Topic Listing for Hercules Capital, Inc.

Address Principal Executive Offices 650 289-3060 Adopted Pursuant
Affiliate Farallon Capital Management Llc Agreement
Amended Amended Restated 2004 Equity Incentive Plan
Amendment Amendment Loan Security Agreement
Amortization Credit Facility Negatively Affect Net Asset Value Ancestrycom
Annex Announces New Commitment Credit Facility Union Bank California
Annual Base Salary Annual Cash Bonus
Annual Meeting Stockholders Annual Report
Applicable Scheduled Interim Period New Periods Assessment Corporate Performance
Assessment Performance Asset Management
Assets Securing Loans Make Decrease Value Then Lack Assurance Recently Enacted Legislation Authorizing Government Purchase Large
Attestation Report Registered Public Accounting Firm Audit Committee Charter
Audit Committee Report Background Reasons
Because Borrow Money Increased Risk Investing Because Intend Distribute Substantially Income Stockholders Election Treated
Because Intend Distribute Substantially Income Stockholders Order Qualify Because Intend Distribute Substantially Income Stockholders Treated Ric
Because Most Investments Typically Not Publicly-traded Securities Uncertainty Benchmarking
Beneficial Ownership Reporting Compliance Benefits Perquisites
Board Directors Board Directors Recommends Vote Proposals
Board Recommends Vote Proposal Authorize Sell Otherwise Issue Borrowings
Bridge Financing Brokerage Allocation Other Practices
Brokerage Allocations Other Practices Business Metrics
Business Model Depends Significant Extent Strong Referral Relationships Business Strategy
Cannot Assure Market Price Common Stock Not Decline Cannot Obtain Additional Capital Because Either Regulatory Market
Capital Structure Cash Equivalents
Certain Relationships Related Transactions Certain Relationships Related Transactions Director Independence
Certain United States Federal Income Tax Considerations Change Dividend Policy
Change Net Assets Per Share Changes Internal Control Over Financial Reporting
Changes Laws Regulations Governing Business Negatively Affect Profitability Choose Waive Defer Enforcement Covenants Debt Securities Held
Citigroup Total 1250 Borrowing Capacity Closing Date
Code Ethics Collateral Securing Loan Not Sufficient Protect Partial Complete
Commitments Contingencies Committees Board
Committees Board Directors Common Stock Price Been Continues Volatile Decrease Substantially
Common Stock Price Volatile Decrease Substantially Common Stock Trade Below Net Asset Value Per
Communication Board Comparative Compensation Data
Comparison Periods 2006 2005 Compensation Certain Executive Officers Directors
Compensation Committee Interlocks Insider Participation Compensation Directors
Compensation Executive Officers Compensation Philosophy
Compensation Policies Compensation Portfolio Management Employees
Competition Components Total Compensation
Concentrations Credit Risk Conclusion
Conditions Issuance Conditions Sell Otherwise Issue Common Stock Net Price
Conditions Sell Percent Common Stock Net Price Below Conduct Offering Common Stock Price Below Net Asset
Conference Call Consent Independent Registered Public Accounting Firm
Consequences Approval Sell Otherwise Issue Common Stock Net Consequences Approval Sell Percent Common Stock Net Price
Contact Continuing Lack Initial Public Offering Opportunities Cause Companies
Contractual Obligations Controls Procedures
Conversion Regulated Investment Status Cordially Invited Attend Annual Meeting Stockholders Person Whether
Corporate History Offices Corporate Structure
Correcting Replacing Hercules Technology Growth Capital Announces Record Cost Borrowing Increased Warrant Participation Agreement Lenders Addition
Credit Agreement Pledge Security Credit Facility
Critical Accounting Policies Cumulative Distributions Totaling 2725 Per Share
Cumulative Distributions Totaling 307 Per Share Since Ipo Cumulative Distributions Totaling 341 Per Share Since Ipo
Cumulative Distributions Totaling 375 Per Share Since Ipo Current Economic Market Environment
Current Levels Market Volatility Unprecedented Common Stock Price Current Market Conditions
Current Market Conditions Impacted Debt Equity Capital Markets Current Market Conditions Materially Adversely Impacted Debt Equity
Currently Period Capital Markets Disruption Recession Not Expect Currently Period Capital Markets Disruption Slowing Economic Growth
Date Report Earliest Event Reported 2005 Debenture
Debt Minority Equity Investor Portfolio Not Position Control Declared Eleventh Dividend Increased 034 Per Share
Declares Thirteenth Consecutive Quarterly Dividend 034 Per Share Definition Related Securitization Property
Departure Directors Principal Officers Election Appointment Dependent Key Management Personnel Future Success Particularly Manuel
Depreciation Amortization Description Business Basis Presentation
Description Business Basis Presentation Summary Significant Accounting Policies Description Business Interim Consolidated Financial Statements Basis Presentation
Description Business Interim Financial Statements Basis Presentation Determination 2006 Annual Cash Bonus Named Executive Officers
Determination 2006 Salaries Named Executive Officers Determination 2007 2008 Long-term Equity Incentive Awards Neos
Determination 2007 Annual Base Salaries Ceo Other Neos Determination 2007 Annual Cash Bonus Neos Key Employees
Determination 2007 Long-term Equity Incentive Awards Neos Determination 2008 Annual Base Salaries Neos
Determination 2008 Annual Cash Bonus Neos Determination Net Asset Value
Determinations Connection Offerings Developing Alignment Business Plan Stockholder Interests Employee
Difficulty Paying Required Distributions Recognize Income Before Without Dilution
Director Independence Directors Executive Officers Corporate Governance
Directors Executive Officers Key Employees Disclosure Controls Procedures
Distributions Distributions Shareholders
Dividend Declaration Dividend Policy
Dividend Reinvestment Plan Dividends
Documentation Documents Incorporated Reference
Each Following Directors Independent Nasdaq Stock Market Rules Earnings Per Share
Earnings Per Share Eps Economic Recession Future Downturns Recessions Impair Value Collateral
Election Regulated Business Development Investment Election Taxed Regulated Investment
Employees Employment Agreement
Equity Compensation Plan Information Equity Incentive Awards
Equity Incentive Plan Equity Investments Highly Speculative Not Realize Gains Generate
Equity Related Investments Highly Speculative Not Realize Gains Estimates
Exact Name Registrant Specified Charter Executive Compensation
Executive Officers Not Directors Exemptive Relief
Exemptive Relief Application Restricted Stock Awards Exhibits
Explanatory Exposed Increased Costs Risks Associated Complying Regulations Corporate
Extent Venture Capital Private Equity Firms Decrease Discontinue Facsimile
Failure Qualify Regulated Investment Fair Value Financial Instruments
Fair Value Measurements Farallon Capital Affiliates
Federal Income Tax Consequences Federal Income Taxes
Fees Paid Ernst Young Llp 2004 2005 Fees Paid Ernst Young Llp 2006 2005
Fifteenth Consecutive Quarterly Dividend Bringing Cumulative Distributions 437 Financial Condition Liquidity Capital Resources
Financial Condition Results Operations Financial Highlights
Financial Results Financial Results Negatively Affected Significant Portfolio Investment Fails
Financial Results Negatively Affected Unable Recover Principal Investment Financial Statements Exhibits
Financing Costs Fluctuations Interest Rates Adversely Affect Profitability
Following Director Independent Nasdaq Stock Market Rules Not Following Director Interested Because Chairman Chief Executive Officer
Following Italicized Terms Apply Interim Period Extended Sba Form 10-k
Form 10-q Form 10-q Table Contents
Form 8-k Forward-looking Statements
Forward-looking Statements Market Data Fully Repays 130 Credit Facility Citibank Deutsche Bank
Further Economic Recessions Downturns Impair Value Collateral Loans Future Choose Pay Dividends Own Stock Case Required
General General Information
Gomez Inc Grants Plan Based Awards
Held 2006 Held 2007
Held 2008 Held 2009
Hercules Announces Dividend 030 Per Share Hercules Enters 100 Securitized Credit Facility
Hercules Portfolio Developments Hercules Recognizes Additional Portfolio Events Labopharm Inc Quatrx
Hercules Technology Announces 2009 Financial Results Declared 030 Hercules Technology Announces 2009 Financial Results Declares 030
Hercules Technology Announces Additional Sbic Borrowing Capacity Increase Hercules Technology Announces Appointment Robert Badavas Board Directors
Hercules Technology Announces Preliminary 2008 Financial Results Hercules Technology Growth Capital
Hercules Technology Growth Capital Announces Cash Dividend 030 Hercules Technology Growth Capital Announces Dividend 034 Per
Hercules Technology Growth Capital Announces End 2007 Financial Hercules Technology Growth Capital Announces Open Market Share
Hercules Technology Growth Capital Announces Portfolio Companies Reached Hercules Technology Growth Capital Announces Record 2008 Financial
Hercules Technology Growth Capital Announces Record Net Investment Hercules Technology Growth Capital Announces Special Fifth Dividend
Hercules Technology Growth Capital Announces Tenth Consecutive Quarterly Hercules Technology Growth Capital Inc
Hercules Technology Growth Capital Inc Issued Press Hercules Technology Growth Capital Names David Lund Cpa
Hercules Technology Growth Capital Prepares Expanding Team Include Hercules Technology Growth Capital Receives Gross Realized Proceeds
Hercules Technology Growth Capital Secures New Credit Facility Hercules Technology Successfully Completes Full Repayment 1300 Citigroup
Highlights Highlights 2005
Impact Enacted American Recovery Reinvestment Act 2009 Inability Portfolio Companies Commercialize Technologies Create Develop Commercially
Incentive Plan Incentive Stock Option Awards
Income Excise Taxes Income Recognition
Income Statement Income Tax Expense Reduced Eliminated
Income Taxes Income Taxes Excise
Incur Debt Increase Risk Investing Indemnification
Independent Director Independent Directors
Index Index Financial Statements
Information Directors Executive Officers Information Directors Executive Officers Key Employees
Information Executive Officers Key Employees Not Directors Information Executive Officers Not Directors
Information Executive Officers Other Highly Compensated Employee Information Notices
Information Regarding Solicitation Information Set Forth 203 Form 8-k Incorporated Herein
Interested Director Interested Director Nominee
Internal Control Over Financial Reporting Internal Controls Over Financial Reporting Not Adequate Independent
Internal Pay Equity Analysis Interpretations Staff Securities Exchange Regarding Appropriateness Consolidation Certain
Invested Continue Investing Technology-related Companies Not Venture Capital Investing Shares Common Stock Involve Above Average Degree
Investing Shares Common Stock Warrants Involve Above Average Investment Criteria
Investment Portfolio Investment Process
Investment Strategy Focused Primarily Privately-held Companies Presents Certain Investment Strategy Focuses Technology-related Companies Subject Risks Including
Investment Strategy Focuses Technology-related Life-science Companies Subject Risks Investments
Investments Concentrated Emerging-growth Expansion-stage Portfolio Companies Limited Operating Investments Concentrated Limited Number Technology-related Companies Subjects Risk
Investments Concentrated Portfolio Companies Limited Operating Histories Financial Investments Foreign Securities Involve Significant Risks Addition Inherent
Investments Not Meet Performance Expectations Receive Distributions Issuer Purchases Equity Securities
Key Employees Labopharm Inc Tsx Dds Nasdaq Ddss
Lack Liquidity Investments Adversely Affect Business Need Sell Legal Proceedings
Leverage Likely Terms Long-term Revolving Credit Warehouse Facility Enter
Limited Liability General Partner Limited Operating History Bdc Not Operated Ric Affect
Limited Operating History Business Development Affect Ability Manage Liquidity Capital Resources
List Subsidiaries Loan Compliance Administration
Loan Number Loans Subject Equitable Subordination Court Increase Risk Loss
Long Term Compensation Long-term Equity Incentive Retention Awards
Long-term Equity Retention Incentive Awards Long-term Sba Debentures
Managements Annual Report Internal Control Over Financial Reporting Managements Report Internal Control Over Financial Reporting
Managerial Assistance Market Opportunity
Market Registrants Common Equity Related Stockholder Matters Issuer Markets Show Encouraging Signs Improvement
Merrimack Pharmaceuticals Inc Name Person Filing Proxy Statement Other Registrant
Net Decrease Assets Resulting Operations Change Per Share Net Increase Assets Resulting Operations Change Per Share
Net Increase Assets Resulting Operations Earnings Per Share Net Interest Margin 1016
Net Investment Gains Net Investment Gains Loss
Net Investment Gains Losses Net Investment Income Before Gains Losses
Net Investment Income Before Tax Expense Gains Losses Net Investment Income Loss Before Tax Expense Gains
Net Investment Realized Gains Losses Unrealized Appreciation Depreciation Non-director Executive Officers
Non-employee Director Plan Not Able Realize Entire Investment Equipment-based Loans Case
Not Control Portfolio Companies Therefore Make Decisions Disagree Not Invest Sufficient Portion Assets Qualifying Fail Qualify
Not Realize Gains Equity Investments Not Sufficient Funds Make Follow-on Investments Decision Investment
Not Yet Identified Portfolio Companies Invest Notes Consolidated Financial Statements
Number 814-00702 Obligations Indebtedness
Off Balance Sheet Arrangements Offering Costs Placement Fees
Operate Highly Competitive Market Investment Opportunities Not Able Operating Expenses
Operating Income Operating Results 2005
Option Exercises Year-end Values Option Grants 2005
Option Grants Last Option Grants Non-employee Directors
Options Organization Expenses
Organized Corporation Origination
Other Other Business
Other Events Other Highly Compensated Employee
Outstanding Equity Awards End Overview
Overview Compensation Program Palo Alto California 94301
Paratek Pharmaceuticals Inc Part
Part Financial Information Part Other Information
Part Period Specific Terms Performance Graph
Portfolio Asset Quality Diversification Portfolio Companies Incur Debt Ranks Equally Senior Investments
Portfolio Companies Unable Protect Intellectual Property Rights Then Portfolio Events
Portfolio Investment Activity Portfolio Investment Activity 2005
Portfolio Quality Potential Payments Termination Change Control
Pre-approval Policy Prepayments Debt Investments Portfolio Companies Adversely Impact Results
Price Declines Illiquidity Corporate Debt Markets Adversely Affect Price Range Common Stock
Prices Initial Public Offering Principal Accountant Fees Services
Principle Accountant Fees Services Privacy Principles
Promptly Enclosed Envelope Promptly Enclosed Evenlope
Properties Proposal Approval 2006 Non-employee Director Plan
Proposal Approval Amended Restated 2006 Non-employee Director Plan Proposal Authorization Subsequent Approval Board Sell Otherwise Issue
Proposal Ratification Selection Independent Auditors Proposal Ratification Selection Independent Registered Public Accounting Firm
Provisions Maryland General Corporation Law Charter Bylaws Deter Proxy Voting Policies Procedures
Purpose Meeting Qualifying Assets
Quantitative Qualitative Disclosures Market Risk Quarterly Annual Operating Results Subject Fluctuation Result Nature
Quatrx Pharmaceuticals Quorum Required
Reasons Approval Authorize Sell Otherwise Common Stock Price Reasons Approval Authorize Sell Percent Common Stock Price
Recent Accounting Pronouncements Recent Accounting Pronouncements Impact Future Financial Position Results
Recent Developments Recitals
Reclassification Reclassifications
Record Growth Revenues Net Investment Income Reduction Workforce
Registrants Telephone Number Including Area Code Registrants Telephone Number Including Area Code 650 289-3060
Regulation Regulation Business Development
Regulations Governing Operations Bdc Affect Ability Manner Raise Regulations Governing Operations Business Development Affect Ability Manner
Related-party Transactions Remainder Page Been Intentionally Left Blank Signature Follows
Remainder Page Intentionally Left Blank Report Independent Registered Public Accounting Firm
Report Investments Market Value Fair Changes Reported Through Reports Record Revenues 190 Originations Fundings
Required Asset Documents Required Vote
Restricted Stock Restricted Stock Award Agreement
Restricted Stock Dividend Equivalent Rights Other Similar Results Fluctuate Not Indicative Future Performance
Results Operation Financial Condition Results Operations
Results Operations Financial Condition Review Discussion Independent Registered Public Accounting Firm
Review Management Review Operating Results
Ric Election Risk Factors
Risk Not Receive Distributions Grow Over Time Risks Related Business Structure
Risks Related Investments Role Compensation Committee
Role Compensation Committee Management Role Compensation Consultant
Role Management Salaries Annual Bonus
Sale Servicing Agreement Sales Unregistered Securities
San Francisco 94111 Sarbanes-oxley Act 2002
Sbic Financing Schedule 701 Certification
Securities Authorized Issuance Equity Compensation Plan Securities Exchange Act 1934
Securities Registered Pursuant Act Securitization
Securitization Agreement Securitized Credit Facility
Security Ownership Certain Beneficial Owners Management Related Stockholder Segments
Selected Quarterly Data Senior Securities Coverage Ratio
Separately Announces Departure Chief Financial Officer Dennis Wolf Seventeenth Consecutive Quarterly Dividend Bringing Cumulative Distributions 497
Shall Governed Construed Accordance Laws State New York Shareholders Equity
Signature Pages Follow Signatures
Signatures Follow Next Page Significant Managerial Assistance
Six-month Periods 2005 Sixteenth Consecutive Quarterly Dividend Bringing Cumulative Distributions 467
Small Business Administration Regulations Some Portfolio Companies Need Additional Capital Not Readily
Spillover Estimated Range 017 019 Per Share Stock Based Compensation
Stock Performance Graph Stock-based Compensation
Stockholders Equity Submission Matters Vote Security Holders
Submission Stockholder Proposals Subsequent Events
Successfully Achieves Early Payoff Before Maturity Date Further Suffer Loss Portfolio Defaults Loan Underlying Collateral Not
Summary 2004 Equity Incentive Plan Summary Amended Restated 2004 Equity Incentive Plan
Summary Compensation Table Summary Director Plan
Summary Significant Accounting Policies Table Contents
Tax Accounting Implications Taxation Corporation Subchapter Code Not Regulated Investment
Taxation Non-us Stockholders Taxation Regulated Investment
Taxation Stockholders Temporary Investments
Transferred Loans Unable Borrow Money Order Leverage Equity Capital Then
Unable Continue Borrow Money Order Leverage Equity Capital Unable Decide Not Make Additional Cash Investments Portfolio
Unable Manage Future Growth Effectively Achieve Investment Objective Unable Satisfy Code Requirements Qualification Ric Then Continue
Unable Satisfy Code Requirements Qualification Ric Then Subject Unable Satisfy Internal Revenue Code Requirements Qualification Ric
Underwriting United States
United States Securities Exchange Washington 20549 Unless Marked Contrary Shares Represented Enclosed Proxy Card
Unrealized Depreciation Experience Loan Portfolio Indication Future Realized Unrealized Losses Experience Investment Portfolio Indication Future Realized
Unresolved Staff Comments Valuation Investments
Various Portfolio Companies Achieved Key Milestones After Including Vote Required
Voting Securities Warrants
Warrants Options Wells Facility
Wells Fargo Foothill Wholly-owned Subsidiaries Licensed Small Business Administration Result Subject
Withholding Taxes ~018 Per Share Earnings Spill-over 2009~
~dividend Represents 407 Per Share Cumulative Distributions Declared 
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