDED AND RESTATED LOAN AND SECURITY AGREEMENT |
| 2011-06-24 | 8-K | 10.2 | FOURTH AMENDMENT TO LOAN AND SECURITY AGREEMENT |
| 2011-06-24 | 8-K | 10.1 | SECOND AMENDMENT TO LOAN AND SECURITY AGREEMENT |
| 2010-02-17 | 8-K | 10.1 | Loan and Security Agreement, dated February 10, 2010 |
| 2009-05-11 | 10-Q | 10.HH | FIRST AMENDMENT TO LOAN AND SECURITY AGREEMENT |
| 2009-03-16 | 10-K | 10.L | FORM OF RESTRICTED STOCK AWARD UNDER THE 2004 EQUITY INCENTIVE PLAN |
| 2009-03-16 | 10-K | 10.GG | FORM OF SBA DEBENTURE |