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.
SIXTH SUPPLEMENTAL INDENTURE between HERCULES CAPITAL, INC. and as Trustee Dated as of September 24, 2018 SIXTH SUPPLEMENTAL INDENTURESupplemental Indenture • September 24th, 2018 • Hercules Capital, Inc. • New York
THIS SIXTH SUPPLEMENTAL INDENTURE (this “Sixth Supplemental Indenture”), dated as of September 24, 2018, 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).
