YMRC

Yorktown Management & Research Company’s Hercules Capital HTGC Stock Holding History

Quarter	Market Value	Status	Shares	Shares Change %	Trade Value	Portfolio Weight	Portfolio Position
2017 Q3	–	Sell	-83,928	Closed	-$1.11M	–	393
2017 Q2	$1.11M	Sell	83,928 -106,072	-56%	-$1.4M	0.35%	57
2017 Q1	$2.88M	Sell	190,000 -260,000	-58%	-$3.93M	0.75%	28
2016 Q4	$6.35M	Sell	450,000 -120,000	-21%	-$1.69M	1.61%	12
2016 Q3	$7.73M	Sell	570,000 -100,000	-15%	-$1.36M	1.68%	14
2016 Q2	$8.32M	Sell	670,000 -10,000	-1%	-$124K	1.89%	10
2016 Q1	$8.17M	Hold	680,000	–	–	1.58%	10
2015 Q4	$8.29M	Sell	680,000 -65,000	-9%	-$792K	1.47%	8
2015 Q3	$7.53M	Buy	745,000 +195,000	+35%	+$1.97M	1.25%	3
2015 Q2	$6.35M	Buy	550,000 +25,000	+5%	+$289K	1.11%	21
2015 Q1	$7.08M	Buy	525,000 +325,000	+163%	+$4.38M	1.28%	22
2014 Q4	$2.98M	Buy	200,000 +70,000	+54%	+$1.04M	0.62%	46
2014 Q3	$1.88M	Hold	130,000	–	–	0.36%	55
2014 Q2	$2.1M	Buy	130,000 +100,000	+333%	+$1.62M	0.39%	52
2014 Q1	$422K	Hold	30,000	–	–	0.08%	126
2013 Q4	$492K	Sell	30,000 -30,000	-50%	-$492K	0.1%	117
2013 Q3	$915K	Hold	60,000	–	–	0.2%	98
2013 Q2	$836K	Buy	+60,000	New	+$836K	0.18%	102