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.