UBS O'Connor’s Hercules Capital HTGC Stock Holding History

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Shares Change %	Capital Flow	Portfolio Weight	Portfolio Position
2013 Q3	–	Sell	-409,970	Closed	-$5.72M	–	419
2013 Q2	$5.72M	Buy	+409,970	New	+$5.72M	0.11%	224