UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM ABS-15G
ASSET-BACKED SECURITIZER
REPORT PURSUANT TO SECTION 15G OF
THE SECURITIES EXCHANGE ACT OF 1934
Check the appropriate box to indicate the filing obligation to which this form is intended to satisfy:
☐ | Rule 15Ga-1 under the Exchange Act (17 CFR 240.15Ga-1) for the reporting period to . |
Date of Report (Date of earliest event reported):
Commission File Number of securitizer:
Central Index Key Number of securitizer:
(Name and telephone number, including area code, of the person
to contact in connection with this filing)
Indicate by check mark whether the securitizer has no activity to report for the initial period pursuant to Rule 15Ga-1(c)(1): ☐
Indicate by check mark whether the securitizer has no activity to report for the quarterly period pursuant to Rule 15Ga-1(c)(2)(i): ☐
Indicate by check mark whether the securitizer has no activity to report for the annual period pursuant to Rule 15Ga-1(c)(2)(ii): ☐
☒ | Rule 15Ga-2 under the Exchange Act (17 CFR 240.15Ga-2). |
Central Index Key Number of depositor: 0001280784
Hercules Capital Funding Trust 2018-1
(Exact name of issuing entity as specified in its charter)
Central Index Key Number of issuing entity (if applicable):
Central Index Key Number of underwriter (if applicable):
Melanie Grace - (650) 289-3060
(Name and telephone number, including area code, of the person
to contact in connection with this filing)
INFORMATION TO BE INCLUDED IN THE REPORT
PART I: REPRESENTATION AND WARRANTY INFORMATION
N/A
PART II: FINDINGS AND CONCLUSIONS OF THIRD-PARTY DUE DILIGENCE REPORTS
Item 2.01 Findings and Conclusions of a Third Party Due Diligence Report Obtained by the Issuer
Attached as Exhibit 99.1 hereto is a Report of Independent Accountants on Applying Agreed-Upon Procedures, dated October 17, 2018, which report sets forth the findings PricewaterhouseCoopers LLP with respect to certain agreed-upon procedures performed by PricewaterhouseCoopers LLP.
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the reporting entity has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
Date: October 17, 2018 | HERCULES CAPITAL, INC. | |||||
(Depositor) | ||||||
By: | /s/ Melanie Grace | |||||
Name: | Melanie Grace | |||||
Title: | General Counsel and Secretary |
EXHIBIT INDEX
Exhibit Number |
Description | |
Exhibit 99.1 | Report of Independent Accountants on Applying Agreed-Upon Procedures, dated October 17, 2018 of PricewaterhouseCoopers LLP. |