HTGC - Hercules Capital, Inc. - Insider Stock Trading

TC	Stat	Stk	Ins	Fil	+d	+w	+m	+q	+h	+y	avg
P	%ret	1	11	98	1	2	5	13	18	30	11
P	%wins				72	76	72	73	57	63	69

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
5/9/23 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
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	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
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
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
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
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
8/9/13 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
8/7/13 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
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
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
3/5/12 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
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 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
6/3/11 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
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
5/10/11 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
12/1/10 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
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
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
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
6/8/07 12:56	6/7/07	HTGC	Fund	CEF	Closed-End Funds	Badavas Robert P	MA	D		P	26	13.54	3	2	7	31	M		23	3	2	0	-5	-3	-3	0	0	2	-8	-9	-17
3/14/07 17:21	3/14/07	HTGC	Fund	CEF	Closed-End Funds	Badavas Robert P	MA	D		P	13	13.09	1	1	9	12	D		23	15	-5	-6	-7	-6	-4	2	2	6	5	-5	-2
3/6/07 14:03	3/5/07	HTGC	Fund	CEF	Closed-End Funds	Chow Joseph W	MA	D		P	20	13.40	1	2	6	28	D		33	19	-1	-3	-1	-6	-4	3	1	2	6	-8	-5
3/5/07 16:50	3/5/07	HTGC	Fund	CEF	Closed-End Funds	Badavas Robert P	MA	D		P	13	13.41	1	1	10	11	D		37	22	4	1	3	-1	1	3	1	2	9	-7	-5
3/5/07 16:13	3/5/07	HTGC	Fund	CEF	Closed-End Funds	Stettenbenz Shane	CA	O	CTO	P	5	13.50	1	0	19	2	D		37	22	4	1	3	-1	1	3	1	2	9	-7	-5
3/5/07 16:10	3/5/07	HTGC	Fund	CEF	Closed-End Funds	Henriquez Manuel A	CA	DO	P,CEO	P	27	13.28	1	2	0	556	D		37	22	4	1	3	-1	1	3	1	2	9	-7	-5
2/16/07 16:59	2/16/07	HTGC	Fund	CEF	Closed-End Funds	Stettenbenz Shane	CA	O	CTO	P	5	13.99	1	0	23	2	D		42	23	5	1	2	0	3	2	2	-5	4	-10	-7
2/14/07 09:42	2/13/07	HTGC	Fund	CEF	Closed-End Funds	Badavas Robert P	MA	D		P	14	13.97	1	1	11	10	D		39	21	4	-2	-1	-1	0	2	3	-3	6	-5	-2
2/13/07 09:31	2/12/07	HTGC	Fund	CEF	Closed-End Funds	Chow Joseph W	MA	D		P	70	13.90	1	5	23	27	D		37	20	4	-2	-2	-2	-4	1	5	-4	7	-3	-2
11/21/06 13:03	11/21/06	HTGC	Fund	CEF	Closed-End Funds	Badavas Robert P	MA	D		P	14	13.50	1	1	16	7	D		32	16	15	3	-1	0	0	1	1	2	8	10	-7
11/3/06 14:22	10/31/06	HTGC	Fund	CEF	Closed-End Funds	Badavas Robert P	MA	D		P	14	13.85	1	1	19	6	D		23	14	14	10	4	-1	-2	0	1	3	7	11	0
9/14/06 12:46	9/13/06	HTGC	Fund	CEF	Closed-End Funds	Badavas Robert P	MA	D		P	12	12.00	0	1	44	3	D		6	12	8	4	5	5	5	0	-1	5	13	13	7
9/12/06 13:02	9/11/06	HTGC	Fund	CEF	Closed-End Funds	Badavas Robert P	MA	D		P	12	11.88	0	1	80	2	D		2	7	3	0	0	1	0	1	3	12	18	14	10
11/10/05 15:12	11/9/05	HTGC	Fund	CEF	Closed-End Funds	Henriquez Manuel A	CA	DOT	P,CEO	P	11	11.00	1	1	0	343	D				-23	-15	6	-4	-8	0	3	5	5	20	40
11/10/05 15:11	11/9/05	HTGC	Fund	CEF	Closed-End Funds	Lund David Michael	CA	O	Prin.Fin	P	22	10.90	1	2	New	2	D				-23	-15	6	-4	-8	0	3	5	5	20	40
11/3/05 15:04	11/1/05	HTGC	Fund	CEF	Closed-End Funds	Henriquez Manuel A	CA	DOT	P,CEO	P	2	11.09	1	0	0	342	D				-11	-5	18	13	9	-2	-11	1	-6	7	23
10/31/05 15:48	10/27/05	HTGC	Fund	CEF	Closed-End Funds	Henriquez Manuel A	CA	DO	P,CEO	P	95	10.51	1	9	3	342	D				-16	-13	-1	9	1	1	5	2	4	7	36
8/22/05 17:27	8/12/05	HTGC	Fund	CEF	Closed-End Funds	Woodward Allyn C Jr	MA	D		P	56	14.00	1	4	New	4	D					6	3	0	-2	1	-2	-7	-17	-17	-6

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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