HERCULES CAPITAL INC

Ticker: HTGC CUSIP: 427096508 Class: COM

NWAM LLC's Holding History (CIK: 0001655006)

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

Q4 2017

Shares 11,800 Value ($000) $155 Avg Close $13.07 Range $12.29 - $13.97

Q3 2017

Shares 22,950 Value ($000) $296 Avg Close $12.83 Range $11.64 - $13.54

Q1 2017

Shares 18,800 Value ($000) $284 Avg Close $14.66 Range $14.01 - $15.50

Period	Shares	Value ($000)	Average Close	Price Range
Q4 2017	11,800	$155	$13.07	$12.29 - $13.97
Q3 2017	22,950	$296	$12.83	$11.64 - $13.54
Q1 2017	18,800	$284	$14.66	$14.01 - $15.50