HERCULES CAPITAL INC

Ticker: HTGC CUSIP: 427096508 Class: COM

Sumitomo Mitsui DS Asset Management Company, Ltd's Holding History (CIK: 0001411530)

Note: Option positions (PUT/CALL) are excluded.

Q1 2019

Shares 198,490 Value ($000) $2,512 Avg Close $12.74 Range $10.95 - $14.17

Q4 2018

Shares 224,079 Value ($000) $2,476 Avg Close $12.20 Range $10.57 - $13.30

Q3 2018

Shares 256,513 Value ($000) $3,375 Avg Close $13.34 Range $12.56 - $13.70

Q2 2018

Shares 270,871 Value ($000) $3,426 Avg Close $12.37 Range $11.95 - $13.03

Q1 2018

Shares 409,092 Value ($000) $4,950 Avg Close $12.54 Range $11.55 - $13.38

Q4 2017

Shares 493,805 Value ($000) $6,478 Avg Close $13.07 Range $12.29 - $13.97

Q3 2017

Shares 720,876 Value ($000) $9,299 Avg Close $12.83 Range $11.64 - $13.54

Q2 2017

Shares 660,459 Value ($000) $8,744 Avg Close $13.89 Range $12.29 - $15.68

Q1 2017

Shares 542,251 Value ($000) $8,204 Avg Close $14.66 Range $14.01 - $15.50

Q4 2016

Shares 305,048 Value ($000) $4,304 Avg Close $13.61 Range $12.50 - $14.34

Q3 2016

Shares 134,333 Value ($000) $1,821 Avg Close $13.33 Range $12.33 - $14.00

Q2 2016

Shares 108,860 Value ($000) $1,352 Avg Close $12.15 Range $11.55 - $12.47

Q1 2016

Shares 108,860 Value ($000) $1,307 Avg Close $11.11 Range $9.92 - $12.42

Q4 2015

Shares 108,860 Value ($000) $1,327 Avg Close $11.25 Range $10.08 - $12.64

Q3 2015

Shares 138,820 Value ($000) $1,403 Avg Close $11.34 Range $9.88 - $12.26

Q2 2015

Shares 134,070 Value ($000) $1,548 Avg Close $12.99 Range $11.40 - $14.22

Q1 2015

Shares 71,840 Value ($000) $968 Avg Close $14.66 Range $13.26 - $15.71

Q4 2014

Shares 86,950 Value ($000) $1,293 Avg Close $15.09 Range $13.14 - $16.20

Q3 2014

Shares 123,140 Value ($000) $1,780 Avg Close $15.83 Range $14.35 - $16.99

Q2 2014

Shares 108,840 Value ($000) $1,758 Avg Close $14.64 Range $12.95 - $16.31

Q1 2014

Shares 64,680 Value ($000) $910 Avg Close $15.67 Range $14.05 - $16.63

Q4 2013

Shares 52,680 Value ($000) $863 Avg Close $16.14 Range $14.78 - $17.25

Period	Shares	Value ($000)	Average Close	Price Range
Q1 2019	198,490	$2,512	$12.74	$10.95 - $14.17
Q4 2018	224,079	$2,476	$12.20	$10.57 - $13.30
Q3 2018	256,513	$3,375	$13.34	$12.56 - $13.70
Q2 2018	270,871	$3,426	$12.37	$11.95 - $13.03
Q1 2018	409,092	$4,950	$12.54	$11.55 - $13.38
Q4 2017	493,805	$6,478	$13.07	$12.29 - $13.97
Q3 2017	720,876	$9,299	$12.83	$11.64 - $13.54
Q2 2017	660,459	$8,744	$13.89	$12.29 - $15.68
Q1 2017	542,251	$8,204	$14.66	$14.01 - $15.50
Q4 2016	305,048	$4,304	$13.61	$12.50 - $14.34
Q3 2016	134,333	$1,821	$13.33	$12.33 - $14.00
Q2 2016	108,860	$1,352	$12.15	$11.55 - $12.47
Q1 2016	108,860	$1,307	$11.11	$9.92 - $12.42
Q4 2015	108,860	$1,327	$11.25	$10.08 - $12.64
Q3 2015	138,820	$1,403	$11.34	$9.88 - $12.26
Q2 2015	134,070	$1,548	$12.99	$11.40 - $14.22
Q1 2015	71,840	$968	$14.66	$13.26 - $15.71
Q4 2014	86,950	$1,293	$15.09	$13.14 - $16.20
Q3 2014	123,140	$1,780	$15.83	$14.35 - $16.99
Q2 2014	108,840	$1,758	$14.64	$12.95 - $16.31
Q1 2014	64,680	$910	$15.67	$14.05 - $16.63
Q4 2013	52,680	$863	$16.14	$14.78 - $17.25