Sumitomo Mitsui DS Asset Management’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 Q2	–	Sell	-198,490	Closed	-$2.51M	–	751
2019 Q1	$2.51M	Sell	198,490 -25,589	-11%	-$326K	0.04%	310
2018 Q4	$2.48M	Sell	224,079 -32,434	-13%	-$396K	0.04%	276
2018 Q3	$3.38M	Sell	256,513 -14,358	-5%	-$192K	0.05%	262
2018 Q2	$3.43M	Sell	270,871 -138,221	-34%	-$1.71M	0.05%	260
2018 Q1	$4.95M	Sell	409,092 -84,713	-17%	-$1.06M	0.07%	207
2017 Q4	$6.48M	Sell	493,805 -227,071	-31%	-$2.97M	0.1%	170
2017 Q3	$9.3M	Buy	720,876 +60,417	+9%	+$775K	0.15%	138
2017 Q2	$8.74M	Buy	660,459 +118,208	+22%	+$1.64M	0.14%	141
2017 Q1	$8.2M	Buy	542,251 +237,203	+78%	+$3.48M	0.14%	153
2016 Q4	$4.3M	Buy	305,048 +170,715	+127%	+$2.32M	0.08%	214
2016 Q3	$1.82M	Buy	134,333 +25,473	+23%	+$340K	0.04%	327
2016 Q2	$1.35M	Hold	108,860	–	–	0.04%	336
2016 Q1	$1.31M	Hold	108,860	–	–	0.04%	335
2015 Q4	$1.33M	Sell	108,860 -29,960	-22%	-$337K	0.04%	314
2015 Q3	$1.4M	Buy	138,820 +4,750	+4%	+$53.8K	0.05%	315
2015 Q2	$1.55M	Buy	134,070 +62,230	+87%	+$808K	0.05%	320
2015 Q1	$968K	Sell	71,840 -15,110	-17%	-$221K	0.03%	469
2014 Q4	$1.29M	Sell	86,950 -36,190	-29%	-$546K	0.04%	399
2014 Q3	$1.78M	Buy	123,140 +14,300	+13%	+$226K	0.05%	320
2014 Q2	$1.76M	Buy	108,840 +44,160	+68%	+$646K	0.05%	339
2014 Q1	$910K	Buy	64,680 +12,000	+23%	+$188K	0.03%	529
2013 Q4	$863K	Buy	+52,680	New	+$850K	0.02%	554