Ladenburg Thalmann Financial Services’s Hercules Capital HTGC Stock Holding History

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2019 Q4	$1.14M	Sell	81,045 -84	-0.1%	-$1.17K	0.01%	1201
2019 Q3	$1.08M	Buy	81,129 +1,953	+2%	+$25.5K	0.01%	1190
2019 Q2	$1.01M	Sell	79,176 -4,865	-6%	-$63.1K	0.01%	1230
2019 Q1	$1.06M	Buy	84,041 +2,448	+3%	+$31.2K	0.01%	1148
2018 Q4	$902K	Sell	81,593 -8,224	-9%	-$100K	0.01%	1127
2018 Q3	$1.18M	Sell	89,817 -855	-0.9%	-$11.4K	0.01%	1023
2018 Q2	$1.1M	Hold	90,672	–	–	0.01%	1016
2018 Q1	$1.1M	Buy	90,672 +2,781	+3%	+$34.9K	0.01%	1016
2017 Q4	$1.15M	Sell	87,891 -2,670	-3%	-$34.9K	0.01%	982
2017 Q3	$1.17M	Sell	90,561 -2,773	-3%	-$35.6K	0.01%	897
2017 Q2	$1.23M	Buy	93,334 +49,679	+114%	+$690K	0.01%	829
2017 Q1	$659K	Buy	43,655 +5,436	+14%	+$79.7K	0.01%	1141
2016 Q4	$538K	Buy	38,219 +12,240	+47%	+$167K	0.01%	1209
2016 Q3	$353K	Buy	25,979 +5,463	+27%	+$72.8K	0.01%	1384
2016 Q2	$256K	Buy	20,516 +5,657	+38%	+$68.7K	﹤0.01%	1508
2016 Q1	$180K	Buy	14,859 +1,645	+12%	+$18.3K	﹤0.01%	1682
2015 Q4	$161K	Sell	13,214 -401	-3%	-$4.51K	﹤0.01%	1727
2015 Q3	$138K	Buy	13,615 +3,350	+33%	+$38K	﹤0.01%	1756
2015 Q2	$119K	Buy	10,265 +611	+6%	+$7.94K	﹤0.01%	1977
2015 Q1	$130K	Buy	9,654 +218	+2%	+$3.19K	﹤0.01%	1895
2014 Q4	$140K	Sell	9,436 -4,911	-34%	-$74.1K	﹤0.01%	1669
2014 Q3	$207K	Sell	14,347 -1,526	-10%	-$24.2K	0.01%	1205
2014 Q2	$257K	Buy	15,873 +1,119	+8%	+$16.4K	0.01%	1064
2014 Q1	$208K	Buy	14,754 +8,889	+152%	+$139K	0.01%	1108
2013 Q4	$96K	Buy	5,865 +1,399	+31%	+$22.6K	﹤0.01%	1502
2013 Q3	$68K	Sell	4,466 -792	-15%	-$11.5K	﹤0.01%	1616
2013 Q2	$73K	Buy	+5,258	New	+$68.4K	﹤0.01%	1471