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Compiled from SEC Form N-PX filings and HERCULES CAPITAL INC.’s Form 8-K, filed July 20, 2023 (Item 5.07 on EDGAR). Page generated October 25, 2026.
Meeting of July 20, 2023: 1 item on HERCULES CAPITAL INC.’s Form 8-K, filed July 20, 2023: 1 without a stated outcome.
Meeting of June 20, 2024: 4 items on HERCULES CAPITAL INC.’s Form 8-K, filed June 21, 2024: 4 without a stated outcome.
None.
Material dissent: a director nominee under 80% of the votes cast, say-on-pay under 70%, any other item the board put forward under 80%, or a shareholder proposal with more than 50%, on the company’s own Form 8-K tally. How this is decided
Explore HERCULES CAPITAL INC. in the interactive database Compare manager voting policies
These tallies are HERCULES CAPITAL INC.’s own, as disclosed to the U.S. Securities and Exchange Commission on Form 8-K, filed July 20, 2023 (Item 5.07, “Submission of Matters to a Vote of Security Holders”). They cover every share voted at the meeting, not just the funds that file Form N-PX. HERCULES CAPITAL INC. reported 2 meetings in this season; each is tabulated separately below, with its own filing.
| Ballot item | For | Against | Abstain | Withheld | Broker non-votes | Support (of votes cast) | Reported outcome | Voting standard |
|---|---|---|---|---|---|---|---|---|
| 4. Authorization of the Company to sell or issue shares of its common stock at a price below its then-current NAV per share, subject to the conditions set forth in Proposal 4 | 58,184,204 | 14,750,391 | 3,386,164 | -- | -- | 80% | Not verified | — |
Source: HERCULES CAPITAL INC., Form 8-K, filed with the SEC on July 20, 2023 — read the filing on EDGAR.
| Ballot item | For | Against | Abstain | Withheld | Broker non-votes | Support (of votes cast) | Reported outcome | Voting standard |
|---|---|---|---|---|---|---|---|---|
| Elect Director: Thomas J. Fallon | 60,426,092 | 8,884,287 | 2,088,700 | -- | -- | 87% | Not verified | — |
| Elect Director: Nikos Theodosopoulos | 67,717,749 | 1,244,485 | 2,436,845 | -- | -- | 98% | Not verified | — |
| 2. Advisory vote to approve the Company's named executive offer compensation | 60,966,984 | 6,573,236 | 3,858,859 | -- | -- | 90% | Not verified | — |
| Proposal 4 | 117,365,924 | 1,772,185 | 2,571,507 | -- | -- | 99% | Not verified | — |
Source: HERCULES CAPITAL INC., Form 8-K, filed with the SEC on June 21, 2024 — read the filing on EDGAR.
Each item below shows how the 178 asset managers that disclosed a HERCULES CAPITAL INC. vote in their SEC Form N-PX filings actually voted. Share totals are the shares those managers' funds voted, summed across every fund they report. These are reported items, not a count of the ballot: fund filings describe one ballot item in different words. Two descriptions are shown as one item only on evidence — the same text (or one cut short of the other), the same director nominee, or a match to the same row of HERCULES CAPITAL INC.’s own Form 8-K tally — never because they merely read alike. A description that could not be joined that way is listed on its own, so one ballot item can appear more than once.
Meeting held July 20, 2023.
Combines 3 wordings of this item as funds reported it.
89% of fund votes cast · no official result
The 24 asset managers below reported 2,287,335 for, 294,047 against, 11,118 abstained. The figure above is FOR ÷ (FOR + AGAINST + WITHHELD) of the shares these managers voted; abstained and unvoted shares are in neither half, and these managers are a subset of all shareholders, not the meeting result.
| Asset manager | For | Against | Abstain | Withheld | Vote |
|---|---|---|---|---|---|
| VanEck ETF Trust | 975,463 | 0 | 0 | 0 | For |
| T. Rowe Price | 587,678 | 0 | 0 | 0 | For |
| First Trust | 160,818 | 23,214 | 5,968 | 0 | Mixed |
| Pear Tree Funds | 118,398 | 0 | 0 | 0 | For |
| Putnam | 96,101 | 13,872 | 3,566 | 0 | Mixed |
| Northwestern Mutual | 109,248 | 0 | 0 | 0 | For |
| Miller/Howard High Income Equity Fund | 0 | 100,836 | 0 | 0 | Against |
| CITY NATIONAL ROCHDALE FUNDS | 84,873 | 0 | 0 | 0 | For |
| Invesco | 48,477 | 8,049 | 1,584 | 0 | Mixed |
| FINANCIAL INVESTORS TRUST | 0 | 40,720 | 0 | 0 | Against |
| ALPS Variable Investment Trust | 0 | 30,800 | 0 | 0 | Against |
| John Hancock | 26,248 | 2,213 | 0 | 0 | Mixed |
| ETFis Series Trust I | 0 | 24,937 | 0 | 0 | Against |
| ProShares | 0 | 23,759 | 0 | 0 | Against |
| Northern Trust | 21,754 | 0 | 0 | 0 | For |
| WisdomTree | 21,664 | 0 | 0 | 0 | For |
| Northern Lights Fund Trust IV | 20,341 | 0 | 0 | 0 | For |
| SEI | 13,609 | 0 | 0 | 0 | For |
| Virtus | 0 | 12,197 | 0 | 0 | Against |
| SIT MUTUAL FUNDS INC | 0 | 7,725 | 0 | 0 | Against |
| Blackstone Alternative Investment Funds | 0 | 3,400 | 0 | 0 | Against |
| Tidal ETF Trust | 2,663 | 0 | 0 | 0 | For |
| HENNESSY FUNDS TRUST | 0 | 2,325 | 0 | 0 | Against |
| Primark Meketa Private Equity Investments Fund | 0 | 0 | 0 | 0 | -- |
Meeting held July 20, 2023.
Combines 3 wordings of this item as funds reported it.
98% of fund votes cast · no official result
The 24 asset managers below reported 2,538,608 for, 42,356 against, 11,537 abstained. The figure above is FOR ÷ (FOR + AGAINST + WITHHELD) of the shares these managers voted; abstained and unvoted shares are in neither half, and these managers are a subset of all shareholders, not the meeting result.
| Asset manager | For | Against | Abstain | Withheld | Vote |
|---|---|---|---|---|---|
| VanEck ETF Trust | 975,463 | 0 | 0 | 0 | For |
| T. Rowe Price | 587,678 | 0 | 0 | 0 | For |
| First Trust | 176,326 | 7,499 | 6,175 | 0 | Mixed |
| Pear Tree Funds | 118,398 | 0 | 0 | 0 | For |
| Putnam | 105,368 | 4,481 | 3,690 | 0 | Mixed |
| Northwestern Mutual | 109,248 | 0 | 0 | 0 | For |
| Miller/Howard High Income Equity Fund | 100,836 | 0 | 0 | 0 | For |
| CITY NATIONAL ROCHDALE FUNDS | 84,873 | 0 | 0 | 0 | For |
| Invesco | 54,083 | 2,355 | 1,672 | 0 | Mixed |
| FINANCIAL INVESTORS TRUST | 12,700 | 28,020 | 0 | 0 | Mixed |
| ALPS Variable Investment Trust | 30,800 | 0 | 0 | 0 | For |
| John Hancock | 28,461 | 0 | 0 | 0 | For |
| ETFis Series Trust I | 24,937 | 0 | 0 | 0 | For |
| ProShares | 23,759 | 0 | 0 | 0 | For |
| Northern Trust | 21,754 | 0 | 0 | 0 | For |
| WisdomTree | 21,664 | 0 | 0 | 0 | For |
| Northern Lights Fund Trust IV | 20,341 | 0 | 0 | 0 | For |
| SEI | 13,609 | 0 | 0 | 0 | For |
| Virtus | 12,197 | 0 | 0 | 0 | For |
| SIT MUTUAL FUNDS INC | 7,725 | 0 | 0 | 0 | For |
| Blackstone Alternative Investment Funds | 3,400 | 0 | 0 | 0 | For |
| Tidal ETF Trust | 2,663 | 0 | 0 | 0 | For |
| HENNESSY FUNDS TRUST | 2,325 | 0 | 0 | 0 | For |
| Primark Meketa Private Equity Investments Fund | 0 | 0 | 0 | 0 | -- |
Meeting held July 20, 2023.
Combines 2 wordings of this item as funds reported it.
80% Majority: yes · of votes cast
Description as filed by funds: Authorization Of The Company To Sell Or Issue Shares Of Its Common Stock At A Price Below Its Then-Current Nav Per Share, Subject To The Conditions Set Forth In Proposal 4.
HERCULES CAPITAL INC.’s own tally for this item (“4. Authorization of the Company to sell or issue shares of its common stock at a price below its then-current NAV per share, subject to the conditions set forth in Proposal 4”): 58,184,204 for, 14,750,391 against, per its Form 8-K filed July 20, 2023 (Item 5.07). FOR was more than half of the votes cast. Whether the item passed is for the filing to say; its statement has not been read for this item.
Reported outcome: not verified — the filing’s own statement of the outcome could not be identified for this item.
Support: 80% of votes cast — FOR ÷ (FOR + AGAINST); abstentions and broker non-votes are excluded.
The 24 asset managers below reported 2,504,570 for, 71,573 against, 16,356 abstained.
| Asset manager | For | Against | Abstain | Withheld | Vote |
|---|---|---|---|---|---|
| VanEck ETF Trust | 975,463 | 0 | 0 | 0 | For |
| T. Rowe Price | 587,678 | 0 | 0 | 0 | For |
| First Trust | 143,857 | 37,506 | 8,637 | 0 | Mixed |
| Pear Tree Funds | 118,398 | 0 | 0 | 0 | For |
| Putnam | 85,965 | 22,413 | 5,161 | 0 | Mixed |
| Northwestern Mutual | 109,248 | 0 | 0 | 0 | For |
| Miller/Howard High Income Equity Fund | 100,836 | 0 | 0 | 0 | For |
| CITY NATIONAL ROCHDALE FUNDS | 84,873 | 0 | 0 | 0 | For |
| Invesco | 43,897 | 11,655 | 2,558 | 0 | Mixed |
| FINANCIAL INVESTORS TRUST | 40,720 | 0 | 0 | 0 | For |
| ALPS Variable Investment Trust | 30,800 | 0 | 0 | 0 | For |
| John Hancock | 28,461 | 0 | 0 | 0 | For |
| ETFis Series Trust I | 24,937 | 0 | 0 | 0 | For |
| ProShares | 23,759 | 0 | 0 | 0 | For |
| Northern Trust | 21,754 | 0 | 0 | 0 | For |
| WisdomTree | 21,664 | 0 | 0 | 0 | For |
| Northern Lights Fund Trust IV | 20,341 | 0 | 0 | 0 | For |
| SEI | 13,609 | 0 | 0 | 0 | For |
| Virtus | 12,197 | 0 | 0 | 0 | For |
| SIT MUTUAL FUNDS INC | 7,725 | 0 | 0 | 0 | For |
| Blackstone Alternative Investment Funds | 3,400 | 0 | 0 | 0 | For |
| Tidal ETF Trust | 2,663 | 0 | 0 | 0 | For |
| HENNESSY FUNDS TRUST | 2,325 | 0 | 0 | 0 | For |
| Primark Meketa Private Equity Investments Fund | 0 | 0 | 0 | 0 | -- |
Meeting held July 20, 2023.
Combines 7 wordings of this item as funds reported it.
93% Fund and manager reports combined; may count the same shares twice · no official result
Fund voting reports and institutional-manager reports both cover this item. An institutional manager can report shares that a fund it advises also reports, so the two are shown separately below and never added together, and their sum is not shown (fund and manager reports combined may count the same shares twice). The figure above is FOR ÷ (FOR + AGAINST + WITHHELD) of the shares these managers voted; abstained and unvoted shares are in neither half, and these managers are a subset of all shareholders, not the meeting result.
| Asset manager | For | Against | Abstain | Withheld | Vote |
|---|---|---|---|---|---|
| VanEck ETF Trust | 975,463 | 0 | 0 | 0 | For |
| T. Rowe Price | 587,678 | 0 | 0 | 0 | For |
| First Trust | 162,298 | 16,312 | 11,391 | 0 | Mixed |
| Pear Tree Funds | 118,398 | 0 | 0 | 0 | For |
| Putnam | 96,985 | 9,747 | 6,807 | 0 | Mixed |
| Northwestern Mutual | 109,248 | 0 | 0 | 0 | For |
| Miller/Howard High Income Equity Fund | 100,836 | 0 | 0 | 0 | For |
| CITY NATIONAL ROCHDALE FUNDS | 84,873 | 0 | 0 | 0 | For |
| Invesco | 49,652 | 5,208 | 3,250 | 0 | Mixed |
| FINANCIAL INVESTORS TRUST | 40,720 | 0 | 0 | 0 | For |
| ALPS Variable Investment Trust | 30,800 | 0 | 0 | 0 | For |
| John Hancock | 28,461 | 0 | 0 | 0 | For |
| ETFis Series Trust I | 24,937 | 0 | 0 | 0 | For |
| ProShares | 23,759 | 0 | 0 | 0 | For |
| Northern Trust | 21,754 | 0 | 0 | 0 | For |
| WisdomTree | 0 | 21,664 | 0 | 0 | Against |
| Northern Lights Fund Trust IV | 20,341 | 0 | 0 | 0 | For |
| SEI | 13,609 | 0 | 0 | 0 | For |
| Virtus | 12,197 | 0 | 0 | 0 | For |
| SIT MUTUAL FUNDS INC | 7,725 | 0 | 0 | 0 | For |
| Blackstone Alternative Investment Funds | 3,400 | 0 | 0 | 0 | For |
| Tidal ETF Trust | 2,663 | 0 | 0 | 0 | For |
| HENNESSY FUNDS TRUST | 2,325 | 0 | 0 | 0 | For |
Fund voting reports, all 23 managers: 2,518,122 for, 52,931 against, 21,448 abstained.
| Asset manager | For | Against | Abstain | Withheld | Vote |
|---|---|---|---|---|---|
| T. Rowe Price | 1,182,682 | 0 | 0 | 0 | For |
| VAN ECK ASSOCIATES CORP | 975,463 | 0 | 0 | 0 | For |
| STIFEL NICOLAUS & CO INC \MO\ | 830,952 | 0 | 0 | 0 | For |
| Legal & General Investment Management Ltd | 0 | 732,667 | 0 | 0 | Against |
| Stewart Capital Advisors, LLC | 585,544 | 0 | 0 | 0 | For |
| Gilman Hill Asset Management, LLC | 584,264 | 0 | 0 | 0 | For |
| Nikko Asset Management Co., Ltd. | 561,363 | 0 | 0 | 0 | For |
| Connor, Clark & Lunn Investment Management Ltd. | 401,924 | 0 | 0 | 0 | For |
| Janney Montgomery Scott LLC | 325,127 | 0 | 0 | 0 | For |
| Citadel | 297,441 | 0 | 0 | 0 | For |
| AllianceBernstein | 279,404 | 0 | 0 | 0 | For |
| RBC Capital Markets, LLC | 251,222 | 0 | 0 | 0 | For |
| Point72 | 225,759 | 0 | 0 | 0 | For |
| MCKINLEY CAPITAL MANAGEMENT LLC | 210,917 | 0 | 0 | 0 | For |
| CONFLUENCE INVESTMENT MANAGEMENT LLC | 170,853 | 12,878 | 8,993 | 0 | Mixed |
| D.A. DAVIDSON & CO. | 175,781 | 0 | 0 | 0 | For |
| PNC BANK, NATIONAL ASSOCIATION | 164,091 | 0 | 0 | 0 | For |
| BLAIR WILLIAM & CO/IL | 137,379 | 0 | 0 | 0 | For |
| ENVESTNET ASSET MANAGEMENT INC | 124,618 | 0 | 0 | 0 | For |
| Putnam | 98,433 | 9,747 | 6,807 | 0 | Mixed |
| DnB Asset Management AS | 105,285 | 0 | 0 | 0 | For |
| BlackRock | 102,700 | 0 | 0 | 0 | For |
| CIBC Private Wealth Group LLC | 99,303 | 0 | 0 | 0 | For |
| ROCKEFELLER FINANCIAL LLC | 91,260 | 0 | 0 | 0 | For |
| Northern Trust | 83,679 | 0 | 0 | 0 | For |
Institutional-manager reports, all 142 managers: 8,982,751 for, 788,817 against, 38,766 withheld, 21,050 abstained, 4,603 not voted. Showing the 25 largest; see all in the interactive database.
Meeting held July 20, 2023.
Combines 4 wordings of this item as funds reported it.
78% Fund and manager reports combined; may count the same shares twice · no official result
Fund voting reports and institutional-manager reports both cover this item. An institutional manager can report shares that a fund it advises also reports, so the two are shown separately below and never added together, and their sum is not shown (fund and manager reports combined may count the same shares twice). The figure above is FOR ÷ (FOR + AGAINST + WITHHELD) of the shares these managers voted; abstained and unvoted shares are in neither half, and these managers are a subset of all shareholders, not the meeting result.
| Asset manager | For | Against | Abstain | Withheld | Vote |
|---|---|---|---|---|---|
| VanEck ETF Trust | 0 | 0 | 0 | 0 | -- |
| T. Rowe Price | 0 | 0 | 0 | 0 | -- |
| First Trust | 0 | 0 | 7,437 | 0 | Abstain |
| Pear Tree Funds | 0 | 0 | 0 | 0 | -- |
| Putnam | 0 | 0 | 4,444 | 0 | Abstain |
| Northwestern Mutual | 0 | 0 | 0 | 0 | -- |
| Miller/Howard High Income Equity Fund | 0 | 0 | 0 | 0 | -- |
| CITY NATIONAL ROCHDALE FUNDS | 0 | 0 | 0 | 0 | -- |
| Invesco | 0 | 0 | 2,161 | 0 | Abstain |
| FINANCIAL INVESTORS TRUST | 0 | 0 | 0 | 0 | -- |
| ALPS Variable Investment Trust | 0 | 0 | 0 | 0 | -- |
| John Hancock | 0 | 0 | 0 | 0 | -- |
| ETFis Series Trust I | 0 | 0 | 0 | 0 | -- |
| ProShares | 0 | 0 | 0 | 0 | -- |
| Northern Trust | 0 | 0 | 0 | 0 | -- |
| WisdomTree | 0 | 0 | 0 | 0 | -- |
| Northern Lights Fund Trust IV | 20,341 | 0 | 0 | 0 | For |
| SEI | 0 | 0 | 0 | 0 | -- |
| Virtus | 0 | 0 | 0 | 0 | -- |
| SIT MUTUAL FUNDS INC | 0 | 0 | 0 | 0 | -- |
| Blackstone Alternative Investment Funds | 0 | 0 | 0 | 0 | -- |
| Tidal ETF Trust | 0 | 0 | 0 | 0 | -- |
| HENNESSY FUNDS TRUST | 0 | 0 | 0 | 0 | -- |
Fund voting reports, all 23 managers: 20,341 for, 14,041 abstained, 2,529,202 1 year, 16,365 3 year, 12,551 2 year.
| Asset manager | For | Against | Abstain | Withheld | Vote |
|---|---|---|---|---|---|
| T. Rowe Price | 0 | 0 | 0 | 0 | -- |
| VAN ECK ASSOCIATES CORP | 0 | 0 | 0 | 0 | -- |
| STIFEL NICOLAUS & CO INC \MO\ | 0 | 0 | 0 | 0 | -- |
| Legal & General Investment Management Ltd | 0 | 0 | 0 | 0 | -- |
| Stewart Capital Advisors, LLC | 0 | 0 | 0 | 0 | -- |
| Gilman Hill Asset Management, LLC | 0 | 0 | 0 | 0 | -- |
| Nikko Asset Management Co., Ltd. | 0 | 0 | 0 | 0 | -- |
| Connor, Clark & Lunn Investment Management Ltd. | 0 | 0 | 0 | 0 | -- |
| Janney Montgomery Scott LLC | 0 | 0 | 0 | 0 | -- |
| Citadel | 0 | 0 | 0 | 0 | -- |
| AllianceBernstein | 0 | 0 | 0 | 0 | -- |
| RBC Capital Markets, LLC | 0 | 0 | 0 | 0 | -- |
| Point72 | 0 | 0 | 0 | 0 | -- |
| MCKINLEY CAPITAL MANAGEMENT LLC | 0 | 0 | 0 | 0 | -- |
| CONFLUENCE INVESTMENT MANAGEMENT LLC | 0 | 0 | 5,871 | 0 | Abstain |
| D.A. DAVIDSON & CO. | 0 | 0 | 0 | 0 | -- |
| PNC BANK, NATIONAL ASSOCIATION | 0 | 0 | 0 | 0 | -- |
| BLAIR WILLIAM & CO/IL | 0 | 0 | 0 | 0 | -- |
| ENVESTNET ASSET MANAGEMENT INC | 0 | 0 | 0 | 0 | -- |
| Putnam | 100,866 | 3,938 | 4,292 | 0 | Mixed |
| DnB Asset Management AS | 0 | 0 | 0 | 0 | -- |
| BlackRock | 0 | 0 | 0 | 0 | -- |
| CIBC Private Wealth Group LLC | 0 | 0 | 0 | 0 | -- |
| ROCKEFELLER FINANCIAL LLC | 0 | 0 | 0 | 0 | -- |
| Northern Trust | 0 | 0 | 0 | 0 | -- |
Institutional-manager reports, all 139 managers: 132,523 for, 3,938 against, 38,766 withheld, 14,323 abstained, 4,603 not voted, 9,568,693 1 year, 9,732 3 year, 7,629 unknown, 7,626 2 year. Showing the 25 largest; see all in the interactive database.
Meeting held June 20, 2024.
Combines 5 wordings of this item as funds reported it.
90% Majority: yes · of votes cast
Description as filed by funds: ADVISORY VOTE TO APPROVE THE COMPANY'S NAMED EXECUTIVE OFFICER COMPENSATION.
HERCULES CAPITAL INC.’s own tally for this item (“2. Advisory vote to approve the Company's named executive offer compensation”): 60,966,984 for, 6,573,236 against, per its Form 8-K filed June 21, 2024 (Item 5.07). FOR was more than half of the votes cast. Whether the item passed is for the filing to say; its statement has not been read for this item.
Reported outcome: not verified — the filing’s own statement of the outcome could not be identified for this item.
Support: 90% of votes cast — FOR ÷ (FOR + AGAINST); abstentions and broker non-votes are excluded.
The 6 asset managers below reported 86,797 for.
| Asset manager | For | Against | Abstain | Withheld | Vote |
|---|---|---|---|---|---|
| NAPA WEALTH MANAGEMENT | 50,345 | 0 | 0 | 0 | For |
| 1620 INVESTMENT ADVISORS, INC. | 31,111 | 0 | 0 | 0 | For |
| HOLLENCREST CAPITAL MANAGEMENT | 2,522 | 0 | 0 | 0 | For |
| Garde Capital, Inc. | 1,497 | 0 | 0 | 0 | For |
| Sound View Wealth Advisors Group, LLC | 1,022 | 0 | 0 | 0 | For |
| Keystone Wealth Services, LLC | 300 | 0 | 0 | 0 | For |
Meeting held July 20, 2023.
100% of fund votes cast · no official result
The 3 asset managers below reported 93,656 for. The figure above is FOR ÷ (FOR + AGAINST + WITHHELD) of the shares these managers voted; abstained and unvoted shares are in neither half, and these managers are a subset of all shareholders, not the meeting result.
| Asset manager | For | Against | Abstain | Withheld | Vote |
|---|---|---|---|---|---|
| Baker Avenue Asset Management, LP | 82,800 | 0 | 0 | 0 | For |
| GRIMES & COMPANY, INC. | 9,856 | 0 | 0 | 0 | For |
| Sculati Wealth Management, LLC | 1,000 | 0 | 0 | 0 | For |
Meeting held July 20, 2023.
100% of fund votes cast · no official result
The 3 asset managers below reported 1,000 for, 9,856 1 year. The figure above is FOR ÷ (FOR + AGAINST + WITHHELD) of the shares these managers voted; abstained and unvoted shares are in neither half, and these managers are a subset of all shareholders, not the meeting result.
| Asset manager | For | Against | Abstain | Withheld | Vote |
|---|---|---|---|---|---|
| GRIMES & COMPANY, INC. | 0 | 0 | 0 | 0 | -- |
| Sculati Wealth Management, LLC | 1,000 | 0 | 0 | 0 | For |
| Baker Avenue Asset Management, LP | 0 | 0 | 0 | 0 | -- |
Meeting held July 20, 2023.
— of fund votes cast · no official result
The 3 asset managers below reported 95,488 1 year.
| Asset manager | For | Against | Abstain | Withheld | Vote |
|---|---|---|---|---|---|
| ADVISORY RESEARCH INC | 0 | 0 | 0 | 0 | -- |
| TD ASSET MANAGEMENT INC | 0 | 0 | 0 | 0 | -- |
| Rock Point Advisors, LLC | 0 | 0 | 0 | 0 | -- |
Meeting held July 20, 2023.
100% of fund votes cast · no official result
The 3 asset managers below reported 95,488 for. The figure above is FOR ÷ (FOR + AGAINST + WITHHELD) of the shares these managers voted; abstained and unvoted shares are in neither half, and these managers are a subset of all shareholders, not the meeting result.
| Asset manager | For | Against | Abstain | Withheld | Vote |
|---|---|---|---|---|---|
| ADVISORY RESEARCH INC | 90,038 | 0 | 0 | 0 | For |
| TD ASSET MANAGEMENT INC | 4,950 | 0 | 0 | 0 | For |
| Rock Point Advisors, LLC | 500 | 0 | 0 | 0 | For |
Meeting held July 20, 2023.
Combines 3 wordings of this item as funds reported it.
99% Fund and manager reports combined; may count the same shares twice · no official result
Fund voting reports and institutional-manager reports both cover this item. An institutional manager can report shares that a fund it advises also reports, so the two are shown separately below and never added together, and their sum is not shown (fund and manager reports combined may count the same shares twice). The figure above is FOR ÷ (FOR + AGAINST + WITHHELD) of the shares these managers voted; abstained and unvoted shares are in neither half, and these managers are a subset of all shareholders, not the meeting result.
| Asset manager | For | Against | Abstain | Withheld | Vote |
|---|---|---|---|---|---|
| VanEck ETF Trust | 975,463 | 0 | 0 | 0 | For |
| T. Rowe Price | 587,678 | 0 | 0 | 0 | For |
| First Trust | 182,098 | 3,403 | 4,499 | 0 | For |
| Pear Tree Funds | 118,398 | 0 | 0 | 0 | For |
| Putnam | 108,817 | 2,033 | 2,689 | 0 | For |
| Northwestern Mutual | 109,248 | 0 | 0 | 0 | For |
| Miller/Howard High Income Equity Fund | 100,836 | 0 | 0 | 0 | For |
| CITY NATIONAL ROCHDALE FUNDS | 84,873 | 0 | 0 | 0 | For |
| Invesco | 55,787 | 1,069 | 1,254 | 0 | For |
| FINANCIAL INVESTORS TRUST | 40,720 | 0 | 0 | 0 | For |
| ALPS Variable Investment Trust | 30,800 | 0 | 0 | 0 | For |
| John Hancock | 28,461 | 0 | 0 | 0 | For |
| ETFis Series Trust I | 24,937 | 0 | 0 | 0 | For |
| ProShares | 23,759 | 0 | 0 | 0 | For |
| Northern Trust | 21,754 | 0 | 0 | 0 | For |
| WisdomTree | 21,664 | 0 | 0 | 0 | For |
| Northern Lights Fund Trust IV | 20,341 | 0 | 0 | 0 | For |
| SEI | 13,609 | 0 | 0 | 0 | For |
| Virtus | 12,197 | 0 | 0 | 0 | For |
| SIT MUTUAL FUNDS INC | 7,725 | 0 | 0 | 0 | For |
| Blackstone Alternative Investment Funds | 3,400 | 0 | 0 | 0 | For |
| Tidal ETF Trust | 2,663 | 0 | 0 | 0 | For |
| HENNESSY FUNDS TRUST | 2,325 | 0 | 0 | 0 | For |
Fund voting reports, all 23 managers: 2,577,553 for, 6,506 against, 8,442 abstained.
| Asset manager | For | Against | Abstain | Withheld | Vote |
|---|---|---|---|---|---|
| Greenwich Investment Management, Inc. | 22,447 | 22,447 | 0 | 0 | Mixed |
Institutional-manager reports, all 1 managers: 22,447 for, 22,447 against.
Not shown here: this season’s fund filings also report 6 items from the meeting of August 15, 2024, which belongs to the 2024-2025 season. A meeting outside this season’s July 1 to June 30 window is not counted in this page’s items or in its totals of asset managers and fund votes.
Ranked separately for each type of Form N-PX report. An institutional manager can report shares that a fund it advises also reports, so the two tables can list the same shares and are never added together. Each is ranked by the shares voted on the item that the most managers of that type reported, shown as a share of the 144,641,000 shares outstanding at the time of that meeting.
| # | Asset manager | % of shares outstanding |
|---|---|---|
| 1 | VanEck ETF Trust | 0.67% |
| 2 | T. Rowe Price | 0.41% |
| 3 | First Trust | 0.13% |
| 4 | Pear Tree Funds | 0.08% |
| 5 | Putnam | 0.08% |
| 6 | Northwestern Mutual | 0.08% |
| 7 | Miller/Howard High Income Equity Fund | 0.07% |
| 8 | CITY NATIONAL ROCHDALE FUNDS | 0.06% |
| 9 | Invesco | 0.04% |
| 10 | FINANCIAL INVESTORS TRUST | 0.03% |
| # | Asset manager | % of shares outstanding |
|---|---|---|
| 1 | T. Rowe Price | 0.82% |
| 2 | VAN ECK ASSOCIATES CORP | 0.67% |
| 3 | STIFEL NICOLAUS & CO INC \MO\ | 0.57% |
| 4 | Legal & General Investment Management Ltd | 0.51% |
| 5 | Stewart Capital Advisors, LLC | 0.40% |
| 6 | Gilman Hill Asset Management, LLC | 0.40% |
| 7 | Nikko Asset Management Co., Ltd. | 0.39% |
| 8 | Connor, Clark & Lunn Investment Management Ltd. | 0.28% |
| 9 | Janney Montgomery Scott LLC | 0.22% |
| 10 | Citadel | 0.21% |
As disclosed to the SEC in Form 13F (quarter-end holdings of 30 large managers), Schedules 13D and 13G (beneficial ownership above 5%) and the company’s own proxy statement (DEF 14A). Each row names its form.
| Holder | % outstanding | Disclosure |
|---|---|---|
| Kingdom Holding Company | 6.51% | DEF14A |
| Scott Bluestein | 1.59% | DEF14A |
| BlackRock | 0.93% | 13F |
| Morgan Stanley | 0.81% | 13F |
| Citadel Advisors | 0.54% | 13F |
| Two Sigma | 0.43% | 13F |
| JPMorgan Chase | 0.29% | 13F |
| Seth H. Meyer | 0.25% | DEF14A |
| Franklin Templeton | 0.19% | 13F |
| Goldman Sachs | 0.15% | 13F |
Percentages above are of 144,641,000 shares outstanding, as reported by HERCULES CAPITAL INC. on its Form 10-Q dated June 30, 2023 (see the filing on EDGAR). This is the count contemporaneous with the 2023-2024 meeting, not today’s. Each holding is as of its own filing, which may be dated before or after the meeting.
Every figure above is derived from filings made with the US Securities and Exchange Commission: Form N-PX, in which registered funds disclose how they voted every proxy and institutional managers disclose their votes on executive pay (say-on-pay, say-on-frequency and golden parachutes), and Form 8-K Item 5.07, in which the company reports its own meeting results. Shares outstanding are taken from HERCULES CAPITAL INC.’s 10-Q dated June 30, 2023. This page is a static snapshot rebuilt weekly on October 25, 2026; a live search always shows the current data.
At HERCULES CAPITAL INC.'s 2 shareholder meetings in the 2023-2024 proxy season (held July 20, 2023 and June 20, 2024), 178 asset managers reported how they voted in their SEC Form N-PX filings, covering 660 separate fund positions. Their filings are grouped here into 11 reported items; because filers word the same ballot item differently, that can be more than the number of items on the ballot. HERCULES CAPITAL INC.'s own Form 8-K tally for this meeting is published below, but no row in it could be matched to the most widely held item, so this page states no certified outcome for that item. On that item — ADVISORY VOTE TO APPROVE THE COMPANY'S NAMED EXECUTIVE OFFICER COMPENSATION. — the reporting funds and managers cast 93% of the shares they voted in favour (FOR divided by FOR plus AGAINST plus WITHHELD; abstained and unvoted shares are excluded because neither took a side). Fund and manager reports are combined in it and may count the same shares twice: it adds fund reports to institutional-manager reports, which can cover the same shares. It is not the company's certified result.
HERCULES CAPITAL INC. proxy season coverage: 2023-2024 (this page) · 2024-2025 · 2025-2026.
Download data (CSV): ballot items · votes by manager · column guide.