B. Riley Wealth Advisors’s Hercules Capital HTGC Stock Holding History

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2024 Q3	–	Sell	-12,976	Closed	-$265K	–	1342
2024 Q2	$265K	Sell	12,976 -2,178	-14%	-$41.9K	0.01%	1088
2024 Q1	$249K	Buy	15,154 +127	+0.8%	+$2.25K	0.01%	1149
2023 Q4	$251K	Sell	15,027 -127	-0.8%	-$2.01K	0.01%	1136
2023 Q3	$249K	Sell	15,154 -1,966	-11%	-$32.2K	0.01%	1149
2023 Q2	$253K	Sell	17,120 -871	-5%	-$11.9K	0.01%	1213
2023 Q1	$232K	Buy	17,991 +4,118	+30%	+$57.6K	0.01%	1215
2022 Q4	$183K	Sell	13,873 -861	-6%	-$11.7K	0.01%	1286
2022 Q3	$171K	Buy	14,734 +2,611	+22%	+$37.3K	0.01%	1257
2022 Q2	$164K	Sell	12,123 -3,347	-22%	-$52.3K	0.01%	1067
2022 Q1	$280K	Buy	15,470 +2,750	+22%	+$48.3K	0.01%	1046
2021 Q4	$212K	Sell	12,720 -185	-1%	-$3.14K	0.01%	1245
2021 Q3	$215K	Buy	+12,905	New	+$219K	0.01%	1207
2021 Q2	–	Sell	-10,504	Closed	-$169K	–	1407
2021 Q1	$169K	Buy	+10,504	New	+$163K	0.01%	1218
2020 Q4	–	Sell	-10,151	Closed	-$117K	–	1061
2020 Q3	$117K	Buy	+10,151	New	+$113K	0.01%	879
2015 Q1	–	Sell	-1,400	Closed	-$21	–	1205
2014 Q4	$21	Buy	+1,400	New	+$21.1K	﹤0.01%	2521
2014 Q3	–	Sell	-2,162	Closed	-$34.9K	–	1201
2014 Q2	$34.9K	Buy	+2,162	New	+$31.6K	0.01%	1184