UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
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FORM 8-K/A
Current Report Pursuant to Section 13 or 15(d) of
the Securities Exchange Act of 1934
Date of Report (Date of earliest event reported):
October 2, 2006
HERCULES TECHNOLOGY GROWTH CAPITAL, INC.
(Exact name of registrant as specified in its charter)
Maryland 814-00702 74-3113410
(State or other jurisdiction (Commission (I.R.S. Employer
of incorporation) File Number) Identification No.)
525 University Avenue
Suite 700
Palo Alto, CA 94301
(Address of principal executive offices and zip code)
Registrant's telephone number, including area code: (650) 289-3060
Check the appropriate box below if the Form 8-K is intended to
simultaneously satisfy the filing obligation of the registrant under any of the
following provisions:
[ ] 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 Principal Officers; Election of Directors;
Appointment of Principal Officers
Effective October 1, 2006, the board of directors of Hercules Technology
Growth Capital, Inc. (the "Company") appointed David M. Lund to serve as Chief
Financial Officer. Mr. Lund, 52, has served as Vice President of Finance and
Corporate Controller of the Company since July 2005. He has over 20 years of
experience in finance and accounting serving companies in the technology sector.
Prior to joining the Company, Mr. Lund served in senior financial positions for
publicly traded companies: InterTrust Technologies, Centillium Communications
and Rainmaker Systems, and in private companies: Urban Media, Scion Photonics
and APT Technology. Mr. Lund also served in public accounting with Ernst & Young
LLP and Grant Thornton LLP. He received a B.S. degree in Business Administration
with an emphasis in Accounting from San Jose State University and a B.S. degree
in Business Administration with an emphasis in Marketing from California State
University, Chico. Mr. Lund is a Certified Public Accountant in the State of
California.
The Company has not entered into any employment contract or other
arrangement as a result of this appointment. A copy of the press release issued
by the Company announcing the appointment is attached hereto as Exhibit 99.1.
Item 9.01. Financial Statements and Exhibits.
(c) Exhibits
EXHIBIT NUMBER DESCRIPTION
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99.1 Press Release of the Company dated October 2, 2006
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.
Date: October 3, 2006 HERCULES TECHNOLOGY GROWTH CAPITAL, INC.
By: /s/ Scott Harvey
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Scott Harvey
Chief Legal Officer
Exhibit Index
EXHIBIT
NUMBER DESCRIPTION
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99.1 Press Release of the Company dated October 2, 2006