Insider filing report for Changes in Beneficial Ownership
- Schedule 13G & 13D forms are used to report a party's ownership of stock which exceeds 5% of a company's total stock issue.
- Schedule 13G is a shorter version of Schedule 13D with fewer reporting requirements.
- Peter Lynch
What is insider trading>>
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. 4) *
Hercules Technology Growth Capital, Inc. |
(Name of Issuer)
|
Common Stock, par value $0.001 per share |
(Title of Class of Securities)
|
427096102 |
(Cusip Number)
|
December 31, 2008 |
(Date of Event which Requires Filing of this Statement)
|
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
o |
Rule 13d-1(b) |
x |
Rule 13d-1(c) |
o |
Rule 13d-1(d) |
The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
(Continued on following pages)
Page 1 of 26 Pages
Exhibit Index Found on Page 25
13G
CUSIP No. 427096102 |
|
1 |
NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Farallon Capital Partners, L.P. |
||
2 |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [ X ]** ** The reporting persons making this filing hold an aggregate of 0 Shares, which is 0.0% of the class of securities. The reporting person on this cover page, however, is a beneficial owner only of the securities reported by it on this cover page. |
||
3 |
SEC USE ONLY
|
||
4 |
CITIZENSHIP OR PLACE OF ORGANIZATION
California |
||
NUMBER OF
SHARES BENEFICIALLY OWNED BY
EACH
REPORTING PERSON WITH |
5 |
SOLE VOTING POWER
-0- |
|
6 |
SHARED VOTING POWER
-0- |
||
7 |
SOLE DISPOSITIVE POWER
-0- |
||
8 |
SHARED DISPOSITIVE POWER
-0- |
||
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
-0- |
||
10 |
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) [ ]
|
||
11 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
0.0% |
||
12 |
TYPE OF REPORTING PERSON (See Instructions)
PN |
||
Page 2 of 26 Pages
13G
CUSIP No. 427096102 |
|
1 |
NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Farallon Capital Institutional Partners, L.P. |
||
2 |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [ X ]** ** The reporting persons making this filing hold an aggregate of 0 Shares, which is 0.0% of the class of securities. The reporting person on this cover page, however, is a beneficial owner only of the securities reported by it on this cover page. |
||
3 |
SEC USE ONLY
|
||
4 |
CITIZENSHIP OR PLACE OF ORGANIZATION
California |
||
NUMBER OF
SHARES BENEFICIALLY OWNED BY
EACH
REPORTING PERSON WITH |
5 |
SOLE VOTING POWER
-0- |
|
6 |
SHARED VOTING POWER
-0- |
||
7 |
SOLE DISPOSITIVE POWER
-0- |
||
8 |
SHARED DISPOSITIVE POWER
-0- |
||
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
-0- |
||
10 |
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) [ ]
|
||
11 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
0.0% |
||
12 |
TYPE OF REPORTING PERSON (See Instructions)
PN |
||
Page 3 of 26 Pages
13G
CUSIP No. 427096102 |
|
1 |
NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Farallon Capital Institutional Partners II, L.P. |
||
2 |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [ X ]** ** The reporting persons making this filing hold an aggregate of 0 Shares, which is 0.0% of the class of securities. The reporting person on this cover page, however, is a beneficial owner only of the securities reported by it on this cover page. |
||
3 |
SEC USE ONLY
|
||
4 |
CITIZENSHIP OR PLACE OF ORGANIZATION
California |
||
NUMBER OF
SHARES BENEFICIALLY OWNED BY
EACH
REPORTING PERSON WITH |
5 |
SOLE VOTING POWER
-0- |
|
6 |
SHARED VOTING POWER
-0- |
||
7 |
SOLE DISPOSITIVE POWER
-0- |
||
8 |
SHARED DISPOSITIVE POWER
-0- |
||
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
-0- |
||
10 |
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) [ ]
|
||
11 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
0.0% |
||
12 |
TYPE OF REPORTING PERSON (See Instructions)
PN |
||
Page 4 of 26 Pages
13G
CUSIP No. 427096102 |
|
1 |
NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Farallon Capital Institutional Partners III, L.P. |
||
2 |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [ X ]** ** The reporting persons making this filing hold an aggregate of 0 Shares, which is 0.0% of the class of securities. The reporting person on this cover page, however, is a beneficial owner only of the securities reported by it on this cover page. |
||
3 |
SEC USE ONLY
|
||
4 |
CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware |
||
NUMBER OF
SHARES BENEFICIALLY OWNED BY
EACH
REPORTING PERSON WITH |
5 |
SOLE VOTING POWER
-0- |
|
6 |
SHARED VOTING POWER
-0- |
||
7 |
SOLE DISPOSITIVE POWER
-0- |
||
8 |
SHARED DISPOSITIVE POWER
-0- |
||
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
-0- |
||
10 |
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) [ ]
|
||
11 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
0.0% |
||
12 |
TYPE OF REPORTING PERSON (See Instructions)
PN |
||
Page 5 of 26 Pages
13G
CUSIP No. 427096102 |
|
1 |
NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Tinicum Partners, L.P. |
||
2 |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [ X ]** ** The reporting persons making this filing hold an aggregate of 0 Shares, which is 0.0% of the class of securities. The reporting person on this cover page, however, is a beneficial owner only of the securities reported by it on this cover page. |
||
3 |
SEC USE ONLY
|
||
4 |
CITIZENSHIP OR PLACE OF ORGANIZATION
New York |
||
NUMBER OF
SHARES BENEFICIALLY OWNED BY
EACH
REPORTING PERSON WITH |
5 |
SOLE VOTING POWER
-0- |
|
6 |
SHARED VOTING POWER
-0- |
||
7 |
SOLE DISPOSITIVE POWER
-0- |
||
8 |
SHARED DISPOSITIVE POWER
-0- |
||
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
-0- |
||
10 |
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) [ ]
|
||
11 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
0.0% |
||
12 |
TYPE OF REPORTING PERSON (See Instructions)
PN |
||
Page 6 of 26 Pages
13G
CUSIP No. 427096102 |
|
1 |
NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Farallon Partners, L.L.C. |
||
2 |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [ X ]** ** The reporting persons making this filing hold an aggregate of 0 Shares, which is 0.0% of the class of securities. The reporting person on this cover page, however, may be deemed a beneficial owner only of the securities reported by it on this cover page. |
||
3 |
SEC USE ONLY
|
||
4 |
CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware |
||
NUMBER OF
SHARES BENEFICIALLY OWNED BY
EACH
REPORTING PERSON WITH |
5 |
SOLE VOTING POWER
-0- |
|
6 |
SHARED VOTING POWER
-0- |
||
7 |
SOLE DISPOSITIVE POWER
-0- |
||
8 |
SHARED DISPOSITIVE POWER
-0- |
||
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
-0- |
||
10 |
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) [ ]
|
||
11 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
0.0% |
||
12 |
TYPE OF REPORTING PERSON (See Instructions)
OO |
||
Page 7 of 26 Pages
13G
CUSIP No. 427096102 |
|
1 |
NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
William F. Duhamel |
||
2 |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [ X ]** ** The reporting persons making this filing hold an aggregate of 0 Shares, which is 0.0% of the class of securities. The reporting person on this cover page, however, may be deemed a beneficial owner only of the securities reported by it on this cover page. |
||
3 |
SEC USE ONLY
|
||
4 |
CITIZENSHIP OR PLACE OF ORGANIZATION
United States |
||
NUMBER OF
SHARES BENEFICIALLY OWNED BY
EACH
REPORTING PERSON WITH |
5 |
SOLE VOTING POWER
-0- |
|
6 |
SHARED VOTING POWER
-0- |
||
7 |
SOLE DISPOSITIVE POWER
-0- |
||
8 |
SHARED DISPOSITIVE POWER
-0- |
||
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
-0- |
||
10 |
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) [ ]
|
||
11 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
0.0% |
||
12 |
TYPE OF REPORTING PERSON (See Instructions)
IN |
||
Page 8 of 26 Pages
13G
CUSIP No. 427096102 |
|
1 |
NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Richard B. Fried |
||
2 |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) ; (a) [ ] (b) [ X ]** ** The reporting persons making this filing hold an aggregate of 0 Shares, which is 0.0% of the class of securities. The reporting person on this cover page, however, may be deemed a beneficial owner only of the securities reported by it on this cover page. |
||
3 |
SEC USE ONLY
|
||
4 |
CITIZENSHIP OR PLACE OF ORGANIZATION
United States |
||
NUMBER OF
SHARES BENEFICIALLY OWNED BY
EACH
REPORTING PERSON WITH |
5 |
SOLE VOTING POWER
-0- |
|
6 |
SHARED VOTING POWER
-0- |
||
7 |
SOLE DISPOSITIVE POWER
-0- |
||
8 |
SHARED DISPOSITIVE POWER
-0- |
||
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
-0- |
||
10 |
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) [ ]
|
||
11 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
0.0% |
||
12 |
TYPE OF REPORTING PERSON (See Instructions)
IN |
||
Page 9 of 26 Pages
13G
CUSIP No. 427096102 |
|
1 |
NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Monica R. Landry |
||
2 |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [ X ]** ** The reporting persons making this filing hold an aggregate of 0 Shares, which is 0.0% of the class of securities. The reporting person on this cover page, however, may be deemed a beneficial owner only of the securities reported by it on this cover page. |
||
3 |
SEC USE ONLY
|
||
4 |
CITIZENSHIP OR PLACE OF ORGANIZATION
United States |
||
NUMBER OF
SHARES BENEFICIALLY OWNED BY
EACH
REPORTING PERSON WITH |
5 |
SOLE VOTING POWER
-0- |
|
6 |
SHARED VOTING POWER
-0- |
||
7 |
SOLE DISPOSITIVE POWER
-0- |
||
8 |
SHARED DISPOSITIVE POWER
-0- |
||
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
-0- |
||
10 |
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) [ ]
|
||
11 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
0.0% |
||
12 |
TYPE OF REPORTING PERSON (See Instructions)
IN |
||
Page 10 of 26 Pages
13G
CUSIP No. 427096102 |
|
1 |
NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Douglas M. MacMahon |
||
2 |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [ X ]** ** The reporting persons making this filing hold an aggregate of 0 Shares, which is 0.0% of the class of securities. The reporting person on this cover page, however, may be deemed a beneficial owner only of the securities reported by it on this cover page. |
||
3 |
SEC USE ONLY
|
||
4 |
CITIZENSHIP OR PLACE OF ORGANIZATION
United States |
||
NUMBER OF
SHARES BENEFICIALLY OWNED BY
EACH
REPORTING PERSON WITH |
5 |
SOLE VOTING POWER
-0- |
|
6 |
SHARED VOTING POWER
-0- |
||
7 |
SOLE DISPOSITIVE POWER
-0- |
||
8 |
SHARED DISPOSITIVE POWER
-0- |
||
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
-0- |
||
10 |
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) [ ]
|
||
11 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
0.0% |
||
12 |
TYPE OF REPORTING PERSON (See Instructions)
IN |
||
Page 11 of 26 Pages
13G
CUSIP No. 427096102 |
|
1 |
NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
William F. Mellin |
||
2 |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [ X ]** ** The reporting persons making this filing hold an aggregate of 0 Shares, which is 0.0% of the class of securities. The reporting person on this cover page, however, may be deemed a beneficial owner only of the securities reported by it on this cover page. |
||
3 |
SEC USE ONLY
|
||
4 |
CITIZENSHIP OR PLACE OF ORGANIZATION
United States |
||
NUMBER OF
SHARES BENEFICIALLY OWNED BY
EACH
REPORTING PERSON WITH |
5 |
SOLE VOTING POWER
-0- |
|
6 |
SHARED VOTING POWER
-0- |
||
7 |
SOLE DISPOSITIVE POWER
-0- |
||
8 |
SHARED DISPOSITIVE POWER
-0- |
||
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
-0- |
||
10 |
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) [ ]
|
||
11 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
0.0% |
||
12 |
TYPE OF REPORTING PERSON (See Instructions)
IN |
||
Page 12 of 26 Pages
13G
CUSIP No. 427096102 |
|
1 |
NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Stephen L. Millham |
||
2 |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [ X ]** ** The reporting persons making this filing hold an aggregate of 0 Shares, which is 0.0% of the class of securities. The reporting person on this cover page, however, may be deemed a beneficial owner only of the securities reported by it on this cover page. |
||
3 |
SEC USE ONLY
|
||
4 |
CITIZENSHIP OR PLACE OF ORGANIZATION
United States |
||
NUMBER OF
SHARES BENEFICIALLY OWNED BY
EACH
REPORTING PERSON WITH |
5 |
SOLE VOTING POWER
-0- |
|
6 |
SHARED VOTING POWER
-0- |
||
7 |
SOLE DISPOSITIVE POWER
-0- |
||
8 |
SHARED DISPOSITIVE POWER
-0- |
||
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
-0- |
||
10 |
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) [ ]
|
||
11 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
0.0% |
||
12 |
TYPE OF REPORTING PERSON (See Instructions)
IN |
||
Page 13 of 26 Pages
13G
CUSIP No. 427096102 |
|
1 |
NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Jason E. Moment |
||
2 |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [ X ]** ** The reporting persons making this filing hold an aggregate of 0 Shares, which is 0.0% of the class of securities. The reporting person on this cover page, however, may be deemed a beneficial owner only of the securities reported by it on this cover page. |
||
3 |
SEC USE ONLY
|
||
4 |
CITIZENSHIP OR PLACE OF ORGANIZATION
United States |
||
NUMBER OF
SHARES BENEFICIALLY OWNED BY
EACH
REPORTING PERSON WITH |
5 |
SOLE VOTING POWER
-0- |
|
6 |
SHARED VOTING POWER
-0- |
||
7 |
SOLE DISPOSITIVE POWER
-0- |
||
8 |
SHARED DISPOSITIVE POWER
-0- |
||
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
-0- |
||
10 |
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) [ ]
|
||
11 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
0.0% |
||
12 |
TYPE OF REPORTING PERSON (See Instructions)
IN |
||
Page 14 of 26 Pages
13G
CUSIP No. 427096102 |
|
1 |
NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Ashish H. Pant |
||
2 |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [ X ]** ** The reporting persons making this filing hold an aggregate of 0 Shares, which is 0.0% of the class of securities. The reporting person on this cover page, however, may be deemed a beneficial owner only of the securities reported by it on this cover page. |
||
3 |
SEC USE ONLY
|
||
4 |
CITIZENSHIP OR PLACE OF ORGANIZATION
India |
||
NUMBER OF
SHARES BENEFICIALLY OWNED BY
EACH
REPORTING PERSON WITH |
5 |
SOLE VOTING POWER
-0- |
|
6 |
SHARED VOTING POWER
-0- |
||
7 |
SOLE DISPOSITIVE POWER
-0- |
||
8 |
SHARED DISPOSITIVE POWER
-0- |
||
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
-0- |
||
10 |
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) [ ]
|
||
11 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
0.0% |
||
12 |
TYPE OF REPORTING PERSON (See Instructions)
IN |
||
Page 15 of 26 Pages
13G
CUSIP No. 427096102 |
|
1 |
NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Rajiv A. Patel |
||
2 |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [ X ]** ** The reporting persons making this filing hold an aggregate of 0 Shares, which is 0.0% of the class of securities. The reporting person on this cover page, however, may be deemed a beneficial owner only of the securities reported by it on this cover page. |
||
3 |
SEC USE ONLY
|
||
4 |
CITIZENSHIP OR PLACE OF ORGANIZATION
United States |
||
NUMBER OF
SHARES BENEFICIALLY OWNED BY
EACH
REPORTING PERSON WITH |
5 |
SOLE VOTING POWER
-0- |
|
6 |
SHARED VOTING POWER
-0- |
||
7 |
SOLE DISPOSITIVE POWER
-0- |
||
8 |
SHARED DISPOSITIVE POWER
-0- |
||
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
-0- |
||
10 |
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) [ ]
|
||
11 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
0.0% |
||
12 |
TYPE OF REPORTING PERSON (See Instructions)
IN |
||
Page 16 of 26 Pages
13G
CUSIP No. 427096102 |
|
1 |
NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Derek C. Schrier [See Item 2] |
||
2 |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [ X ]** ** The reporting persons making this filing hold an aggregate of 0 Shares, which is 0.0% of the class of securities. The reporting person on this cover page, however, may be deemed a beneficial owner only of the securities reported by it on this cover page. |
||
3 |
SEC USE ONLY
|
||
4 |
CITIZENSHIP OR PLACE OF ORGANIZATION
United States |
||
NUMBER OF
SHARES BENEFICIALLY OWNED BY
EACH
REPORTING PERSON WITH |
5 |
SOLE VOTING POWER
-0- |
|
6 |
SHARED VOTING POWER
-0- |
||
7 |
SOLE DISPOSITIVE POWER
-0- |
||
8 |
SHARED DISPOSITIVE POWER
-0- |
||
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
-0- |
||
10 |
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) [ ]
|
||
11 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
0.0% |
||
12 |
TYPE OF REPORTING PERSON (See Instructions)
IN |
||
Page 17 of 26 Pages
13G
CUSIP No. 427096102 |
|
1 |
NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Andrew J. M. Spokes |
||
2 |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [ X ]** ** The reporting persons making this filing hold an aggregate of 0 Shares, which is 0.0% of the class of securities. The reporting person on this cover page, however, may be deemed a beneficial owner only of the securities reported by it on this cover page. |
||
3 |
SEC USE ONLY
|
||
4 |
CITIZENSHIP OR PLACE OF ORGANIZATION
United Kingdom |
||
NUMBER OF
SHARES BENEFICIALLY OWNED BY
EACH
REPORTING PERSON WITH |
5 |
SOLE VOTING POWER
-0- |
|
6 |
SHARED VOTING POWER
-0- |
||
7 |
SOLE DISPOSITIVE POWER
-0- |
||
8 |
SHARED DISPOSITIVE POWER
-0- |
||
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
-0- |
||
10 |
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) [ ]
|
||
11 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
0.0% |
||
12 |
TYPE OF REPORTING PERSON (See Instructions)
IN |
||
Page 18 of 26 Pages
13G
CUSIP No. 427096102 |
|
1 |
NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Thomas F. Steyer |
||
2 |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [ X ]** ** The reporting persons making this filing hold an aggregate of 0 Shares, which is 0.0% of the class of securities. The reporting person on this cover page, however, may be deemed a beneficial owner only of the securities reported by it on this cover page. |
||
3 |
SEC USE ONLY
|
||
4 |
CITIZENSHIP OR PLACE OF ORGANIZATION
United States |
||
NUMBER OF
SHARES BENEFICIALLY OWNED BY
EACH
REPORTING PERSON WITH |
5 |
SOLE VOTING POWER
-0- |
|
6 |
SHARED VOTING POWER
-0- |
||
7 |
SOLE DISPOSITIVE POWER
-0- |
||
8 |
SHARED DISPOSITIVE POWER
-0- |
||
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
-0- |
||
10 |
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) [ ]
|
||
11 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
0.0% |
||
12 |
TYPE OF REPORTING PERSON (See Instructions)
IN |
||
Page 19 of 26 Pages
13G
CUSIP No. 427096102 |
|
1
NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Mark C. Wehrly
2
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
(a) [ ]
(b) [ X ]**
** The reporting persons making this filing hold an aggregate of 0 Shares, which is 0.0% of the class of securities. The reporting person on this cover page, however, may be deemed a beneficial owner only of the securities reported by it on this cover page.
3
SEC USE ONLY
4
CITIZENSHIP OR PLACE OF ORGANIZATION
United States
NUMBER OF
SHARES BENEFICIALLY
OWNED BY
EACH
REPORTING PERSON WITH
5
SOLE VOTING POWER
-0-
6
SHARED VOTING POWER
-0-
7
SOLE DISPOSITIVE POWER
-0-
8
SHARED DISPOSITIVE POWER
-0-
9
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
-0-
10
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES
CERTAIN SHARES (See Instructions)
[ ]
11
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
0.0%
12
TYPE OF REPORTING PERSON (See Instructions)
IN
Page 20 of 26 Pages
This Amendment No. 4 to Schedule 13G amends and restates in its entirety the Schedule 13G initially filed on February 14, 2006 (collectively, with all amendments thereto, the “Schedule 13G”).
Item 1. Issuer
|
(a) |
Name of Issuer: |
Hercules Technology Growth Capital, Inc. (the “Company”)
|
(b) |
Address of Issuer’s Principal Executive Offices: |
400 Hamilton Ave., Suite 310, Palo Alto, California 94301
Title Of Class Of Securities And CUSIP Number (Item 2(d) and (e))
This statement relates to shares of Common Stock, par value $0.001 per share (the “Shares”), of the Company. The CUSIP number of the Shares is 427096102.
Name Of Persons Filing, Address Of Principal Business Office And Citizenship (Item 2(a), (b) and (c))
This statement is filed by the entities and persons listed below, all of whom together are referred to herein as the “Reporting Persons.”
The Farallon Funds
|
(i) |
Farallon Capital Partners, L.P., a California limited partnership (“FCP”), with respect to the Shares held by it; |
|
(ii) |
Farallon Capital Institutional Partners, L.P., a California limited partnership (“FCIP”), with respect to the Shares held by it; |
|
(iii) |
Farallon Capital Institutional Partners II, L.P., a California limited partnership (“FCIP II”), with respect to the Shares held by it; |
|
(iv) |
Farallon Capital Institutional Partners III, L.P., a Delaware limited partnership (“FCIP III”), with respect to the Shares held by it; and |
|
(v) |
Tinicum Partners, L.P., a New York limited partnership (“Tinicum”), with respect to the Shares held by it. |
FCP, FCIP, FCIP II, FCIP III and Tinicum are together referred to herein as the “Farallon Funds.”
Page 21 of 26 Pages
The Farallon General Partner
|
(vi) |
Farallon Partners, L.L.C., a Delaware limited liability company which is the general partner of each of the Farallon Funds (the “Farallon General Partner”), with respect to the Shares held by each of the Farallon Funds. |
The Farallon Managing Members
|
(vii) |
Each of the following persons who is, or with respect to Schrier (as defined below) was, a managing member of the Farallon General Partner, with respect to the Shares held by the Farallon Funds: William F. Duhamel (“Duhamel”), Richard B. Fried (“Fried”), Monica R. Landry (“Landry”), Douglas M. MacMahon (“MacMahon”), William F. Mellin (“Mellin”), Stephen L. Millham (“Millham”), Jason E. Moment (“Moment”), Ashish H. Pant (“Pant”), Rajiv A. Patel (“Patel”), Derek C. Schrier (“Schrier”), Andrew J. M. Spokes (“Spokes”), Thomas F. Steyer (“Steyer”) and Mark C. Wehrly (“Wehrly”). |
Duhamel, Fried, Landry, MacMahon, Mellin, Millham, Moment, Pant, Patel, Schrier, Spokes, Steyer and Wehrly are together referred to herein as the “Farallon Individual Reporting Persons.”
This Schedule 13G reports that as of May 27, 2008, Schrier had resigned as a managing member of the Farallon General Partner and no longer had investment discretion with respect to the Shares beneficially owned by the Farallon Funds. As such, Schrier may no longer be deemed a beneficial owner of the Shares beneficially owned by the Farallon Funds.
The citizenship of each of the Farallon Funds and the Farallon General Partner is set forth above. Other than Pant and Spokes, each of the Farallon Individual Reporting Persons is a citizen of the United States. Pant is a citizen of India. Spokes is a citizen of the United Kingdom. The address of the principal business office of each of the Reporting Persons is c/o Farallon Capital Management, L.L.C., One Maritime Plaza, Suite 2100, San Francisco, California 94111.
Item 3. If This Statement Is Filed Pursuant To Sections 240.13d-1(b) or 240.13d-2(b) or (c),
Check Whether The Person Filing Is An Entity Specified In (a) - (k):
Not Applicable.
If This Statement Is Filed Pursuant To Section 240.13d-1(c), Check This Box. x
Item 4. Ownership
The information required by Items 4(a) - (c) and set forth in Rows 5 through 11 of the cover page for each Reporting Person hereto is incorporated herein by reference for each such Reporting Person.
Page 22 of 26 Pages
The Shares reported hereby for the Farallon Funds are owned directly by the Farallon Funds. The Farallon General Partner, as general partner to the Farallon Funds, may be deemed to be the beneficial owner of all such Shares owned by the Farallon Funds. The Farallon Individual Reporting Persons, other than Schrier, as managing members of the Farallon General Partner with the power to exercise investment discretion, may each be deemed to be the beneficial owner of all such Shares owned by the Farallon Funds. Each of the Farallon General Partner and the Farallon Individual Reporting Persons hereby disclaims any beneficial ownership of any such Shares.
Item 5. Ownership Of Five Percent Or Less Of A Class
If this statement is being filed to report the fact that as of the date hereof the Reporting Persons have ceased to be the deemed beneficial owners of more than five percent of the class of securities, check the following x
Item 6. Ownership Of More Than Five Percent On Behalf Of Another Person
Not Applicable.
Item 7. Identification And Classification Of The Subsidiary Which Acquired The Security Being
Reported On By The Parent Holding Company
Not Applicable.
Item 8. Identification And Classification Of Members Of The Group
The Reporting Persons are filing this Schedule 13G pursuant to Section 240.13d-1(c). Consistent with Item 2 of the cover page for each Reporting Person above, the Reporting Persons neither disclaim nor affirm the existence of a group among them.
Item 9. Notice of Dissolution Of Group
Not Applicable.
Item 10. Certification
By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.
Page 23 of 26 Pages
SIGNATURES
After reasonable inquiry and to the best of our knowledge and belief, the undersigned certify that the information set forth in this statement is true, complete and correct.
Dated: January 26, 2009
/s/ Monica R. Landry
FARALLON PARTNERS, L.L.C.,
On its own behalf and
as the General Partner of
FARALLON CAPITAL PARTNERS, L.P.,
FARALLON CAPITAL INSTITUTIONAL PARTNERS, L.P.,
FARALLON CAPITAL INSTITUTIONAL PARTNERS II, L.P.,
FARALLON CAPITAL INSTITUTIONAL PARTNERS III, L.P.
and TINICUM PARTNERS, L.P.
By Monica R. Landry,
Managing Member
/s/ Monica R. Landry
Monica R. Landry, individually and as attorney-in-fact for
each of William F. Duhamel, Richard B. Fried, Douglas M. MacMahon, William F. Mellin, Stephen L. Millham, Jason E. Moment, Ashish H. Pant, Rajiv A. Patel, Derek C. Schrier, Andrew J. M. Spokes, Thomas F. Steyer and Mark C. Wehrly
The Power of Attorney executed by each of Duhamel, Fried, MacMahon, Mellin, Millham, Moment, Pant, Patel, Schrier, Steyer and Wehrly authorizing Landry to sign and file this Schedule 13G on his behalf, which was filed with the Schedule 13D filed with the Securities and Exchange Commission on July 2, 2007 by such Reporting Persons with respect to the Common Stock of Armor Holdings, Inc., is hereby incorporated by reference. The Power of Attorney executed by Spokes authorizing Landry to sign and file this Schedule 13G on his behalf, which was filed with the Schedule 13D filed with the Securities and Exchange Commission on August 28, 2007 by such Reporting Person with respect to the Common Stock of Global Gold Corporation, is hereby incorporated by reference.
Page 24 of 26 Pages
EXHIBIT INDEX
EXHIBIT 4 |
Joint Acquisition Statement Pursuant to Section 240.13d-1(k) |
Page 25 of 26 Pages
EXHIBIT 4
to
SCHEDULE 13G
JOINT ACQUISITION STATEMENT
PURSUANT TO SECTION 240.13d-1(k)
The undersigned acknowledge and agree that the foregoing statement on Schedule 13G is filed on behalf of each of the undersigned and that all subsequent amendments to this statement on Schedule 13G shall be filed on behalf of each of the undersigned without the necessity of filing additional joint acquisition statements. The undersigned acknowledge that each shall be responsible for the timely filing of such amendments, and for the completeness and accuracy of the information concerning him, her or it contained therein, but shall not be responsible for the completeness and accuracy of the information concerning the other entities or persons, except to the extent that he, she or it knows or has reason to believe that such information is inaccurate.
Dated: January 26, 2009
/s/ Monica R. Landry
FARALLON PARTNERS, L.L.C.,
On its own behalf and
as the General Partner of
FARALLON CAPITAL PARTNERS, L.P.,
FARALLON CAPITAL INSTITUTIONAL PARTNERS, L.P.,
FARALLON CAPITAL INSTITUTIONAL PARTNERS II, L.P.,
FARALLON CAPITAL INSTITUTIONAL PARTNERS III, L.P. and
TINICUM PARTNERS, L.P.
By Monica R. Landry,
Managing Member
/s/ Monica R. Landry
Monica R. Landry, individually and as attorney-in-fact for
each of William F. Duhamel, Richard B. Fried, Douglas M. MacMahon, William F. Mellin, Stephen L. Millham, Jason E. Moment, Ashish H. Pant, Rajiv A. Patel, Derek C. Schrier, Andrew J. M. Spokes, Thomas F. Steyer and Mark C. Wehrly
Page 26 of 26 Pages