UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 8-K
CURRENT REPORT
Pursuant to Section 13 or 15(d) of
the Securities Exchange Act of 1934
Date of Report (Date of earliest event reported): December 8, 2014 (December 3, 2014)
Hercules Technology Growth Capital, Inc.
(Exact name of registrant as specified in its charter)
| Maryland | 814-00702 | 74-3113410 | ||
| (State or other jurisdiction of incorporation) |
(Commission File No.) | (I.R.S. Employer Identification No.) |
| 400 Hamilton Ave., Suite 310 Palo Alto, CA |
94301 | |
| (Address of principal executive offices) | (Zip Code) |
Registrant’s telephone number, including area code: (650) 289-3060
Not Applicable
(Former name or address, if changed since last report)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):
| ¨ | Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
| ¨ | Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
| ¨ | Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
| ¨ | Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
| Item 5.02 | Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers. |
On December 3, 2014, the Board of Directors of Hercules Technology Growth Capital, Inc. (the “Company”) approved the following persons as executive officers and “officers” of the Company as such term is defined under Rule 16a-1(f) under the Securities Exchange Act of 1934, as amended:
| • | Manuel Henriquez, Chief Executive Officer and President; |
| • | Jessica Baron, Chief Financial Officer; |
| • | Scott Bluestein, Chief Investment Officer; |
| • | Michael Butler, Chief Compliance Officer; and |
| • | Andrew Olson, Corporate Controller. |
As of December 3, 2014, Parag Shah will no longer be designated as an executive officer of the Company. Mr. Shah will continue to work in the Company’s Life Sciences Group.
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
| HERCULES TECHNOLOGY GROWTH CAPITAL, INC. | ||||
| December 8, 2014 |
||||
| By: | /s/ Jessica Baron | |||
| Jessica Baron | ||||
| Chief Financial Officer | ||||