HERCULES CAPITAL INC

CUSIP: 427096AF9 Class: DBCV 4.375% 2/0

LEVEL FOUR ADVISORY SERVICES, LLC's Holding History (CIK: 0001696715)

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

Q4 2018
Shares 30,000 Value ($000) $28 Avg Close — Range —
Q3 2018
Shares 245,000 Value ($000) $237 Avg Close — Range —
Q2 2018
Shares 245,000 Value ($000) $244 Avg Close — Range —