AMENDED AND RESTATED SALE AND SERVICING AGREEMENT among HERCULES FUNDING TRUST I, as Issuer and HERCULES FUNDING I LLC, as Depositor and HERCULES TECHNOLOGY GROWTH CAPITAL, INC., as Originator and Servicer and U.S. BANK NATIONAL ASSOCIATION, as...Sale and Servicing Agreement • May 4th, 2007 • Hercules Technology Growth Capital Inc • New York
HERCULES CAPITAL, INC. AND U.S. BANK NATIONAL ASSOCIATION, as Trustee INDENTURE Dated as of January 25, 2017 4.375% Convertible Senior Notes due 2022Indenture • January 25th, 2017 • Hercules Capital, Inc. • New York
INDENTURE dated as of January 25, 2017 between HERCULES CAPITAL, INC., a Maryland corporation, as issuer (the “Company,” as more fully set forth in Section 1.01) and U.S. BANK NATIONAL ASSOCIATION, a national banking association, as trustee (the “Trustee,” as more fully set forth in Section 1.01).
REGISTRATION RIGHTS AGREEMENTRegistration Rights Agreement • March 9th, 2006 • Hercules Technology Growth Capital Inc • New York
This Registration Rights Agreement (this “Agreement”) is made and entered into as of March 2, 2006, by and among Hercules Technology Growth Capital, Inc., a Maryland corporation (the “Company”), and the purchasers listed on Schedule I hereto (the “Purchasers”).
4.77% Senior Notes due July 16, 2024Note Purchase Agreement • July 16th, 2019 • Hercules Capital, Inc. • New York
HERCULES TECHNOLOGY GROWTH CAPITAL, INC. AND U.S. BANK NATIONAL ASSOCIATION, as Trustee INDENTURE Dated as of April 15, 2011 6.00% Convertible Senior Notes due 2016Indenture • April 18th, 2011 • Hercules Technology Growth Capital Inc • New York
INDENTURE dated as of April 15, 2011 between HERCULES TECHNOLOGY GROWTH CAPITAL, INC., a Maryland corporation, as issuer (the “Company,” as more fully set forth in Section 1.01) and U.S. BANK NATIONAL ASSOCIATION, a national banking association, as trustee (the “Trustee,” as more fully set forth in Section 1.01).
CUSTODY AGREEMENTCustody Agreement • February 22nd, 2022 • Hercules Capital, Inc. • Massachusetts
ADMINISTRATION AGREEMENT between HERCULES CAPITAL FUNDING TRUST 2014-1, as Issuer, HERCULES TECHNOLOGY GROWTH CAPITAL, INC., as Administrator WILMINGTON TRUST, NATIONAL ASSOCIATION, as Owner Trustee and as Trustee Dated as of November 13, 2014Administration Agreement • March 25th, 2015 • Hercules Technology Growth Capital Inc • New York
THIS ADMINISTRATION AGREEMENT (as amended, supplemented or otherwise modified and in effect from time to time, this “Agreement”) dated as of November 13, 2014, is between HERCULES CAPITAL FUNDING TRUST 2014-1, a Delaware statutory trust (the “Issuer”), HERCULES TECHNOLOGY GROWTH CAPITAL, INC., a Maryland corporation, as administrator (“Hercules” or the “Administrator”), U.S. BANK NATIONAL ASSOCIATION, a national banking association, as trustee (the “Trustee”) and WILMINGTON TRUST, NATIONAL ASSOCIATION, a national banking association, not in its individual capacity but solely as owner trustee (the “Owner Trustee”). Capitalized terms used herein and not otherwise defined herein shall have the meanings assigned such terms in the Sale and Servicing Agreement dated as of November 13, 2014 (the “Sale and Servicing Agreement”) by and among the Issuer, Hercules, as seller and as servicer, Hercules Capital Funding 2014-1 LLC, as trust depositor (the “Trust Depositor”) and U.S. Bank National Ass
HERCULES CAPITAL, INC. Common Stock, $0.001 par value per share EQUITY DISTRIBUTION AGREEMENT Dated May [•], 2023Equity Distribution Agreement • May 5th, 2023 • Hercules Capital, Inc. • New York
Pursuant to Section 7(n) of the Equity Distribution Agreement, dated [DATE] (the “Equity Distribution Agreement”) (terms defined therein being used herein as therein defined), by and among Hercules Capital, Inc., a Maryland corporation (the “Company”) and [Name of Sales Manager] (the “Sales Manager”), the undersigned officers of the Company each hereby certifies, in his or her capacity as President and Chief Executive Officer, and Chief Financial Officer, respectively, of, and on behalf of, the Company:
REVOLVING CREDIT AGREEMENT dated as of November 9, 2021 among HERCULES CAPITAL, INC. as Borrower The LENDERS and ISSUING BANKS Party Hereto and SUMITOMO MITSUI BANKING CORPORATION as Administrative Agent SUMITOMO MITSUI BANKING CORPORATION as Lead...Revolving Credit Agreement • November 10th, 2021 • Hercules Capital, Inc. • New York
REVOLVING CREDIT AGREEMENT, dated as of November 9, 2021 (this “Agreement”), among HERCULES CAPITAL, INC., a Maryland corporation (the “Borrower”), the LENDERS and ISSUING BANKS from time to time party hereto, and SUMITOMO MITSUI BANKING CORPORATION, as Administrative Agent.
6,500,000 Shares Hercules Capital, Inc. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • August 10th, 2023 • Hercules Capital, Inc. • New York
Hercules Capital, Inc., a Maryland corporation (the “Company”), proposes to issue and sell to the several Underwriters named in Schedule I hereto (each, an “Underwriter” and, collectively the “Underwriters”), for whom Morgan Stanley & Co. LLC, UBS Securities LLC and Wells Fargo Securities, LLC are acting as representatives (in such capacity, the “Representatives”), an aggregate of 6,500,000 shares of common stock, par value $0.001 per share, of the Company (the “Firm Shares”).
FORM OF SUBSCRIPTION AGENT AGREEMENT SUBSCRIPTION AGENT AGREEMENT BY AND BETWEEN HERCULES TECHNOLOGY GROWTH CAPITAL, INC. andSubscription Agent Agreement • February 8th, 2012 • Hercules Technology Growth Capital Inc • New York
This Subscription Rights Agreement (the “Agreement”) is made as of between Hercules Technology Growth Capital, Inc., a Maryland corporation (the “Company”), and (the “Subscription Agent”), and relates to the base prospectus included in the Registration Statement on Form N-2, File No. 333- , filed by the Company with the Securities and Exchange Commission on , 2011, as amended by any amendment filed with respect thereto (the “Registration Statement”) and any supplemental prospectus (together with the base prospectus, the “Prospectus”). Capitalized terms not otherwise defined herein shall have the meanings given to them in the Subscription Certificate (as defined below).
40,000,000 Aggregate Principal Amount 6.25% Notes Due 2033 Hercules Capital, Inc. UNDERWRITING AGREEMENTUnderwriting Agreement • September 24th, 2018 • Hercules Capital, Inc. • New York
Hercules Capital, Inc., a Maryland corporation (the “Company”), proposes to issue and sell to the several Underwriters named in Schedule A hereto (each, an “Underwriter” and, collectively the “Underwriters”), for whom Keefe, Bruyette & Woods, Inc., Morgan Stanley & Co. LLC and UBS Securities LLC are acting as the representatives (in such capacity, the “Representatives”) $40,000,000 aggregate principal amount of 6.25% Notes due 2033 (the “Firm Securities”) of the Company set forth in Schedule A hereto.
FORM OF WARRANT AGREEMENT WARRANT AGREEMENT BY AND BETWEEN HERCULES TECHNOLOGY GROWTH CAPITAL, INC. ANDWarrant Agreement • February 8th, 2012 • Hercules Technology Growth Capital Inc • New York
Agreement made as of , between HERCULES TECHNOLOGY GROWTH CAPITAL, INC., a Maryland corporation, with offices at 400 Hamilton Avenue, Suite 310, Palo Alto, CA 94301 (“Company”), and , a corporation, with offices at (“Warrant Agent”).
SALE AND SERVICING AGREEMENT by and among HERCULES CAPITAL FUNDING TRUST 2022-1, as the Issuer, HERCULES CAPITAL FUNDING 2022-1 LLC, as the Trust Depositor, HERCULES CAPITAL, INC. as the Seller and as the Servicer, Dated as of June 22, 2022 Hercules...Sale and Servicing Agreement • July 28th, 2022 • Hercules Capital, Inc. • New York
CUSTODIAL AGREEMENTCustodial Agreement • December 17th, 2021 • Hercules Capital, Inc. • New York
THIS CUSTODIAL AGREEMENT (this “Agreement”) dated as of April 23, 2021, is entered into between HERCULES FUNDING IV LLC (the “Owner”) and WELLS FARGO BANK, NATIONAL ASSOCIATION, as custodian (in such capacity, the “ Custodian”).
AMENDED AND RESTATED LOAN AND SECURITY AGREEMENT by and among HERCULES FUNDING II LLC as Borrower, THE LENDERS THAT ARE SIGNATORIES HERETO as the Lenders, and WELLS FARGO CAPITAL FINANCE, LLC as the Arranger and Administrative Agent, Dated as of June...Loan and Security Agreement • June 30th, 2015 • Hercules Technology Growth Capital Inc • New York
THIS AMENDED AND RESTATED LOAN AND SECURITY AGREEMENT (this “Agreement”), is entered into as of June 29, 2015, between and among, on the one hand, the lenders identified on the signature pages hereof (such lenders, together with their respective successors and assigns, and such other lenders as may become a party hereto in accordance with the terms hereof, are referred to hereinafter each individually as a “Lender” and collectively as the “Lenders”), WELLS FARGO CAPITAL FINANCE, LLC, a Delaware limited liability company formerly known as Wells Fargo Foothill, LLC, as the arranger and administrative agent for the Lenders (in such capacity, together with its successors and assigns in such capacity, “Agent”), and, on the other hand, HERCULES FUNDING II LLC, a Delaware limited liability company (“Borrower”).
SALE AND CONTRIBUTION AGREEMENT by and between HERCULES CAPITAL, INC., as the Seller and HERCULES CAPITAL FUNDING 2022-1 LLC, as the Trust Depositor Dated as of June 22, 2022 Hercules Capital Funding Trust 2022-1 Asset-Backed NotesSale and Contribution Agreement • July 28th, 2022 • Hercules Capital, Inc. • New York
THIS SALE AND CONTRIBUTION AGREEMENT, dated as of June 22, 2022 (as amended, modified, restated, waived, or supplemented from time to time, this “Agreement”), is between HERCULES CAPITAL, INC., a Maryland corporation (together with its successors and assigns, “Hercules,” and in its capacity as originator, together with its successors and assigns, the “Seller”) and HERCULES CAPITAL FUNDING 2022-1 LLC, a Delaware limited liability company (together with its successors and assigns, the “Trust Depositor”).
This Amended and Restated Global Custody Agreement (“Amended and Restated Agreement”) is made as of,Global Custody Agreement • October 30th, 2019 • Hercules Capital, Inc. • New York
by and between Hercules Capitail, ("Principal") and MUFG Union Bank, N.A. ("Custodian"), and hereby supersedes that certain Custody Agreement dated as of (May 4, 2016), the Addendum to Custody Agreement for Special Assets, and other supplements thereto (collectively, the Custody Agreement), by and between Custodian and Principal, and any amendments thereof.
INDENTURE by and between HERCULES CAPITAL FUNDING TRUST 2018-1, as the Issuer, and U.S. BANK NATIONAL ASSOCIATION, as the Trustee Dated as of November 1, 2018 Hercules Capital Funding Trust 2018-1 NotesIndenture • November 2nd, 2018 • Hercules Capital, Inc. • New York
THIS INDENTURE, dated as of November 1, 2018 (as amended, modified, restated, supplemented or waived from time to time, this “Indenture”), is by and between HERCULES CAPITAL FUNDING TRUST 2018-1, a Delaware statutory trust, as the issuer (together with its successors and assigns, in such capacity, the “Issuer”), and U.S. BANK NATIONAL ASSOCIATION, a national banking association (“U.S. Bank”) not in its individual capacity, but solely in its capacity as the trustee (together with its successors and assigns, in such capacity, the “Trustee”).
Aggregate Principal Amount Senior Securities $ Aggregate Principal Amount Subordinated Securities Hercules Technology Growth Capital, Inc. FORM OF DEBT UNDERWRITING AGREEMENTHercules Technology Growth Capital Inc • June 8th, 2015 • New York
The [Senior Securities] [Subordinated Securities] will be issued under an indenture dated as of , as supplemented by a Supplemental Indenture dated as of (collectively, the “Indenture”), between the Company and U.S. Bank, National Association, as trustee (the “Trustee”). The Senior Securities and Subordinated Securities are hereinafter referred to as the “Securities.” The Senior Securities and Subordinated Securities may be offered either together or separately. Each issue of Senior Securities and Subordinated Securities may vary, as applicable, as to aggregate principal amount, maturity date, interest rate or formula and timing of payments thereof, redemption provisions, conversion provisions and sinking fund requirements, if any, and any other variable terms which the Indenture contemplates may be set forth in the Senior Securities and Subordinate Securities as issued from time to time. Securities issued in book-entry form will be issued to Cede & Co. as nominee of the Depository Tru
AMENDED AND RESTATED TRUST AGREEMENT by and between HERCULES CAPITAL FUNDING 2022-1 LLC, as the Trust Depositor and WILMINGTON TRUST, NATIONAL ASSOCIATION, as the Owner Trustee Dated as of June 22, 2022 Hercules Capital Funding Trust 2022-1...Trust Agreement • July 28th, 2022 • Hercules Capital, Inc. • Delaware
THIS AMENDED AND RESTATED TRUST AGREEMENT (such agreement as amended, modified, waived, supplemented or restated from time to time, the “Trust Agreement” or this “Agreement”), dated as of June 22, 2022, is between HERCULES CAPITAL FUNDING 2022-1 LLC, a Delaware limited liability company, as trust depositor (the “Trust Depositor”), and WILMINGTON TRUST, NATIONAL ASSOCIATION, a national banking association (in its individual capacity, together with its successors and assigns, the “Trust Company”), as owner trustee (solely in such capacity, the “Owner Trustee”).
SEVENTH SUPPLEMENTAL INDENTURE between HERCULES CAPITAL, INC. and as Trustee Dated as of September 16, 2021 SEVENTH SUPPLEMENTAL INDENTUREHercules Capital, Inc. • September 16th, 2021 • New York
THIS SEVENTH SUPPLEMENTAL INDENTURE (this “Seventh Supplemental Indenture”), dated as of September 16, 2021, is between Hercules Capital, Inc., a Maryland corporation (the “Company”), and U.S. Bank National Association, as trustee (the “Trustee”). All capitalized terms used herein shall have the meaning set forth in the Base Indenture (as defined below).
Transfer Agency and Service Agreement Between HERCULES CAPITAL, INC. and Computershare Trust Company, N.A. and Computershare Inc.Transfer Agency and Service Agreement • November 2nd, 2022 • Hercules Capital, Inc. • New York
THIS TRANSFER AGENCY AND SERVICE AGREEMENT, effective as of October 3, 2022 (“Effective Date”), is by and between Hercules Capital, Inc., a Maryland corporation, having its principal office and place of business at 400 Hamilton Avenue, Suite 310, Palo Alto, California 94301 (“Company”), and Computershare Inc., a Delaware corporation (“Computershare”), and its affiliate Computershare Trust Company, N.A., a federally chartered trust company (“Trust Company”, and together with Computershare, “Agent”), each having a principal office and place of business at 150 Royall Street, Canton, Massachusetts 02021.
FOURTH SUPPLEMENTAL INDENTURE between HERCULES CAPITAL, INC. and as Trustee Dated as of October 23, 2017 FOURTH SUPPLEMENTAL INDENTUREFourth Supplemental Indenture • October 25th, 2017 • Hercules Capital, Inc. • New York
THIS FOURTH SUPPLEMENTAL INDENTURE (this “Fourth Supplemental Indenture”), dated as of October 23, 2017, is between Hercules Capital, Inc., a Maryland corporation (the “Company”), and U.S. Bank National Association, as trustee (the “Trustee”). All capitalized terms used herein shall have the meaning set forth in the Base Indenture (as defined below).
INDENTURE between HERCULES FUNDING TRUST I, as Issuer, and U.S. BANK NATIONAL ASSOCIATION, as Indenture Trustee Dated as of August 1, 2005 HERCULES FUNDING TRUST I ASSET BACKED NOTESIndenture • August 5th, 2005 • Hercules Technology Growth Capital Inc • New York
INDENTURE dated as of August 1, 2005 (this “Indenture”), between Hercules Funding Trust I, a Delaware statutory trust, as Issuer (the “Issuer”) and U.S. Bank National Association, a national banking association, as Indenture Trustee (the “Indenture Trustee”).
RETENTION AGREEMENTRetention Agreement • October 26th, 2017 • Hercules Capital, Inc. • California
This Retention Agreement (this “Agreement”), effective as of October 26, 2017, is made between Hercules Capital, Incorporated, a Maryland corporation (the “Company”) and the individual executing this Agreement as the Executive on the signature page (the “Executive”).
SECOND AMENDED AND RESTATED LOAN AND SECURITY AGREEMENT by and among HERCULES TECHNOLOGY GROWTH CAPITAL, INC. as Borrower, THE LENDERS PARTY HERETO FROM TIME TO TIME as Lenders, and MUFG UNION BANK, N.A. as Agent and a Lender August 14, 2014Loan and Security Agreement • August 19th, 2014 • Hercules Technology Growth Capital Inc • California
THIS SECOND AMENDED AND RESTATED LOAN AND SECURITY AGREEMENT (as amended, restated, supplemented or otherwise modified and in effect from time to time, this “Agreement”), is entered into as of August 14, 2014, by and among HERCULES TECHNOLOGY GROWTH CAPITAL, INC., a Maryland corporation (“Borrower”), MUFG UNION BANK, N.A., formerly known as Union Bank, N.A. (in its individual capacity, “Bank”) for itself as a Lender and as Agent for Lenders (in such capacity, the “Agent”), and the other Lenders party hereto from time to time.
HERCULES CAPITAL FUNDING TRUST 2014-1 NOTES NOTE PURCHASE AGREEMENTNote Purchase Agreement • March 25th, 2015 • Hercules Technology Growth Capital Inc • New York
AMENDED AND RESTATED INDEMNIFICATION AGREEMENTIndemnification Agreement • July 22nd, 2016 • Hercules Capital, Inc. • Maryland
THIS AMENDED AND RESTATED INDEMNIFICATION AGREEMENT (this “Agreement”) is made and entered into as of by and between HERCULES CAPITAL, INC, a Maryland corporation (the “Company”), and (“Indemnitee”).
Exhibit 10.1 FIFTH AMENDMENT TO SALE AND SERVICING AGREEMENT (Hercules Funding Trust I) THIS FIFTH AMENDMENT TO THE SALE AND SERVICING AGREEMENT, dated as of March 30, 2007 (this "Amendment"), is entered into in donnection with that certain Sale and...Sale and Servicing Agreement • April 3rd, 2007 • Hercules Technology Growth Capital Inc • New York
ADMINISTRATION AGREEMENT between HERCULES CAPITAL FUNDING TRUST 2019-1, as Issuer, HERCULES CAPITAL, INC., as Administrator WILMINGTON TRUST, NATIONAL ASSOCIATION, as Owner Trustee and Dated as of January 22, 2019Administration Agreement • January 22nd, 2019 • Hercules Capital, Inc. • New York
THIS ADMINISTRATION AGREEMENT (as amended, supplemented or otherwise modified and in effect from time to time, this “Agreement”) dated as of January 22, 2019, is between HERCULES CAPITAL FUNDING TRUST 2019-1, a Delaware statutory trust (the “Issuer”), HERCULES CAPITAL, INC., a Maryland corporation, as administrator (“Hercules” or the “Administrator”), U.S. BANK NATIONAL ASSOCIATION, a national banking association, as trustee (the “Trustee”) and WILMINGTON TRUST, NATIONAL ASSOCIATION, a national banking association, not in its individual capacity but solely as owner trustee (the “Owner Trustee”). Capitalized terms used herein and not otherwise defined herein shall have the meanings assigned such terms in the Sale and Servicing Agreement dated as of January 22, 2019 (the “Sale and Servicing Agreement”) by and among the Issuer, Hercules, as seller and as servicer, Hercules Capital Funding 2019-1 LLC, as trust depositor (the “Trust Depositor”) and U.S. Bank National Association, as the tru
Hercules Capital Funding Trust 2022-1 NotesIndenture • July 28th, 2022 • Hercules Capital, Inc. • New York
FIFTH AMENDMENT TO AMENDED AND RESTATED LOAN AND SECURITY AGREEMENTLoan and Security Agreement • February 27th, 2014 • Hercules Technology Growth Capital Inc • California
This Fifth Amendment to Amended and Restated Loan and Security Agreement (this “Amendment”), is dated as of January 31, 2014 (the “Effective Date”) by and among HERCULES TECHNOLOGY GROWTH CAPITAL, INC., a Maryland corporation (the “Borrower”), the several financial institutions party to the Loan Agreement (as defined below) as lenders (the “Lenders”), and UNION BANK, N.A., as a Lender and as agent for the Lenders (in such capacity, the “Agent”).
EIGHTH SUPPLEMENTAL INDENTURE between HERCULES CAPITAL, INC. and as Trustee Dated as of January 20, 2022 EIGHTH SUPPLEMENTAL INDENTUREEighth Supplemental Indenture • January 21st, 2022 • Hercules Capital, Inc. • New York
THIS EIGHTH SUPPLEMENTAL INDENTURE (this “Eighth Supplemental Indenture”), dated as of January 20, 2022, is between Hercules Capital, Inc., a Maryland corporation (the “Company”), and U.S. Bank National Association, as trustee (the “Trustee”). All capitalized terms used herein shall have the meaning set forth in the Base Indenture (as defined below).
AMENDED AND RESTATED TRUST AGREEMENT by and between HERCULES CAPITAL FUNDING 2014-1 LLC, as the Trust Depositor and WILMINGTON TRUST, NATIONAL ASSOCIATION, as the Owner Trustee Dated as of November 13, 2014 Hercules Capital Funding Trust 2014-1...Trust Agreement • March 25th, 2015 • Hercules Technology Growth Capital Inc • Delaware
THIS AMENDED AND RESTATED TRUST AGREEMENT (such agreement as amended, modified, waived, supplemented or restated from time to time, the “Trust Agreement” or this “Agreement”), dated as of November 13, 2014, is between HERCULES CAPITAL FUNDING 2014-1 LLC, a Delaware limited liability company, as trust depositor (the “Trust Depositor”), and WILMINGTON TRUST, NATIONAL ASSOCIATION, a national banking association (in its individual capacity, together with its successors and assigns, the “Trust Company”), as owner trustee (solely in such capacity, the “Owner Trustee”).
