HTGC - Hercules Capital, Inc. - Insider Stock Trading

TC	Stat	Stk	Ins	Fil	+d	+w	+m	+q	+h	+y	avg
P	%ret	1	11	80	1	2	5	15	22	37	14
P	%wins				68	75	71	70	60	69	69
S	%ret	1	8	54	-0	-0	-0	-2	-5	-8	-3
S	%wins				67	70	53	62	77	78	68

Filing Date	T Date	Ticker	Sector	Ind	Industry	Owner	oSt	Rel	Title	T	TVal	Price	L	Qty	oc	Own	H	r2y	r1y	r6m	r3m	r6w	r3w	r7d	r3d	f1d	f1w	f1m	f3m	f6m	f1y
5/25/23 16:18	5/24/23	HTGC	Fund	CEF	Closed-End Funds	Follmann Christian	CA	O	COO	P	6	13.73	0	0	1	72	D
5/25/23 16:18	5/24/23	HTGC	Fund	CEF	Closed-End Funds	Follmann Christian	CA	O	COO	S	-6	13.72	0	0	-1	72	D
5/9/23 16:17	5/8/23	HTGC	Fund	CEF	Closed-End Funds	Crowell Gayle A	CA	D		P	98	13.66	0	7	23	39	D
3/21/23 16:57	3/17/23	HTGC	Fund	CEF	Closed-End Funds	Loo Wade	CA	D		P	48	11.95	0	4	99	8	I
11/22/22 16:38	11/21/22	HTGC	Fund	CEF	Closed-End Funds	Bluestein Scott	MA	O	CEO	S	-1,416	14.16	0	-100	-10	947	D
8/22/22 16:04	8/18/22	HTGC	Fund	CEF	Closed-End Funds	Loo Wade	CA	D		P.m	1	15.63	0	0	2	3	I
5/26/22 17:27	5/26/22	HTGC	Fund	CEF	Closed-End Funds	Follmann Christian	CA	O	COO	S	-6	14.23	0	0	-1	49	D
5/26/22 17:27	5/26/22	HTGC	Fund	CEF	Closed-End Funds	Follmann Christian	CA	O	COO	P	6	14.24	0	0	1	49	D
5/13/22 16:11	5/12/22	HTGC	Fund	CEF	Closed-End Funds	Fallon Thomas J	CA	D		P	149	14.88	0	10	17	69	M
3/24/22 17:03	3/24/22	HTGC	Fund	CEF	Closed-End Funds	Loo Wade	CA	D		P	1	17.89	0	0	7	1	D
11/16/21 17:17	11/15/21	HTGC	Fund	CEF	Closed-End Funds	Bluestein Scott	MA	O	CEO	S	-1,369	17.11	0	-80	-9	845	D
5/5/21 16:16	5/4/21	HTGC	Fund	CEF	Closed-End Funds	Badavas Robert P	CA	D		S	-350	17.50	0	-20	-16	107	D
5/5/21 16:15	5/4/21	HTGC	Fund	CEF	Closed-End Funds	Hoffman Joseph F	CA	D		M	136	13.62	0	10	30	43	D
5/3/21 16:51	5/3/21	HTGC	Fund	CEF	Closed-End Funds	Crowell Gayle A	CA	D		P	7	17.50	0	0	3	14	D
5/3/21 16:51	5/3/21	HTGC	Fund	CEF	Closed-End Funds	Fallon Thomas J	CA	D		M	163	16.34	0	10	25	51	D
3/19/21 17:10	3/18/21	HTGC	Fund	CEF	Closed-End Funds	Bluestein Scott	MA	O	CEO	S	-1,264	15.80	0	-80	-8	923	D
3/16/21 16:23	3/15/21	HTGC	Fund	CEF	Closed-End Funds	Fallon Thomas J	CA	D		M	172	11.44	0	15	43	50	D
3/16/21 16:23	3/15/21	HTGC	Fund	CEF	Closed-End Funds	Fallon Thomas J	CA	D		S	-248	16.56	0	-15	-23	50	D
3/3/21 17:42	3/1/21	HTGC	Fund	CEF	Closed-End Funds	Badavas Robert P	CA	D		M	53	10.60	0	5	4	127	D
3/3/21 17:41	3/1/21	HTGC	Fund	CEF	Closed-End Funds	Hoffman Joseph F	CA	D		M	187	12.47	0	15	59	41	D
3/3/21 17:40	3/1/21	HTGC	Fund	CEF	Closed-End Funds	Ho Doreen Woo	CA	D		M	136	13.61	0	10	76	23	D
11/18/20 17:08	11/18/20	HTGC	Fund	CEF	Closed-End Funds	Foster Carol L	CA	D		P	50	12.99	0	4	30	17	D
11/20/19 16:05	10/7/19	HTGC	Fund	CEF	Closed-End Funds	Foster Carol L	CA	D		S	-18	13.27	0	-1	-18	6	D
12/14/15 15:08	12/14/15	HTGC	Fund	CEF	Closed-End Funds	Henriquez Manuel A	CA	DO	P,CEO	P	11	10.99	4	1	0	1,841	D	-22	-19	-3	-1	0	-1	-7	-7	2	7	2	8	16	37
11/24/15 12:52	11/23/15	HTGC	Fund	CEF	Closed-End Funds	Fallon Thomas J	CA	D		P	112	11.16	4	10	91	21	D	-21	-21	-8	6	10	1	2	0	1	3	11	-4	17	35
6/19/15 13:52	6/19/15	HTGC	Fund	CEF	Closed-End Funds	Henriquez Manuel A	CA	DO	P,CEO	P	53	11.78	5	5	0	1,921	D	4	-18	-12	-11	-9	-8	-5	1	-1	0	-2	-3	1	14
5/20/15 13:39	5/19/15	HTGC	Fund	CEF	Closed-End Funds	Bluestein Scott	MA	O	Chief In	S	-76	12.65	5	-6	-4	160	D	12	-3	-15	-15	-5	-7	1	0	-1	0	-7	-3	-8	5
4/24/15 17:13	4/23/15	HTGC	Fund	CEF	Closed-End Funds	Baron Jessica T	CA	O	CFO	S	-28	14.06	5	-2	-2	100	D	29	8	-2	-5	0	3	2	1	-2	0	-6	-17	-17	-3
4/21/15 16:19	4/20/15	HTGC	Fund	CEF	Closed-End Funds	Bluestein Scott	MA	O	Chief In	S	-83	13.90	7	-6	-3	166	D	37	8	2	1	-2	2	2	1	1	-1	-6	-14	-19	-3
3/24/15 18:08	3/23/15	HTGC	Fund	CEF	Closed-End Funds	Baron Jessica T	CA	O	CFO	S	-28	13.99	6	-2	-2	110	D	35	1	-2	-4	-8	-2	-1	2	1	0	3	-12	-15	-5
3/23/15 17:35	3/19/15	HTGC	Fund	CEF	Closed-End Funds	Bluestein Scott	MA	O	Chief In	S	-81	13.48	6	-6	-3	184	D	35	3	-4	-1	-7	-8	0	4	-2	-2	-1	-13	-19	-9
2/25/15 15:38	2/23/15	HTGC	Fund	CEF	Closed-End Funds	Baron Jessica T	CA	O	CFO	S	-31	15.44	3	-2	-2	95	D	44	1	3	-1	5	-1	0	1	1	-6	-9	-13	-24	-26
2/23/15 14:38	2/19/15	HTGC	Fund	CEF	Closed-End Funds	Bluestein Scott	MA	O	Chief In	S	-92	15.36	3	-6	-4	144	D	47	2	0	-1	7	3	0	-1	1	0	-8	-14	-18	-26
1/26/15 16:15	1/23/15	HTGC	Fund	CEF	Closed-End Funds	Baron Jessica T	CA	O	CFO	S	-30	15.00	5	-2	-2	97	D	47	-1	-7	1	1	0	5	8	-1	1	3	-4	-24	-19
1/22/15 16:25	1/20/15	HTGC	Fund	CEF	Closed-End Funds	Bluestein Scott	MA	O	Chief In	S	-84	13.96	4	-6	-4	149	D	41	-5	-11	0	-5	-5	-2	1	0	-4	3	-6	-23	-23
12/29/14 13:55	12/23/14	HTGC	Fund	CEF	Closed-End Funds	Baron Jessica T	CA	O	CFO	S	-29	14.74	4	-2	-2	100	D	61	-2	-3	3	-3	-2	7	2	-1	-1	-4	-8	-19	-9
12/22/14 16:25	12/18/14	HTGC	Fund	CEF	Closed-End Funds	Henriquez Manuel A	CA	DO	P,CEO	S.m	-1,373	14.74	5	-93	-5	1,738	D	56	-1	-1	3	-6	-3	-1	5	0	2	3	-6	-15	-12
12/22/14 16:24	12/19/14	HTGC	Fund	CEF	Closed-End Funds	Bluestein Scott	MA	O	Chief In	S	-89	14.81	5	-6	-4	156	D	56	-1	-1	3	-6	-3	-1	5	0	2	3	-6	-15	-12
12/12/14 15:00	12/10/14	HTGC	Fund	CEF	Closed-End Funds	Baron Jessica T	CA	O	CFO	S.a	-150	15.02	4	-10	-9	102	D	65	-4	-1	-1	-3	-5	-4	-2	-3	0	-3	-4	-17	-19
12/11/14 16:39	12/10/14	HTGC	Fund	CEF	Closed-End Funds	Baron Jessica T	CA	O	CFO	S	-30	15.02	4	-2	-2	102	D	66	-4	0	-1	-3	-5	-3	-4	-3	-3	-1	-4	-14	-14
12/3/14 12:36	12/1/14	HTGC	Fund	CEF	Closed-End Funds	Shah Parag	MA	O	Senior M	S	-345	15.33	4	-23	-8	252	D	68	0	5	2	5	-2	-1	-2	-2	-2	-2	-5	-13	-17
11/25/14 16:41	11/24/14	HTGC	Fund	CEF	Closed-End Funds	Baron Jessica T	CA	O	CFO	S	-31	15.63	5	-2	-2	114	D	71	-1	7	3	16	0	0	0	1	-1	-3	-1	-14	-20
11/20/14 18:40	11/19/14	HTGC	Fund	CEF	Closed-End Funds	Shah Parag	MA	O	Senior M	S	-352	15.63	5	-23	-8	275	D	73	2	14	2	11	2	-1	0	-1	1	-5	0	-14	-21
11/4/14 15:11	11/3/14	HTGC	Fund	CEF	Closed-End Funds	Bluestein Scott	MA	O	Chief In	S	-95	15.84	6	-6	-4	164	D	73	11	15	-3	8	16	4	1	0	2	-2	-2	-11	-21
10/24/14 14:06	10/23/14	HTGC	Fund	CEF	Closed-End Funds	Baron Jessica T	CA	O	CFO	S	-30	15.14	6	-2	-2	116	D	66	5	13	-8	-2	3	11	4	2	4	5	1	-5	-19
10/22/14 14:40	10/20/14	HTGC	Fund	CEF	Closed-End Funds	Bluestein Scott	MA	O	Chief In	M	946	9.90	6	96	129	170	D	61	6	11	-9	-2	4	8	5	1	4	6	3	-2	-20
10/3/14 20:24	10/1/14	HTGC	Fund	CEF	Closed-End Funds	Shah Parag	MA	O	Senior M	S	-322	14.33	5	-23	-7	299	D	55	4	5	-10	-7	-6	0	-2	0	-2	8	6	-1	-24
10/3/14 20:23	10/1/14	HTGC	Fund	CEF	Closed-End Funds	Bluestein Scott	MA	O	Chief In	S	-86	14.33	5	-6	-4	149	D	55	4	5	-10	-7	-6	0	-2	0	-2	8	6	-1	-24
9/25/14 11:36	9/23/14	HTGC	Fund	CEF	Closed-End Funds	Baron Jessica T	CA	O	CFO	S	-29	14.51	5	-2	-2	119	D	51	3	3	-6	-8	-6	-4	-2	2	0	5	4	-1	-17
9/15/14 14:17	9/11/14	HTGC	Fund	CEF	Closed-End Funds	Henriquez Manuel A	CA	DO	P,CEO	S.m	-770	15.40	5	-50	-3	1,853	D	60	12	5	1	-6	1	0	1	-2	-4	-12	-1	-5	-20
9/3/14 14:34	9/2/14	HTGC	Fund	CEF	Closed-End Funds	Shah Parag	MA	O	Senior M	S	-503	15.25	6	-33	-9	325	D	60	14	4	2	-6	-3	-2	1	1	0	-5	2	-3	-20
9/3/14 14:34	9/2/14	HTGC	Fund	CEF	Closed-End Funds	Bluestein Scott	MA	O	Chief In	S	-92	15.25	6	-6	-4	157	D	60	14	4	2	-6	-3	-2	1	1	0	-5	2	-3	-20
9/2/14 14:29	8/28/14	HTGC	Fund	CEF	Closed-End Funds	Henriquez Manuel A	CA	DO	P,CEO	S.m	-759	15.17	6	-50	-3	1,926	D	59	13	3	3	-7	-3	-3	-1	0	-1	-5	5	-3	-17
8/26/14 15:28	8/25/14	HTGC	Fund	CEF	Closed-End Funds	Baron Jessica T	CA	O	CFO	S	-30	15.22	7	-2	-2	123	D	58	11	0	3	-7	-7	-4	-4	2	1	-5	5	5	-22
8/21/14 13:37	8/20/14	HTGC	Fund	CEF	Closed-End Funds	Shah Parag	MA	O	Senior M	S	-520	15.75	7	-33	-8	358	D	64	15	2	13	-1	-2	0	0	-1	-4	-6	1	0	-18
8/4/14 13:25	8/1/14	HTGC	Fund	CEF	Closed-End Funds	Bluestein Scott	MA	O	Chief In	S	-99	16.55	8	-6	-4	164	D	75	29	10	22	8	2	0	-1	0	-4	-7	-4	-6	-27
7/24/14 13:20	7/23/14	HTGC	Fund	CEF	Closed-End Funds	Baron Jessica T	CA	O	CFO	S	-33	16.61	14	-2	-2	126	D	74	29	6	21	8	2	2	1	1	1	-5	-9	-6	-27
7/2/14 17:34	7/1/14	HTGC	Fund	CEF	Closed-End Funds	Shah Parag	MA	O	Senior M	S	-535	16.21	14	-33	-8	393	D	72	25	2	20	14	4	4	1	0	0	0	-10	-5	-25
7/2/14 17:33	7/1/14	HTGC	Fund	CEF	Closed-End Funds	Bluestein Scott	MA	O	Chief In	S	-97	16.21	14	-6	-3	170	D	72	25	2	20	14	4	4	1	0	0	0	-10	-5	-25
6/24/14 16:55	6/23/14	HTGC	Fund	CEF	Closed-End Funds	Baron Jessica T	CA	O	CFO	S	-31	15.44	9	-2	-2	128	D	65	21	0	6	8	1	0	-2	0	4	8	-4	-1	-16
6/18/14 16:12	6/16/14	HTGC	Fund	CEF	Closed-End Funds	Bluestein Scott	MA	O	Chief In	S	-93	15.50	9	-6	-3	176	D	74	27	-2	9	13	5	1	2	-1	-2	4	-2	-4	-16
6/16/14 16:13	6/12/14	HTGC	Fund	CEF	Closed-End Funds	Shah Parag	MA	O	Senior M	S	-507	15.37	8	-33	-7	427	D	70	26	-3	4	14	5	2	0	2	0	7	1	0	-17
6/6/14 16:17	6/5/14	HTGC	Fund	CEF	Closed-End Funds	Henriquez Manuel A	CA	DO	P,CEO	S	-1,560	15.60	8	-100	-5	1,989	D	76	25	-3	5	13	12	4	3	0	-1	4	0	0	-11
5/19/14 16:13	5/16/14	HTGC	Fund	CEF	Closed-End Funds	Baron Jessica T	CA	O	CFO	S	-139	13.88	7	-10	-7	132	D	55	17	-11	-9	5	6	2	0	-1	3	10	13	13	-3
5/8/14 16:11	5/7/14	HTGC	Fund	CEF	Closed-End Funds	Bluestein Scott	MA	O	Chief In	S	-253	14.24	7	-18	-9	184	D	50	18	-4	-6	-2	2	4	3	0	0	12	19	15	1
3/13/14 16:09	3/12/13	HTGC	Fund	CEF	Closed-End Funds	Jaquez-Fissori Todd	CA	O	Senior M	S	-341	15.36	9	-22	-33	45	D	68	34	7	-7	-1	-6	-1	4	0	-5	-10	3	4	-1
12/24/13 17:00	12/24/13	HTGC	Fund	CEF	Closed-End Funds	Baron Jessica T	CA	O	CFO	S	-84	16.81	8	-5	-4	112	D	106	63	29	12	3	0	0	0	-1	-3	-6	-12	-3	-5
11/12/13 16:21	11/11/13	HTGC	Fund	CEF	Closed-End Funds	Shah Parag	MA	O	Senior M	M	3,775	12.60	7	300	640	346	D	105	75	28	12	9	7	8	5	2	3	2	-1	-11	4
11/12/13 16:20	11/11/13	HTGC	Fund	CEF	Closed-End Funds	Henriquez Manuel A	CA	DO	P,CEO	M	3,155	14.02	7	225	15	1,745	D	105	75	28	12	9	7	8	5	2	3	2	-1	-11	4
11/12/13 16:19	11/11/13	HTGC	Fund	CEF	Closed-End Funds	Baron Jessica T	CA	O	CFO	M	42	14.02	7	3	3	118	D	105	75	28	12	9	7	8	5	2	3	2	-1	-11	4
10/28/13 16:53	10/25/13	HTGC	Fund	CEF	Closed-End Funds	Bluestein Scott	MA	O	Chief Cr	M	50	9.90	6	5	4	137	D	97	64	26	18	6	7	5	3	0	-4	8	1	-11	5
9/18/13 21:50	9/16/13	HTGC	Fund	CEF	Closed-End Funds	Badavas Robert P	CA	D		M	329	10.96	6	30	30	131	D	92	43	28	13	4	3	1	1	0	1	1	12	1	9
9/11/13 15:18	9/10/13	HTGC	Fund	CEF	Closed-End Funds	Henriquez Manuel A	CA	DO	P,CEO	P	72	14.32	6	5	0	1,736	D	91	41	25	13	9	0	1	0	0	1	1	16	7	12
8/20/13 18:13	8/12/13	HTGC	Fund	CEF	Closed-End Funds	Woodward Allyn C Jr	CA	D		M.a	314	10.48	7	30	16	217	D	85	38	21	8	6	5	-2	-4	0	0	2	16	12	16
8/13/13 16:27	8/13/13	HTGC	Fund	CEF	Closed-End Funds	Woodward Allyn C Jr	CA	D		M	314	10.48	7	30	16	214	D	94	47	28	15	8	7	7	3	0	-4	0	10	12	15
8/9/13 17:11	8/8/13	HTGC	Fund	CEF	Closed-End Funds	Woodward Allyn C Jr	CA	D		P	22	14.75	6	2	1	208	D	89	46	26	13	5	5	7	2	2	0	1	9	11	17
8/9/13 17:10	8/7/13	HTGC	Fund	CEF	Closed-End Funds	Chow Joseph W	CA	D		M	329	10.96	6	30	33	122	D	89	46	26	13	5	5	7	2	2	0	1	9	11	17
8/7/13 17:07	8/6/13	HTGC	Fund	CEF	Closed-End Funds	Badavas Robert P	CA	D		P	73	14.63	6	5	4	123	D	83	42	24	14	9	4	5	4	1	3	3	8	11	23
8/6/13 17:06	8/2/13	HTGC	Fund	CEF	Closed-End Funds	Henriquez Manuel A	CA	DO	P,CEO	M	6,213	13.06	6	476	38	1,737	D	84	43	25	12	9	3	4	4	0	3	3	7	11	23
8/6/13 17:05	8/2/13	HTGC	Fund	CEF	Closed-End Funds	Baron Jessica T	CA	O	Chief Fi	M	257	12.84	6	20	20	119	D	84	43	25	12	9	3	4	4	0	3	3	7	11	23
5/10/13 17:44	5/9/13	HTGC	Fund	CEF	Closed-End Funds	Shah Parag	MA	O	Senior M	M	1,146	12.14	9	94	44	308	D	52	27	32	11	9	11	0	1	0	0	3	13	23	15
5/10/13 17:43	5/9/13	HTGC	Fund	CEF	Closed-End Funds	Bluestein Scott	MA	O	Chief Cr	M	242	9.90	9	24	23	132	D	52	27	32	11	9	11	0	1	0	0	3	13	23	15
5/6/13 18:18	5/3/13	HTGC	Fund	CEF	Closed-End Funds	Henriquez Manuel A	CA	DO	P,CEO	M	1,182	12.14	8	97	6	1,728	D	51	30	30	11	9	13	4	1	-1	1	4	12	21	16
5/6/13 18:18	5/3/13	HTGC	Fund	CEF	Closed-End Funds	Baron Jessica T	CA	O	Chief Fi	M	192	12.20	8	16	15	120	D	51	30	30	11	9	13	4	1	-1	1	4	12	21	16
12/10/12 16:23	12/9/12	HTGC	Fund	CEF	Closed-End Funds	Jaquez-Fissori Todd	CA	O	Senior M	M	11	9.85	3	1	2	49	D	21	20	2	-6	-1	1	-2	-2	0	1	13	19	32	73
11/13/12 16:39	11/9/12	HTGC	Fund	CEF	Closed-End Funds	Jaquez-Fissori Todd	CA	O	Senior M	M	23	9.85	3	2	5	49	D	20	23	-2	-7	-6	-3	-3	0	-1	4	3	22	34	74
9/18/12 11:42	9/17/12	HTGC	Fund	CEF	Closed-End Funds	Jaquez-Fissori Todd	CA	O	Senior M	S	-6	11.50	3	-1	-1	48	D	40	34	12	9	7	2	1	1	-2	-1	-5	-3	10	42
9/12/12 13:54	9/10/12	HTGC	Fund	CEF	Closed-End Funds	Jaquez-Fissori Todd	CA	O	Senior M	M	11	9.85	3	1	2	49	D	34	38	7	5	2	0	0	-1	2	0	-3	-4	14	45
8/16/12 13:02	8/14/12	HTGC	Fund	CEF	Closed-End Funds	Shah Parag	MA	O	Senior M	M	29	4.21	3	7	3	265	D	36	34	17	5	0	3	4	0	1	0	3	-8	14	38
8/15/12 13:48	8/14/12	HTGC	Fund	CEF	Closed-End Funds	Jaquez-Fissori Todd	CA	O	Senior M	M	23	9.85	3	2	5	49	D	37	31	15	4	0	1	3	0	1	1	3	-7	13	43
8/15/12 13:47	8/13/12	HTGC	Fund	CEF	Closed-End Funds	Baron Jessica T	CA	O	Chief Fi	M	3	4.21	3	1	1	94	D	37	31	15	4	0	1	3	0	1	1	3	-7	13	43
8/9/12 10:49	8/8/12	HTGC	Fund	CEF	Closed-End Funds	Jaquez-Fissori Todd	CA	O	Senior M	S	-6	11.13	3	-1	-1	48	D	29	32	9	4	1	-2	-1	2	2	2	4	-8	15	47
8/1/12 10:50	7/30/12	HTGC	Fund	CEF	Closed-End Funds	Henriquez Manuel A	CA	DO	P,CEO	M	58	4.21	2	14	1	1,479	D	28	27	23	2	1	-1	0	1	-1	-1	4	-2	15	41
6/12/12 15:46	6/11/12	HTGC	Fund	CEF	Closed-End Funds	Jaquez-Fissori Todd	CA	O	Tech,Cle	M	11	9.85	4	1	4	34	D	39	15	22	3	-4	4	2	0	1	0	5	8	3	35
6/1/12 13:51	6/1/12	HTGC	Fund	CEF	Closed-End Funds	Badavas Robert P	CA	D		P	104	10.40	4	10	10	112	D	37	9	24	4	-2	-3	2	0	-1	2	7	10	7	39
5/23/12 13:08	5/22/12	HTGC	Fund	CEF	Closed-End Funds	Jaquez-Fissori Todd	CA	O	Tech,Cle	S	-26	10.30	5	-3	-7	33	D	38	10	18	6	-2	-7	-4	-3	2	1	1	10	6	39
5/15/12 14:32	5/11/12	HTGC	Fund	CEF	Closed-End Funds	Jaquez-Fissori Todd	CA	O	Tech,Cle	M	34	9.85	4	4	11	36	D	35	14	25	8	0	-1	-2	1	1	-5	-1	5	-1	32
3/20/12 16:57	3/19/12	HTGC	Fund	CEF	Closed-End Funds	Harvey H Scott	CA	O	GC,Sec	M	2	4.21	4	1	1	75	D	21	10	20	17	4	5	1	1	1	4	3	2	12	23
3/19/12 15:19	3/15/12	HTGC	Fund	CEF	Closed-End Funds	Shah Parag	MA	O	Senior M	M	503	4.21	4	119	76	276	D	18	11	18	15	-1	3	-1	-4	2	5	6	5	14	26
3/19/12 15:19	3/15/12	HTGC	Fund	CEF	Closed-End Funds	Shah Parag	MA	O	Senior M	S.m	-1,695	10.61	4	-160	-37	276	D	18	11	18	15	-1	3	-1	-4	2	5	6	5	14	26
3/13/12 16:39	3/12/12	HTGC	Fund	CEF	Closed-End Funds	Shah Parag	MA	O	Senior M	M	11	4.21	4	3	1	387	D	24	7	27	19	15	5	3	0	-2	-1	0	1	9	24
3/7/12 17:16	3/6/12	HTGC	Fund	CEF	Closed-End Funds	Chow Joseph W	CA	D		P	52	10.44	4	5	5	108	D	18	0	21	11	8	1	0	-2	0
3/7/12 17:16	3/5/12	HTGC	Fund	CEF	Closed-End Funds	Baron Jessica T	CA	O	Interim	M	23	4.21	4	6	19	35	D	18	0	21	11	8	1	0	-2	0
3/7/12 17:15	3/5/12	HTGC	Fund	CEF	Closed-End Funds	Harvey H Scott	CA	O	GC,Sec	M	21	4.21	4	5	10	53	D	18	0	21	11	8	1	0	-2	0
3/7/12 17:15	3/6/12	HTGC	Fund	CEF	Closed-End Funds	Harvey H Scott	CA	O	GC,Sec	S	-58	10.58	4	-6	-9	53	D	18	0	21	11	8	1	0	-2	0
3/5/12 16:49	3/5/12	HTGC	Fund	CEF	Closed-End Funds	Woodward Allyn C Jr	CA	D		P	236	10.48	5	23	15	174	D	21	3	13	11	7	0	1	0	-2	3
3/5/12 13:12	3/1/12	HTGC	Fund	CEF	Closed-End Funds	Jaquez-Fissori Todd	CA	O	Tech,Cle	M	39	4.21	5	9	766	11	D	21	3	13	11	7	0	1	0	2	6
2/6/12 17:41	2/3/12	HTGC	Fund	CEF	Closed-End Funds	Henriquez Manuel A	CA	DO	P,CEO	M	468	4.21	6	111	10	1,258	D	33	12	26	15	13	10	13	14	0	-1	-1
12/12/11 19:06	12/12/11	HTGC	Fund	CEF	Closed-End Funds	Henriquez Manuel A	CA	DO	P,CEO	P	46	9.12	2	5	0	1,217	D	13	-3	-6	8	-4	2	-1	-2	1	2	11
11/10/11 13:11	11/8/11	HTGC	Fund	CEF	Closed-End Funds	Shah Parag	MA	O	Senior M	M	17	4.21	3	4	1	286	D	6	-3	-10	4	2	1	-5	-6	0	2	4	16
11/10/11 12:30	11/9/11	HTGC	Fund	CEF	Closed-End Funds	Henriquez Manuel A	CA	DO	P,CEO	P.m	64	9.14	3	7	1	1,214	D	6	-3	-10	4	2	1	-5	-6	0	2	4	16
10/5/11 10:11	10/4/11	HTGC	Fund	CEF	Closed-End Funds	Henriquez Manuel A	CA	DO	P,CEO	P	59	8.40	2	7	1	1,209	D	0	-11	-21	-18	-8	-9	-2	-7	1	8	15	17
9/26/11 16:05	9/26/11	HTGC	Fund	CEF	Closed-End Funds	Henriquez Manuel A	CA	DO	P,CEO	P	22	8.65	2	3	0	1,202	D	5	-5	-18	-14	-4	-2	-7	-5	2	-4	8	10
9/26/11 13:45	9/26/11	HTGC	Fund	CEF	Closed-End Funds	Henriquez Manuel A	CA	DO	P,CEO	P	44	8.75	2	5	0	1,200	D	5	-5	-18	-14	-4	-2	-7	-5	3	-1	11	13
9/7/11 11:56	9/6/11	HTGC	Fund	CEF	Closed-End Funds	Chow Joseph W	CA	D		P	43	8.68	3	5	5	103	D	11	4	-19	-13	-13	-3	-2	-7	4	4	-3	10	27
8/11/11 10:28	8/10/11	HTGC	Fund	CEF	Closed-End Funds	Badavas Robert P	CA	D		P	44	8.70	4	5	5	97	D	9	-7	-18	-18	-18	-19	-12	-9	6	10	7	16	31
8/11/11 10:28	8/10/11	HTGC	Fund	CEF	Closed-End Funds	Bluestein Scott	MA	O	Chief Cr	P	24	8.73	4	3	16	20	D	9	-7	-18	-18	-18	-19	-12	-9	6	10	7	16	31
8/9/11 13:20	8/9/11	HTGC	Fund	CEF	Closed-End Funds	Henriquez Manuel A	CA	DO	P,CEO	P	61	8.78	3	7	1	1,199	D	11	-11	-18	-17	-19	-18	-12	-11	10	11	11	19	31
6/15/11 17:02	6/15/11	HTGC	Fund	CEF	Closed-End Funds	Badavas Robert P	CA	D		P.m	52	10.49	3	5	6	88	I	58	24	6	1	1	1	2	-1	0	0	1	-9	-7
6/10/11 17:29	6/8/11	HTGC	Fund	CEF	Closed-End Funds	Harvey H Scott	CA	O	GC,Sec	S	-120	10.40	3	-12	-16	59	D	54	31	7	-1	1	2	-2	4	1	0	2	-11	-3
6/10/11 17:29	6/9/11	HTGC	Fund	CEF	Closed-End Funds	Harvey H Scott	CA	O	GC,Sec	M	23	4.21	3	6	10	59	D	54	31	7	-1	1	2	-2	4	1	0	2	-11	-3
6/3/11 14:09	6/2/11	HTGC	Fund	CEF	Closed-End Funds	Bluestein Scott	MA	O	Chief Cr	P	106	10.58	2	10	133	18	D	51	23	9	0	7	1	3	-1	-3	0	-1	-8	-7
6/1/11 11:08	5/31/11	HTGC	Fund	CEF	Closed-End Funds	Bhaumik Sam	CA	O	Senior M	S	-215	10.77	2	-20	-9	197	D	62	37	13	6	10	5	4	4	-3	-5	-5	-11	-15
5/12/11 14:15	5/11/11	HTGC	Fund	CEF	Closed-End Funds	Chow Joseph W	CA	D		P	52	10.36	3	5	6	90	D	52	15	3	0	-5	4	0	1	1	2	-1	-18	-5
5/11/11 14:44	5/10/11	HTGC	Fund	CEF	Closed-End Funds	Shah Parag	MA	O	Senior M	M.d	19	4.21	3	5	2	291	D	56	18	0	-1	-3	5	-1	2	0	0	3	-10	-5
5/11/11 14:37	5/10/11	HTGC	Fund	CEF	Closed-End Funds	Lund David Michael	CA	O	VP of Fi	M.d	190	4.21	3	45	158	74	D	56	18	0	-1	-3	5	-1	2	0	0	3	-10	-5
5/10/11 15:33	5/10/11	HTGC	Fund	CEF	Closed-End Funds	Woodward Allyn C Jr	CA	D		P	105	10.50	3	10	8	140	D	51	17	-1	-2	-4	3	-3	-1	1	1	3	-17	-1
12/29/10 14:02	12/28/10	HTGC	Fund	CEF	Closed-End Funds	Woodward Allyn C Jr	CA	D		P	37	10.47	2	4	3	128	I	80	8	21	7	3	2	3	-2	1	3	4	7	3	0
12/23/10 16:29	12/22/10	HTGC	Fund	CEF	Closed-End Funds	Denomme Mark	MA	O	Senior M	S	-74	10.66	3	-7	-15	38	D	78	12	21	13	5	5	2	5	-2	0	1	5	2	0
12/22/10 15:03	12/20/10	HTGC	Fund	CEF	Closed-End Funds	Denomme Mark	MA	O	Senior M	M.d	66	4.21	2	16	53	45	D	76	11	20	9	-1	2	-1	2	2	2	1	5	2	1
12/22/10 12:04	12/21/10	HTGC	Fund	CEF	Closed-End Funds	Bhaumik Sam	CA	O	Senior M	M.d	144	4.21	2	34	25	172	D	76	11	20	9	-1	2	-1	2	2	2	1	5	2	1
12/1/10 11:51	11/30/10	HTGC	Fund	CEF	Closed-End Funds	Woodward Allyn C Jr	CA	D		P	60	9.96	4	6	3	240	M	100	10	13	11	-1	-5	-2	0	2	3	5	9	11	-3
12/1/10 11:40	11/23/10	HTGC	Fund	CEF	Closed-End Funds	Chow Joseph W	CA	D		P	50	9.96	4	5	6	84	D	100	10	13	11	-1	-5	-2	0	2	3	5	9	11	-3
11/23/10 15:46	11/22/10	HTGC	Fund	CEF	Closed-End Funds	Badavas Robert P	CA	D		P	20	10.00	3	2	3	75	D	157	8	18	10	1	-3	-2	-1	-1	-1	6	7	8	-2
11/17/10 12:18	11/16/10	HTGC	Fund	CEF	Closed-End Funds	Gable Scott	CA	O	COO	P	100	9.88	3	10	New	10	D	101	4	10	2	-2	-3	-8	-3	3	0	3	11	11	4
10/1/10 18:55	9/30/10	HTGC	Fund	CEF	Closed-End Funds	Henriquez Manuel A	CA	DO	P,CEO	M.d	526	4.21	2	125	13	1,074	D	40	13	-2	11	7	4	3	3	-1	1	2	7	14	-2
9/30/10 15:21	9/30/10	HTGC	Fund	CEF	Closed-End Funds	Denomme Mark	MA	O	Senior M	S	-106	10.01	2	-11	-22	38	D	38	13	-4	8	-1	2	-1	-1	3	5	3	10	18	-4
9/29/10 16:27	9/27/10	HTGC	Fund	CEF	Closed-End Funds	Denomme Mark	MA	O	Senior M	M.d	44	4.21	2	11	28	49	D	33	9	-3	13	2	5	1	4	3	5	6	9	16	1
9/20/10 13:28	9/17/10	HTGC	Fund	CEF	Closed-End Funds	Shah Parag	MA	O	Senior M	M.d	14	4.21	2	3	1	226	D	44	8	-4	6	-3	4	4	-1	1	1	6	5	14	4
9/2/10 12:05	9/1/10	HTGC	Fund	CEF	Closed-End Funds	Shah Parag	MA	O	Senior M	M.d	423	4.21	2	101	82	223	D	22	12	-3	2	-5	-4	-1	0	1	2	7	10	21	11
9/2/10 12:05	9/1/10	HTGC	Fund	CEF	Closed-End Funds	Shah Parag	MA	O	Senior M	S.d	-937	9.32	2	-101	-31	223	D	22	12	-3	2	-5	-4	-1	0	1	2	7	10	21	11
7/28/10 16:49	7/26/10	HTGC	Fund	CEF	Closed-End Funds	Harvey H Scott	FL	O	GC,Sec	M.d	37	4.21	3	9	17	63	D	46	22	9	-4	13	11	7	4	0	-1	-8	1	7	7
6/30/10 17:13	6/30/10	HTGC	Fund	CEF	Closed-End Funds	Woodward Allyn C Jr	CA	D		P	68	9.09	2	8	4	219	M	28	25	-10	-14	-4	3	-5	-1	0	2	14	10	18	22
6/29/10 14:41	6/29/10	HTGC	Fund	CEF	Closed-End Funds	Badavas Robert P	CA	D		P	45	9.07	2	5	8	68	D	33	28	-6	-10	0	7	4	5	-5	-1	10	6	13	20
6/24/10 14:58	6/23/10	HTGC	Fund	CEF	Closed-End Funds	Chow Joseph W	CA	D		P	46	9.12	2	5	7	76	D	23	28	-7	-12	-7	-4	0	-4	1	2	12	9	20	22
6/2/10 10:21	6/1/10	HTGC	Fund	CEF	Closed-End Funds	Henriquez Manuel A	CA	DO	P,CEO	P	5	8.64	3	1	0	1,031	D	13	18	-8	-11	-22	-10	-2	0	6	2	7	9	22	37
5/28/10 12:31	5/27/10	HTGC	Fund	CEF	Closed-End Funds	Bhaumik Sam	CA	O	Senior M	P	4	8.97	3	1	0	148	D	20	32	-7	-6	-17	-2	-3	1	-3	-2	4	3	14	27
5/27/10 10:20	5/26/10	HTGC	Fund	CEF	Closed-End Funds	Henriquez Manuel A	CA	DO	P,CEO	P	17	8.64	3	2	0	1,031	D	12	28	-10	-9	-22	-8	-9	-2	5	8	10	11	19	31
5/10/10 15:46	5/7/10	HTGC	Fund	CEF	Closed-End Funds	Shah Parag	MA	O	Senior M	M	36	4.21	2	9	4	223	D	23	49	8	-1	-10	-14	-13	-8	2	3	-5	11	19	19
3/31/10 16:21	3/31/10	HTGC	Fund	CEF	Closed-End Funds	Woodward Allyn C Jr	CA	D		P	54	10.72	2	5	5	101	I	34	160	12	4	16	3	0	1	1	3	5	-13	-2	12
3/19/10 15:34	3/19/10	HTGC	Fund	CEF	Closed-End Funds	Woodward Allyn C Jr	CA	D		P	103	10.33	2	10	6	184	M	26	179	12	11	11	8	4	3	0	-1	4	-12	-5	6
3/10/10 17:49	3/10/10	HTGC	Fund	CEF	Closed-End Funds	Bhaumik Sam	CA	O	Senior M	S	-36	10.25	3	-4	-4	86	D	20	224	14	7	5	12	4	2	-1	0	6	-12	-6	19
12/28/09 11:12	12/23/09	HTGC	Fund	CEF	Closed-End Funds	Bhaumik Sam	CA	O	Senior M	S	-52	10.41	2	-5	-5	89	D	12	72	36	10	7	7	8	3	0	3	0	5	-6	7
11/25/09 10:36	11/23/09	HTGC	Fund	CEF	Closed-End Funds	Shah Parag	MA	O	Senior M	S	-130	10.16	1	-13	-13	86	D	25	104	42	10	-1	14	2	2	-3	-3	3	-2	-7	6
9/25/09 10:42	9/23/09	HTGC	Fund	CEF	Closed-End Funds	Shah Parag	MA	O	Senior M	S	-129	10.13	2	-13	-12	98	D	2	19	94	20	2	3	2	0	0	-1	7	9	13	10
9/3/09 10:38	9/1/09	HTGC	Fund	CEF	Closed-End Funds	Woodward Allyn C Jr	CA	D		P	40	9.19	2	4	6	79	D	4	10	179	12	2	-5	-4	-2	4	5	7	11	18	13
3/13/09 10:22	3/12/09	HTGC	Fund	CEF	Closed-End Funds	Henriquez Manuel A	CA	DO	P,CEO	P	13	3.74	2	4	1	657										6	13	70	126	174	206
3/4/09 10:24	3/3/09	HTGC	Fund	CEF	Closed-End Funds	Henriquez Manuel A	CA	DO	P,CEO	P	15	3.86	2	4	1	654										-5	2	42	134	165	200
3/2/09 10:59	2/27/09	HTGC	Fund	CEF	Closed-End Funds	Woodward Allyn C Jr	CA	D		P	4	4.46	2	1	2	64										-14	-16	7	80	137	160
2/26/09 18:39	2/26/09	HTGC	Fund	CEF	Closed-End Funds	Shah Parag	MA	O	Senior M	P.a	5	4.55	2	1	2	61										-4	-13	21	72	126	141
2/26/09 18:28	2/26/09	HTGC	Fund	CEF	Closed-End Funds	Shah Parag	MA	O	Senior M	P	9	4.55	2	2	3	62										-4	-13	21	72	126	141
2/25/09 13:23	2/25/09	HTGC	Fund	CEF	Closed-End Funds	Henriquez Manuel A	CA	DO	P,CEO	P	9	4.27	2	2	0	650										7	-11	29	89	144	160
2/19/09 15:13	2/19/09	HTGC	Fund	CEF	Closed-End Funds	Lund David Michael	CA	O	VP of Fi	P.a	9	4.26	2	2	10	22										7	15	8	111	150	164
2/19/09 13:55	2/19/09	HTGC	Fund	CEF	Closed-End Funds	Lund David Michael	CA	O	VP of Fi	P	9	4.26	2	2	3	62										7	15	8	111	150	164
2/19/09 10:54	2/18/09	HTGC	Fund	CEF	Closed-End Funds	Woodward Allyn C Jr	CA	D		P	4	4.45	2	1	2	63										7	15	8	111	150	164
2/19/09 10:43	2/18/09	HTGC	Fund	CEF	Closed-End Funds	Henriquez Manuel A	CA	DO	P,CEO	P	44	4.40	2	10	2	648										7	15	8	111	150	164
2/19/09 10:32	2/18/09	HTGC	Fund	CEF	Closed-End Funds	Chow Joseph W	CA	D		P	45	4.49	2	10	18	65	D	-62	-60	-57	-33	-49	-42	-34	-26	5	15	8	111	150	164
11/24/08 10:43	11/21/08	HTGC	Fund	CEF	Closed-End Funds	Henriquez Manuel A	CA	DO	P,CEO	P	2	4.99	2	1	0	638	D	-54	-50	-48	-48	-41	-40	-21	-17	20	21	53	-1	69	140
11/18/08 17:19	11/18/08	HTGC	Fund	CEF	Closed-End Funds	Woodward Allyn C Jr	CA	D		P	6	5.95	2	1	2	59	D	-44	-42	-35	-39	-29	-27	-22	-5	-9	0	26	-26	49	103
11/18/08 12:16	11/17/08	HTGC	Fund	CEF	Closed-End Funds	Henriquez Manuel A	CA	DO	P,CEO	P	6	5.96	2	1	0	637	D	-44	-42	-35	-39	-29	-27	-22	-5	1	0	27	-25	50	104
11/12/08 10:34	11/11/08	HTGC	Fund	CEF	Closed-End Funds	Henriquez Manuel A	CA	DO	P,CEO	P	24	6.85	2	4	1	636	D	-40	-37	-31	-35	-32	-13	-22	-16	-1	-6	9	-9	47	88
9/16/08 13:05	9/15/08	HTGC	Fund	CEF	Closed-End Funds	Chow Joseph W	CA	D		P	20	9.80	2	2	4	50	I	-3	-9	-7	-4	7	-3	-1	-2	-2	3	-12	-22	-51	21
9/15/08 15:34	9/15/08	HTGC	Fund	CEF	Closed-End Funds	Woodward Allyn C Jr	CA	D		P	19	9.68	2	2	4	55	D	2	-6	-6	1	4	-4	-2	3	-2	5	-11	-27	-54	18
9/10/08 11:42	9/9/08	HTGC	Fund	CEF	Closed-End Funds	Chow Joseph W	CA	D		P	20	9.86	2	2	4	48	I	1	-7	-11	0	3	-5	-6	-2	2	-1	-18	-20	-56	21
8/20/08 10:56	8/19/08	HTGC	Fund	CEF	Closed-End Funds	Chow Joseph W	MA	D		P	10	10.22	2	1	2	46	I	6	-5	-9	6	26	7	-1	-3	2	-1	-7	-39	-54	13
6/16/08 12:58	6/13/08	HTGC	Fund	CEF	Closed-End Funds	Woodward Allyn C Jr	MA	D		P	20	10.09	2	2	4	51	D	4	-16	-4	-7	3	-1	1	2	2	-2	-21	1	-26	-4
6/13/08 11:43	6/12/08	HTGC	Fund	CEF	Closed-End Funds	Shah Parag	MA	O	Senior M	P	7	9.94	2	1	1	52	D	2	-17	-7	-10	0	-5	-3	1	3	3	-17	3	-21	0
6/12/08 11:21	6/11/08	HTGC	Fund	CEF	Closed-End Funds	Henriquez Manuel A	CA	DO	P,CEO	P	20	9.90	2	2	0	633	D	-1	-18	-12	-12	0	-2	-5	-3	1	5	-14	4	-21	2
6/11/08 14:49	6/10/08	HTGC	Fund	CEF	Closed-End Funds	Badavas Robert P	MA	D		P	20	10.06	3	2	6	33	I	2	-18	-8	-11	3	0	-3	-2	-2	2	-15	0	-20	1
6/11/08 11:05	6/10/08	HTGC	Fund	CEF	Closed-End Funds	Henriquez Manuel A	CA	DO	P,CEO	P	10	9.86	3	1	0	631	D	2	-18	-8	-11	3	0	-3	-2	-2	2	-15	0	-20	1
6/10/08 10:39	6/9/08	HTGC	Fund	CEF	Closed-End Funds	Bhaumik Sam	CA	O	Senior M	P	1	9.94	3	0	0	44	D	1	-18	-10	-11	0	-2	-5	-2	2	6	-15	4	-20	3
5/21/08 13:45	5/20/08	HTGC	Fund	CEF	Closed-End Funds	Henriquez Manuel A	CA	DO	P,CEO	P	10	10.00	4	1	0	630	D	0	-22	-10	-14	-3	2	0	-1	0	3	3	6	-35	-3
5/16/08 15:28	5/16/08	HTGC	Fund	CEF	Closed-End Funds	Bhaumik Sam	CA	O	Senior M	P	5	10.13	4	1	1	44	D	1	-22	-10	-12	-4	3	-2	1	-1	3	4	8	-33	0
5/16/08 12:21	5/15/08	HTGC	Fund	CEF	Closed-End Funds	Badavas Robert P	MA	D		P.m	10	10.10	4	1	3	31	I	1	-22	-10	-12	-4	3	-2	1	-1	3	4	8	-33	0
5/15/08 10:48	5/14/08	HTGC	Fund	CEF	Closed-End Funds	Woodward Allyn C Jr	MA	D		P	21	10.51	4	2	4	49	D	1	-21	-9	-15	-4	-1	0	0	0	0	2	6	-31	1
5/14/08 15:26	5/13/08	HTGC	Fund	CEF	Closed-End Funds	Henriquez Manuel A	CA	DO	P,CEO	P.m	15	10.12	3	2	0	629	D	3	-21	-8	-14	-7	0	1	-2	0	0	-1	8	-27	-2
3/13/08 17:52	3/13/08	HTGC	Fund	CEF	Closed-End Funds	Badavas Robert P	MA	D		P	11	11.46	3	1	4	28	I	20	-3	3	0	6	-3	0	-2	-1	-1	-8	-12	-8	-60
11/20/07 16:13	11/20/07	HTGC	Fund	CEF	Closed-End Funds	Henriquez Manuel A	CA	DO	P,CEO	P	23	11.33	2	2	0	571	I	27	-5	-16	-2	-11	-9	0	-3	0	-1	2	8	-6	-38
11/19/07 18:10	11/19/07	HTGC	Fund	CEF	Closed-End Funds	Badavas Robert P	MA	D		P	23	11.63	2	2	9	25	D	27	-4	-14	-1	-9	-7	-1	-2	-2	-2	-1	6	-8	-40
11/19/07 14:29	11/19/07	HTGC	Fund	CEF	Closed-End Funds	Henriquez Manuel A	CA	DO	P,CEO	P	12	11.52	2	1	0	569	I	27	-4	-14	-1	-9	-7	-1	-2	-2	-4	-2	5	-10	-42
9/11/07 15:35	9/11/07	HTGC	Fund	CEF	Closed-End Funds	Henriquez Manuel A	CA	DO	P,CEO	P	4	11.71	4	0	0	568	D	7	9	-9	-11	-3	-3	-2	-4	0	3	13	1	4	-7
9/4/07 11:29	8/31/07	HTGC	Fund	CEF	Closed-End Funds	Henriquez Manuel A	CA	DO	P,CEO	P.m	136	11.83	4	12	2	568	D	7	9	-8	-13	-12	-7	-5	-3	4	0	14	3	3	-2
8/20/07 09:46	8/17/07	HTGC	Fund	CEF	Closed-End Funds	Badavas Robert P	MA	D		P	12	12.20	4	1	2	43	I	5	12	-9	-11	-9	1	-4	-2	-1	1	4	-1	3	-5
8/17/07 16:03	8/16/07	HTGC	Fund	CEF	Closed-End Funds	Stettenbenz Shane	CA	O	CTO	P	4	12.00	4	0	12	3	D	2	11	-10	-13	-11	1	-2	-4	-1	1	-1	0	2	-4
8/17/07 15:54	8/16/07	HTGC	Fund	CEF	Closed-End Funds	Henriquez Manuel A	CA	DO	P,CEO	P	2	12.00	4	0	0	556	D	2	11	-10	-13	-11	1	-2	-4	1	2	1	2	4	-3
8/14/07 09:59	8/13/07	HTGC	Fund	CEF	Closed-End Funds	Chow Joseph W	MA	D		P	77	12.88	4	6	17	42	D	11	16	-3	-9	-5	-4	9	-1	-1	-4	-5	-6	1	-6
8/9/07 17:19	8/8/07	HTGC	Fund	CEF	Closed-End Funds	Badavas Robert P	MA	D		P	13	13.12	4	1	5	21	D	10	17	-6	-8	-1	-2	6	11	-1	-3	-8	-3	-5	-23
6/15/07 17:13	6/15/07	HTGC	Fund	CEF	Closed-End Funds	Stettenbenz Shane	CA	O	CTO	P	5	13.55	4	0	14	3	D	25	23	3	4	-2	-5	0	-1	3	0	-3	-9	-12	-16
6/15/07 12:17	6/14/07	HTGC	Fund	CEF	Closed-End Funds	Stettenbenz Shane	CA	O	CTO	P	5	13.45	4	0	9	5	M	25	23	3	4	-2	-5	0	-1	0	0	-3	-9	-12	-16
6/11/07 11:19	6/8/07	HTGC	Fund	CEF	Closed-End Funds	Badavas Robert P	MA	D		P	8	13.44	3	1	4	16	I		24	2	2	-2	-5	-5	0	1	1	1	-9	-9	-18

D	Derivative transaction in filing (usually option exercise)
M	Multiple transactions in filing; earliest reported transaction date and weighted average transaction price
A	Amended filing
E	Error detected in filing

S - Sale	Sale of securities on an exchange or to another person
S - Sale+OE	Sale of securities on an exchange or to another person (after option exercise)
F - Tax	Payment of exercise price or tax liability using portion of securities received from the company
P - Purchase	Purchase of securities on an exchange or from another person

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