| Date | Issuer | Type | Security | Price | Units | Value | |
|---|---|---|---|---|---|---|---|
| Hercules Capital Inc. | A | Common Stock | |||||
| Hercules Capital Inc. | A | Common Stock | |||||
| Hercules Capital Inc. | A | Common Stock | |||||
| Hercules Capital Inc. | A | Stock Option (right to buy) | |||||
| Auspex Pharmaceuticals, Inc. | U | Common Stock |