Optimum Investment 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
2022 Q1	–	Sell	-1,100	Closed	-$18K	–	862
2021 Q4	$18K	Hold	1,100	–	–	0.01%	605
2021 Q3	$18K	Hold	1,100	–	–	0.01%	605
2021 Q2	$19K	Hold	1,100	–	–	0.01%	666
2021 Q1	$18K	Hold	1,100	–	–	0.01%	682
2020 Q4	$16K	Sell	1,100 -1,000	-48%	-$12.7K	﹤0.01%	659
2020 Q3	$24K	Sell	2,100 -400	-16%	-$4.45K	0.01%	576
2020 Q2	$26K	Sell	2,500 -1,000	-29%	-$10.2K	0.01%	555
2020 Q1	$27K	Sell	3,500 -3,000	-46%	-$39.2K	0.01%	514
2019 Q4	$91K	Hold	6,500	–	–	0.03%	404
2019 Q3	$87K	Hold	6,500	–	–	0.03%	395
2019 Q2	$83K	Hold	6,500	–	–	0.03%	411
2019 Q1	$82K	Sell	6,500 -70,000	-92%	-$892K	0.03%	416
2018 Q4	$845K	Hold	76,500	–	–	0.29%	87
2018 Q3	$1.01M	Hold	76,500	–	–	0.28%	92
2018 Q2	$968K	Hold	76,500	–	–	0.28%	95
2018 Q1	$926K	Hold	76,500	–	–	0.27%	97
2017 Q4	$1M	Hold	76,500	–	–	0.32%	93
2017 Q3	$987K	Hold	76,500	–	–	0.33%	89
2017 Q2	$1.01M	Hold	76,500	–	–	0.35%	87
2017 Q1	$1.16M	Hold	76,500	–	–	0.41%	70
2016 Q4	$1.08M	Hold	76,500	–	–	0.41%	73
2016 Q3	$1.04M	Hold	76,500	–	–	0.39%	76
2016 Q2	$950K	Hold	76,500	–	–	0.37%	80
2016 Q1	$919K	Hold	76,500	–	–	0.36%	82
2015 Q4	$933K	Sell	76,500 -765	-1%	-$8.61K	0.36%	79
2015 Q3	$781K	Buy	+77,265	New	+$876K	0.32%	98
2015 Q1	$1.05M	Buy	78,255 +1,000	+1%	+$14.7K	0.33%	79
2014 Q4	$1.15M	Hold	77,255	–	–	0.37%	69
2014 Q3	$1.12M	Buy	77,255 +90	+0.1%	+$1.43K	0.37%	69
2014 Q2	$1.25M	Buy	77,165 +1,100	+1%	+$16.1K	0.4%	62
2014 Q1	$1.07M	Buy	76,065 +165	+0.2%	+$2.58K	0.4%	67
2013 Q4	$1.25M	Sell	75,900 -1,300	-2%	-$21K	0.47%	59
2013 Q3	$1.18M	Buy	+77,200	New	+$1.12M	0.48%	61