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Compiled from SEC Form N-PX filings and Hercules Capital, Inc.’s Form 8-K, filed June 18, 2026 (Item 5.07 on EDGAR). Page generated October 25, 2026.
Meeting of June 18, 2026: 5 items on Hercules Capital, Inc.’s Form 8-K, filed June 18, 2026: 5 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 June 18, 2026 (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.
| Ballot item | For | Against | Abstain | Withheld | Broker non-votes | Support (of votes cast) | Reported outcome | Voting standard |
|---|---|---|---|---|---|---|---|---|
| Proposal 1 | 56,422,755 | 7,998,130 | 1,208,961 | -- | 64,127,395 | 88% | Not verified | — |
| Proposal 2 | 58,698,529 | 4,560,167 | 2,371,150 | -- | 64,127,395 | 93% | Not verified | — |
| Proposal 4 | 59,276,440 | 4,054,542 | 2,298,864 | -- | 64,127,395 | 94% | Not verified | — |
| 5. Approve the amendment and restatement of the Hercules Capital, Inc. 2018 Non-Employee Director Plan | 59,722,634 | 3,596,932 | 2,310,280 | -- | 64,127,395 | 94% | Not verified | — |
| Proposal 6 | 126,724,716 | 1,631,996 | 1,400,529 | -- | -- | 99% | Not verified | — |
Source: Hercules Capital, Inc., Form 8-K, filed with the SEC on June 18, 2026 — read the filing on EDGAR.
Each item below shows how the 241 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.
Combines 3 wordings of this item as funds reported it.
85% of fund votes cast · no official result
The 15 asset managers below reported 3,103,190 for, 535,747 against, 62,265 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 | 1,686,531 | 261,210 | 36,834 | 0 | Mixed |
| Putnam | 973,589 | 150,789 | 21,263 | 0 | Mixed |
| First Trust | 190,196 | 29,457 | 4,154 | 0 | Mixed |
| WisdomTree | 122,733 | 0 | 0 | 0 | For |
| Northern Trust | 41,592 | 0 | 0 | 0 | For |
| EA Series Trust | 39,643 | 0 | 0 | 0 | For |
| Legacy Capital Wealth Partners, LLC | 36,249 | 0 | 0 | 0 | For |
| ETFis Series Trust I | 0 | 35,399 | 0 | 0 | Against |
| ProShares | 0 | 31,713 | 0 | 0 | Against |
| SIT MUTUAL FUNDS INC | 0 | 24,675 | 0 | 0 | Against |
| Tidal Trust I | 10,337 | 0 | 0 | 0 | For |
| Blackstone Alternative Investment Funds | 0 | 2,400 | 0 | 0 | Against |
| Goldman Sachs | 1,247 | 0 | 0 | 0 | For |
| Invesco | 668 | 103 | 15 | 0 | Mixed |
| MUTUAL FUND SERIES TRUST | 406 | 0 | 0 | 0 | For |
Combines 4 wordings of this item as funds reported it.
94% Majority: yes · of votes cast
Description as filed by funds: Approval of the amendment and restatement of the Hercules Capital, Inc. 2018 Non-Employee Director Plan.
Hercules Capital, Inc.’s own tally for this item (“5. Approve the amendment and restatement of the Hercules Capital, Inc. 2018 Non-Employee Director Plan”): 59,722,634 for, 3,596,932 against, per its Form 8-K filed June 18, 2026 (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: 94% of votes cast — FOR ÷ (FOR + AGAINST); abstentions and broker non-votes are excluded.
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).
| Asset manager | For | Against | Abstain | Withheld | Vote |
|---|---|---|---|---|---|
| VanEck ETF Trust | 1,799,751 | 112,863 | 71,961 | 0 | Mixed |
| Putnam | 1,038,947 | 65,153 | 41,541 | 0 | Mixed |
| First Trust | 202,964 | 12,728 | 8,115 | 0 | Mixed |
| WisdomTree | 122,733 | 0 | 0 | 0 | For |
| Northern Trust | 41,592 | 0 | 0 | 0 | For |
| EA Series Trust | 39,643 | 0 | 0 | 0 | For |
| ETFis Series Trust I | 35,399 | 0 | 0 | 0 | For |
| ProShares | 31,713 | 0 | 0 | 0 | For |
| SIT MUTUAL FUNDS INC | 24,675 | 0 | 0 | 0 | For |
| Tidal Trust I | 10,337 | 0 | 0 | 0 | For |
| Blackstone Alternative Investment Funds | 2,400 | 0 | 0 | 0 | For |
| Goldman Sachs | 1,247 | 0 | 0 | 0 | For |
| Invesco | 713 | 45 | 29 | 0 | Mixed |
| MUTUAL FUND SERIES TRUST | 406 | 0 | 0 | 0 | For |
Fund voting reports, all 14 managers: 3,352,520 for, 190,788 against, 121,645 abstained.
| Asset manager | For | Against | Abstain | Withheld | Vote |
|---|---|---|---|---|---|
| Janney Montgomery Scott LLC | 319,096 | 0 | 0 | 0 | For |
| Legacy Capital Wealth Partners, LLC | 36,249 | 0 | 0 | 0 | For |
| CHECK CAPITAL MANAGEMENT INC/CA | 3,675 | 0 | 0 | 0 | For |
| McGowan Group Asset Management, Inc. | 3,321 | 0 | 0 | 0 | For |
| FINANCIAL CONSULATE, INC | 2,045 | 0 | 0 | 0 | For |
| Capital Group | 0 | 0 | 140 | 0 | Abstain |
| Vident Advisory, LLC | 116 | 0 | 0 | 0 | For |
Institutional-manager reports, all 7 managers: 364,502 for, 140 abstained.
94% 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 | 1,785,660 | 127,211 | 71,703 | 0 | Mixed |
| Putnam | 1,030,813 | 73,436 | 41,392 | 0 | Mixed |
| First Trust | 201,375 | 14,346 | 8,086 | 0 | Mixed |
| WisdomTree | 122,733 | 0 | 0 | 0 | For |
| Northern Trust | 41,592 | 0 | 0 | 0 | For |
| EA Series Trust | 39,643 | 0 | 0 | 0 | For |
| ETFis Series Trust I | 35,399 | 0 | 0 | 0 | For |
| ProShares | 31,713 | 0 | 0 | 0 | For |
| SIT MUTUAL FUNDS INC | 24,675 | 0 | 0 | 0 | For |
| Tidal Trust I | 10,337 | 0 | 0 | 0 | For |
| Blackstone Alternative Investment Funds | 2,400 | 0 | 0 | 0 | For |
| Goldman Sachs | 1,247 | 0 | 0 | 0 | For |
| Invesco | 707 | 50 | 28 | 0 | Mixed |
| MUTUAL FUND SERIES TRUST | 406 | 0 | 0 | 0 | For |
Fund voting reports, all 14 managers: 3,328,701 for, 215,043 against, 121,209 abstained.
| Asset manager | For | Against | Abstain | Withheld | Vote |
|---|---|---|---|---|---|
| UNITED CAPITAL FINANCIAL ADVISORS, LLC | 80,890 | 0 | 0 | 0 | For |
| Legacy Capital Wealth Partners, LLC | 36,249 | 0 | 0 | 0 | For |
| CHECK CAPITAL MANAGEMENT INC/CA | 3,675 | 0 | 0 | 0 | For |
| FINANCIAL CONSULATE, INC | 2,045 | 0 | 0 | 0 | For |
| Vident Advisory, LLC | 116 | 0 | 0 | 0 | For |
Institutional-manager reports, all 5 managers: 122,975 for.
Combines 4 wordings of this item as funds reported it.
94% 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 | 1,767,184 | 143,366 | 74,025 | 0 | Mixed |
| Putnam | 1,020,147 | 82,761 | 42,732 | 0 | Mixed |
| First Trust | 199,291 | 16,168 | 8,348 | 0 | Mixed |
| WisdomTree | 122,733 | 0 | 0 | 0 | For |
| Northern Trust | 41,592 | 0 | 0 | 0 | For |
| EA Series Trust | 39,643 | 0 | 0 | 0 | For |
| ETFis Series Trust I | 35,399 | 0 | 0 | 0 | For |
| ProShares | 31,713 | 0 | 0 | 0 | For |
| SIT MUTUAL FUNDS INC | 24,675 | 0 | 0 | 0 | For |
| Tidal Trust I | 10,337 | 0 | 0 | 0 | For |
| Blackstone Alternative Investment Funds | 2,400 | 0 | 0 | 0 | For |
| Goldman Sachs | 1,247 | 0 | 0 | 0 | For |
| Invesco | 700 | 57 | 29 | 0 | Mixed |
| MUTUAL FUND SERIES TRUST | 406 | 0 | 0 | 0 | For |
| TITAN GLOBAL CAPITAL MANAGEMENT USA LLC | 0 | 0 | 0 | 0 | Not Voted |
Fund voting reports, all 15 managers: 3,297,467 for, 242,351 against, 125,134 abstained, 1 not voted.
| Asset manager | For | Against | Abstain | Withheld | Vote |
|---|---|---|---|---|---|
| VAN ECK ASSOCIATES CORP | 1,767,184 | 143,366 | 74,025 | 0 | Mixed |
| Citadel | 1,197,432 | 0 | 0 | 0 | For |
| Putnam | 1,026,415 | 82,761 | 42,732 | 0 | Mixed |
| Amova Asset Management Co., Ltd. | 1,025,337 | 0 | 0 | 0 | For |
| STIFEL NICOLAUS & CO INC \MO\ | 1,009,973 | 0 | 0 | 0 | For |
| Two Sigma | 708,054 | 0 | 0 | 0 | For |
| BlackRock | 642,845 | 0 | 0 | 0 | For |
| Gilman Hill Asset Management, LLC | 539,080 | 0 | 0 | 0 | For |
| WELLS FARGO CLEARING SERVICES, LLC | 463,436 | 0 | 0 | 0 | For |
| DE Shaw | 412,659 | 0 | 0 | 0 | For |
| Robeco Institutional Asset Management B.V. | 0 | 359,423 | 0 | 0 | Against |
| RBC Capital Markets, LLC | 355,515 | 0 | 0 | 0 | For |
| D.A. DAVIDSON & CO. | 325,838 | 0 | 0 | 0 | For |
| Neuberger Berman | 287,369 | 0 | 0 | 0 | For |
| State Street | 223,933 | 0 | 0 | 0 | For |
| WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC | 219,460 | 0 | 0 | 0 | For |
| Legal & General Investment Management Ltd | 0 | 217,784 | 0 | 0 | Against |
| Naviter Wealth, LLC | 215,772 | 0 | 0 | 0 | For |
| DENALI ADVISORS LLC | 192,286 | 0 | 0 | 0 | For |
| BLAIR WILLIAM & CO/IL | 191,193 | 0 | 0 | 0 | For |
| Cerity Partners LLC | 185,427 | 0 | 0 | 0 | For |
| Taylor Frigon Capital Management LLC | 137,609 | 0 | 0 | 0 | For |
| PNC BANK, NATIONAL ASSOCIATION | 124,892 | 0 | 0 | 0 | For |
| DnB Asset Management AS | 119,602 | 0 | 0 | 0 | For |
| ENVESTNET ASSET MANAGEMENT INC | 113,514 | 0 | 0 | 0 | For |
Institutional-manager reports, all 215 managers: 13,619,307 for, 812,212 against, 161,747 abstained, 9,380 not voted. Showing the 25 largest; see all in the interactive database.
Combines 4 wordings of this item as funds reported it.
98% 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 | 1,847,539 | 37,409 | 99,625 | 0 | Mixed |
| Putnam | 0 | 0 | 33,762 | 0 | Abstain |
| First Trust | 0 | 0 | 6,596 | 0 | Abstain |
| WisdomTree | 0 | 0 | 0 | 0 | -- |
| Northern Trust | 0 | 0 | 0 | 0 | -- |
| EA Series Trust | 0 | 0 | 0 | 0 | -- |
| ETFis Series Trust I | 0 | 0 | 0 | 0 | -- |
| ProShares | 0 | 0 | 0 | 0 | -- |
| SIT MUTUAL FUNDS INC | 0 | 0 | 0 | 0 | -- |
| Tidal Trust I | 0 | 0 | 0 | 0 | -- |
| Blackstone Alternative Investment Funds | 0 | 0 | 0 | 0 | -- |
| Goldman Sachs | 0 | 0 | 0 | 0 | -- |
| Invesco | 0 | 0 | 23 | 0 | Abstain |
| MUTUAL FUND SERIES TRUST | 406 | 0 | 0 | 0 | For |
| TITAN GLOBAL CAPITAL MANAGEMENT USA LLC | 0 | 0 | 0 | 0 | Not Voted |
Fund voting reports, all 15 managers: 1,847,945 for, 37,409 against, 140,006 abstained, 1 not voted, 1,575,021 1 year, 38,742 3 year, 25,829 2 year.
| Asset manager | For | Against | Abstain | Withheld | Vote |
|---|---|---|---|---|---|
| VAN ECK ASSOCIATES CORP | 1,847,539 | 37,409 | 41,140 | 0 | For |
| Citadel | 0 | 0 | 0 | 0 | -- |
| Putnam | 0 | 0 | 33,762 | 0 | Abstain |
| Amova Asset Management Co., Ltd. | 0 | 0 | 0 | 0 | -- |
| STIFEL NICOLAUS & CO INC \MO\ | 0 | 0 | 0 | 0 | -- |
| Two Sigma | 0 | 0 | 0 | 0 | -- |
| BlackRock | 0 | 0 | 0 | 0 | -- |
| Gilman Hill Asset Management, LLC | 0 | 0 | 0 | 0 | -- |
| WELLS FARGO CLEARING SERVICES, LLC | 0 | 0 | 0 | 0 | -- |
| DE Shaw | 0 | 0 | 0 | 0 | -- |
| Robeco Institutional Asset Management B.V. | 0 | 0 | 0 | 0 | -- |
| RBC Capital Markets, LLC | 0 | 0 | 0 | 0 | -- |
| D.A. DAVIDSON & CO. | 0 | 0 | 0 | 0 | -- |
| Janney Montgomery Scott LLC | 0 | 0 | 0 | 0 | -- |
| Neuberger Berman | 0 | 0 | 0 | 0 | -- |
| State Street | 0 | 0 | 0 | 0 | -- |
| WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC | 0 | 0 | 0 | 0 | -- |
| Legal & General Investment Management Ltd | 0 | 0 | 0 | 0 | -- |
| Naviter Wealth, LLC | 0 | 0 | 0 | 0 | -- |
| DENALI ADVISORS LLC | 0 | 0 | 0 | 0 | -- |
| BLAIR WILLIAM & CO/IL | 0 | 0 | 0 | 0 | -- |
| Cerity Partners LLC | 0 | 0 | 0 | 0 | -- |
| Taylor Frigon Capital Management LLC | 0 | 0 | 0 | 0 | -- |
| PNC BANK, NATIONAL ASSOCIATION | 0 | 0 | 0 | 0 | -- |
| DnB Asset Management AS | 0 | 0 | 0 | 0 | -- |
Institutional-manager reports, all 212 managers: 1,941,431 for, 37,409 against, 76,970 abstained, 9,380 not voted, 12,647,643 1 year, 95,112 3 year, 24,987 2 year. Showing the 25 largest; see all in the interactive database.
100% of fund votes cast · no official result
The 4 asset managers below reported 652,217 for, 14,053 abstained, 675 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 |
|---|---|---|---|---|---|
| ARES MANAGEMENT LLC | 652,217 | 0 | 0 | 0 | For |
| MANGROVE PARTNERS IM, LLC | 0 | 0 | 14,053 | 0 | Abstain |
| TD Waterhouse Canada Inc. | 0 | 0 | 0 | 0 | -- |
| Coyle Financial Counsel LLC | 0 | 0 | 0 | 0 | -- |
100% of fund votes cast · no official result
The 4 asset managers below reported 652,892 for, 14,053 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 |
|---|---|---|---|---|---|
| ARES MANAGEMENT LLC | 652,217 | 0 | 0 | 0 | For |
| MANGROVE PARTNERS IM, LLC | 0 | 0 | 14,053 | 0 | Abstain |
| TD Waterhouse Canada Inc. | 425 | 0 | 0 | 0 | For |
| Coyle Financial Counsel LLC | 250 | 0 | 0 | 0 | For |
100% of fund votes cast · no official result
The 3 asset managers below reported 48,242 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 |
|---|---|---|---|---|---|
| EAGLE GLOBAL ADVISORS LLC | 40,640 | 0 | 0 | 0 | For |
| MQS Management LLC | 4,281 | 0 | 0 | 0 | For |
| McGowan Group Asset Management, Inc. | 3,321 | 0 | 0 | 0 | For |
— of fund votes cast · no official result
The 3 asset managers below reported 43,961 1 year.
| Asset manager | For | Against | Abstain | Withheld | Vote |
|---|---|---|---|---|---|
| EAGLE GLOBAL ADVISORS LLC | 0 | 0 | 0 | 0 | -- |
| McGowan Group Asset Management, Inc. | 0 | 0 | 0 | 0 | -- |
| MQS Management LLC | 0 | 0 | 0 | 0 | -- |
100% of fund votes cast · no official result
The 2 asset managers below reported 102,624 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 |
|---|---|---|---|---|---|
| Triad Investment Management | 102,311 | 0 | 0 | 0 | For |
| Cannon Financial Strategists, Inc. | 313 | 0 | 0 | 0 | For |
100% of fund votes cast · no official result
The 2 asset managers below reported 464,827 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 |
|---|---|---|---|---|---|
| Melia Wealth LLC | 463,664 | 0 | 0 | 0 | For |
| Tandem Financial, LLC | 1,163 | 0 | 0 | 0 | For |
Combines 2 wordings of this item as funds reported it.
99% of fund votes cast · no official result
Description as filed by funds: Ratification of the appointment of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for the year ending December 31, 2026.
The 15 asset managers below reported 3,614,380 for, 46,431 against, 40,392 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 | 1,933,213 | 27,467 | 23,894 | 0 | For |
| Putnam | 1,115,992 | 15,856 | 13,794 | 0 | For |
| First Trust | 218,015 | 3,097 | 2,695 | 0 | For |
| WisdomTree | 122,733 | 0 | 0 | 0 | For |
| Northern Trust | 41,592 | 0 | 0 | 0 | For |
| EA Series Trust | 39,643 | 0 | 0 | 0 | For |
| Legacy Capital Wealth Partners, LLC | 36,249 | 0 | 0 | 0 | For |
| ETFis Series Trust I | 35,399 | 0 | 0 | 0 | For |
| ProShares | 31,713 | 0 | 0 | 0 | For |
| SIT MUTUAL FUNDS INC | 24,675 | 0 | 0 | 0 | For |
| Tidal Trust I | 10,337 | 0 | 0 | 0 | For |
| Blackstone Alternative Investment Funds | 2,400 | 0 | 0 | 0 | For |
| Goldman Sachs | 1,247 | 0 | 0 | 0 | For |
| Invesco | 766 | 11 | 9 | 0 | For |
| MUTUAL FUND SERIES TRUST | 406 | 0 | 0 | 0 | For |
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 187,118,590 shares outstanding at the time of that meeting.
| # | Asset manager | % of shares outstanding |
|---|---|---|
| 1 | VanEck ETF Trust | 1.06% |
| 2 | Putnam | 0.61% |
| 3 | First Trust | 0.12% |
| 4 | WisdomTree | 0.07% |
| 5 | Northern Trust | 0.02% |
| 6 | EA Series Trust | 0.02% |
| 7 | ETFis Series Trust I | 0.02% |
| 8 | ProShares | 0.02% |
| 9 | SIT MUTUAL FUNDS INC | 0.01% |
| 10 | Tidal Trust I | <0.01% |
| # | Asset manager | % of shares outstanding |
|---|---|---|
| 1 | VAN ECK ASSOCIATES CORP | 1.06% |
| 2 | Citadel | 0.64% |
| 3 | Putnam | 0.62% |
| 4 | Amova Asset Management Co., Ltd. | 0.55% |
| 5 | STIFEL NICOLAUS & CO INC \MO\ | 0.54% |
| 6 | Two Sigma | 0.38% |
| 7 | BlackRock | 0.34% |
| 8 | Gilman Hill Asset Management, LLC | 0.29% |
| 9 | WELLS FARGO CLEARING SERVICES, LLC | 0.25% |
| 10 | DE Shaw | 0.22% |
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 | 5.03% | DEF14A |
| Scott Bluestein | 1.33% | DEF14A |
| Two Sigma | 1.24% | 13F |
| D.E. Shaw | 0.83% | 13F |
| Citadel Advisors | 0.73% | 13F |
| Franklin Templeton | 0.61% | 13F |
| Morgan Stanley | 0.60% | 13F |
| Millennium Management | 0.53% | 13F |
| JPMorgan Chase | 0.47% | 13F |
| BlackRock | 0.46% | 13F |
Percentages above are of 187,118,590 shares outstanding, as reported by Hercules Capital, Inc. on its Form 10-Q dated April 28, 2026 (see the filing on EDGAR). This is the count contemporaneous with the 2025-2026 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 April 28, 2026. 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 shareholder meeting held June 18, 2026, in the 2025-2026 proxy season, 241 asset managers reported how they voted in their SEC Form N-PX filings, covering 712 separate fund positions. Their filings are grouped here into 12 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 94% 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 · 2024-2025 · 2025-2026 (this page).
Download data (CSV): ballot items · votes by manager · column guide.