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Senior Secured, Maturity Date June 2026, Prime + 3.00%, Floor rate 6.50%, PIK Interest 1.00%, 5.95% Exit Fee2023-09-30xbrli:pure0001280784Debt Investments Biotechnology Tools and PathAI, Inc., Senior Secured, Maturity Date January 2027, Prime + 2.15%, Floor rate 9.15%, 11.21% Exit Fee2023-09-300001280784Debt Investments Biotechnology Tools (2.02%)2023-09-300001280784Debt Investments Communications & Networking and Aryaka Networks, Inc. Senior Secured, Maturity Date July 2026, Prime + 3.25%, Floor rate 6.75%, PIK Interest 1.05%, 3.55% Exit Fee2023-09-300001280784Debt Investments Communications & Networking and Cytracom Holdings LLC Senior Secured, Maturity Date February 2025, 3-month SOFR + 9.72%, Floor rate 10.62%2023-09-300001280784Debt Investments Communications & Networking and Rocket Lab Global Services, LLC Senior Secured, Maturity Date June 2024, Prime + 4.90%, Floor rate 8.15%, PIK Interest 1.25%, 3.25% Exit Fee2023-09-300001280784Debt Investments Communications & Networking (6.41%)2023-09-300001280784Debt Investments Consumer & Business Services and AppDirect, Inc. Senior Secured, Maturity Date April 2026, Prime + 5.50%, Floor rate 8.75%, 7.12% Exit Fee2023-09-300001280784Debt Investments Consumer & Business Services and Carwow LTD Senior Secured, Maturity Date December 2024, Prime + 4.70%, Floor rate 7.95%, PIK Interest 1.45%, 4.95% Exit Fee2023-09-30iso4217:GBP0001280784Debt Investments Consumer & Business Services and Houzz, Inc. Convertible Debt, Maturity Date May 2028, PIK Interest 7.00%2023-09-300001280784Debt Investments Consumer & Business Services and Jobandtalent USA, Inc. Senior Secured, Maturity Date February 2025, 1-month SOFR + 8.86, Floor rate 9.75%, 3.00% Exit Fee2023-09-300001280784Debt Investments Consumer & Business Services and Provi, Senior Secured, Maturity Date December 2026, Prime + 4.40%, Floor rate 10.65%, 2.95% Exit Fee2023-09-300001280784Debt Investments Consumer & Business Services and Rhino Labs, Inc. Senior Secured, Maturity Date March 2024, Prime + 5.50%, Floor rate 8.75%, PIK Interest 2.25%2023-09-300001280784Debt Investments Consumer & Business Services and Riviera Partners LLC. Senior Secured, Maturity Date April 2027, 3-month SOFR + 7.53%, Floor rate 8.53%2023-09-300001280784Debt Investments Consumer & Business Services and RVShare, LLC, Senior Secured, Maturity Date December 2026, 3-month SOFR + 5.50%, Floor rate 6.50%, PIK Interest 4.00%2023-09-300001280784Debt Investments Consumer & Business Services and SeatGeek, Inc., Senior Secured, Maturity Date May 2026, Prime + 7.00%, Floor rate 10.50%, PIK Interest 0.05%, 1.00% Exit Fee2023-09-300001280784Debt Investments Consumer & Business Services and SeatGeek, Inc. Senior Secured, Maturity Date July 2025, Prime + 2.50%, Floor rate 10.75%, PIK Interest 0.50%2023-09-300001280784Debt Investments Consumer & Business Services and SeatGeek, Inc.2023-09-300001280784Debt Investments Consumer & Business Services and Skyword, Inc. Senior Secured, Maturity Date November 2026, Prime + 2.75%, Floor rate 9.25%, PIK Interest 1.75%, 3.00% Exit Fee2023-09-300001280784Debt Investments Consumer & Business Services and Tectura Corporation, Senior Secured, Maturity Date July 2024 One, PIK Interest 5.00%2023-09-300001280784Debt Investments Consumer & Business Services and Tectura Corporation, Senior Secured, Maturity Date July 2024, FIXED 8.25%2023-09-300001280784Debt Investments Consumer & Business Services, Tectura Corporation2023-09-300001280784Debt Investments Consumer & Business Services and Thumbtack, Inc. Senior Secured, Maturity Date April 2026, Prime + 4.95%, Floor rate 8.20%, PIK Interest 1.50%, 3.95% Exit Fee2023-09-300001280784Debt Investments Consumer & Business Services and Udacity, Inc. Senior Secured, Maturity Date September 2024, Prime + 4.50%, Floor rate 7.75%, PIK Interest 2.00%, 3.00% Exit Fee2023-09-300001280784Debt Investments Consumer & Business Services and Veem, Inc. Senior Secured, Maturity Date March 2025, Prime + 4.00%, Floor rate 7.25%, PIK Interest 1.25%, 4.50% Exit Fee2023-09-300001280784Debt Investments Consumer & Business Services and Veem, Inc. Senior Secured, Maturity Date March 2025, Prime + 4.70%, Floor rate 7.95%, PIK Interest 1.50%, 4.50% Exit Fee2023-09-300001280784Debt Investments Consumer & Business Services, Veem, Inc.2023-09-300001280784Debt Investments Consumer & Business Services and Worldremit Group Limited, Senior Secured, Maturity Date February 2025, 3-month SOFR + 9.40%, Floor rate 10.25%, 3.20% Exit Fee2023-09-300001280784Debt Investments Consumer & Business Services and Worldremit Group Limited, Senior Secured, Maturity Date February 2025, 1-month SOFR + 9.35%, Floor rate 10.25%, 3.20% Exit Fee2023-09-300001280784Debt Investments Consumer & Business Services and Worldremit Group Limited2023-09-300001280784Debt Investments Consumer & Business Services (29.37%)2023-09-300001280784Debt Investments Diversified Financial Services and Gibraltar Acquisition, LLC (p.k.a. Gibraltar Business Capital, LLC), Unsecured, Maturity Date September 2026, FIXED 11.50%2023-09-300001280784Debt Investments Diversified Financial Services and Gibraltar Acquisition, LLC (p.k.a. Gibraltar Business Capital, LLC), UnSecured, Maturity Date September 2026, Fixed + 11.95%2023-09-300001280784Debt Investments Diversified Financial Services and Gibraltar Acquisition, LLC (p.k.a. Gibraltar Business Capital, LLC)2023-09-300001280784Debt Investments Diversified Financial Services and Hercules Adviser LLC, Unsecured, Maturity Date June 2025, FIXED 5.00%2023-09-300001280784Debt Investments Diversified Financial Services and Next Insurance, Inc, Senior Secured, Maturity Date February 2028, Prime + -1.50%, Floor rate 4.75%, PIK Interest 5.50%2023-09-300001280784Debt Investments Diversified Financial Services (3.44%)2023-09-300001280784Debt Investments Drug Discovery & Development and Akero Therapeutics, Inc. Senior Secured, Maturity Date January 2027, Prime + 3.65%, Floor rate 7.65%, 5.85% Exit Fee2023-09-300001280784Debt Investments Drug Discovery & Development and Aldeyra Therapeutics, Inc. Senior Secured, Maturity Date October 2024, Prime + 3.10%, Floor rate 8.60%, 8.90% Exit Fee2023-09-300001280784Debt Investments Drug Discovery & Development and Alladapt Immunotherapeutics Inc. Senior Secured, Maturity Date September 2026, Prime + 3.65%, Floor rate 8.40%, Cap rate 10.90%, 5.30% Exit Fee2023-09-300001280784Debt Investments Drug Discovery & Development and AmplifyBio, LLC, Senior Secured, Maturity Date January 2027, Prime + 2.50%, Floor rate 9.50%, Cap rate 10.75%, 5.85% Exit Fee2023-09-300001280784Debt Investments Drug Discovery & Development and ATAI Life Sciences N.V. Senior Secured, Maturity Date August 2026, Prime + 4.55%, Floor rate 8.55%, 6.95% Exit Fee2023-09-300001280784Debt Investments Drug Discovery & Development and Axsome Therapeutics, Inc. Senior Secured, Maturity Date January 2028 Prime + 2.20%, Floor rate 9.95%, Cap rate 10.70%, 5.78% Exit Fee2023-09-300001280784Debt Investments Drug Discovery & Development and Bicycle Therapeutics PLC, Senior Secured, Maturity Date July 2025, Prime + 4.55%, Floor rate 8.05%, Cap rate 9.05%, 5.00% Exit Fee2023-09-300001280784Debt Investments Drug Discovery & Development and BiomX, INC, Senior Secured, Maturity Date September 2025, Prime + 5.70%, Floor rate 8.95%, 6.55% Exit Fee2023-09-300001280784Debt Investments Drug Discovery & Development and Braeburn, Inc., Senior Secured, Maturity Date October2028, Prime + 2.45%, Floor rate 10.95%, PIK Interest 1.10%, 5.45% Exit Fee2023-09-300001280784Debt Investments Drug Discovery & Development and BridgeBio Pharma, Inc. Senior Secured, Maturity Date November 2026, FIXED 9.00%, 2.00% Exit Fee2023-09-300001280784Debt Investments Drug Discovery & Development and Cellarity, Inc. Senior Secured, Maturity Date June 2026, Prime + 5.70%, Floor rate 8.95%, 3.75% Exit Fee2023-09-300001280784Debt Investments Drug Discovery & Development and Compass Pathways plc Senior Secured, Maturity Date June 2026, Prime + 1.50%, Floor rate 9.75%, PIK Interest 1.40%, 4.75% Exit Fee2023-09-300001280784Debt Investments Drug Discovery & Development and Corium, Inc. Senior Secured, Maturity Date September 2026, Prime + 5.70%, Floor rate 8.95%, 7.75% Exit Fee2023-09-300001280784Debt Investments Drug Discovery & Development and Curevo, Inc. Senior Secured, Maturity Date June 2027 Prime + 1.70%, Floor rate 9.70%, 6.95% Exit Fee2023-09-300001280784Debt Investments Drug Discovery & Development and Eloxx Pharmaceuticals, Inc. Senior Secured, Maturity Date April 2025, Prime + 6.25%, Floor rate 9.50%, 6.55% Exit Fee2023-09-300001280784Debt Investments Drug Discovery & Development and enGene, Inc. Senior Secured, Maturity Date July 2025, Prime + 5.00%, Floor rate 8.25%, 6.35% Exit Fee2023-09-300001280784Debt Investments Drug Discovery & Development and G1 Therapeutics, Inc. Senior Secured, Maturity Date November 2026, Prime + 5.65%, Floor rate 9.15%, 11.41% Exit Fee2023-09-300001280784Debt Investments Drug Discovery & Development and Geron Corporation, Senior Secured, Maturity Date April 2025, Prime + 5.75%, Floor rate 9.00%, 6.55% Exit Fee2023-09-300001280784Debt Investments Drug Discovery & Development and Gritstone Bio, Inc. Senior Secured, Maturity Date July 2027, Prime + 3.15%, Floor rate 7.15%, Cap rate 8.65%, PIK Interest 2.00%, 5.75% Exit Fee2023-09-300001280784Debt Investments Drug Discovery & Development and Heron Therapeutics, Inc.. Senior Secured, Maturity Date February 2026, Prime + 1.70%, Floor rate 9.95%, PIK Interest 1.50%, 3.00% Exit Fee2023-09-300001280784Debt Investments Drug Discovery & Development and Hibercell, Inc. Senior Secured, Maturity Date May 2025, Prime + 5.40%, Floor rate 8.65%, 4.95% Exit Fee2023-09-300001280784Debt Investments Drug Discovery & Development and HilleVax, Inc. Senior Secured, Maturity Date May 2027, Prime + 1.05%, Floor rate 4.55%, Cap rate 6.05%, PIK Interest 2.85%, 7.15% Exit Fee2023-09-300001280784Debt Investments Drug Discovery & Development and Kura Oncology, Inc. Senior Secured, Maturity Date November 2027, Prime + 2.40%, Floor rate 8.65%, 15.13% Exit Fee2023-09-300001280784Debt Investments Drug Discovery & Development and Locus Biosciences, Inc. Senior Secured, Maturity Date July 2025, Prime + 6.10%, Floor rate 9.35%, 4.95% Exit Fee2023-09-300001280784Debt Investments Drug Discovery & Development and Madrigal Pharmaceutical, Inc. Senior Secured, Maturity Date May 2026, Prime + 2.45%, Floor rate 8.25%, 5.35% Exit Fee2023-09-300001280784Debt Investments Drug Discovery & Development and Phathom Pharmaceuticals, Inc. Senior Secured, Maturity Date October 2026, Prime + 2.25%, Floor rate 5.50%, PIK Interest 3.35%, 7.50% Exit Fee2023-09-300001280784Debt Investments Drug Discovery & Development and Redshift Bioanalytics, Inc. Senior Secured, Maturity Date January 2026, Prime + 4.25%, Floor rate 7.50%, 3.80% Exit Fee2023-09-300001280784Debt Investments Drug Discovery & Development and Replimune Group, Inc. Senior Secured, Maturity Date October 2027, Prime + 1.75%, Floor rate 7.25%, Cap rate 9.00%, PIK Interest 1.50%, 4.95% Exit Fee2023-09-300001280784Debt Investments Drug Discovery & Development and Tarsus Pharmaceuticals, Inc. Senior Secured, Maturity Date February 2027, Prime + 4.45%, Floor rate 8.45%, Cap rate 11.45%, 4.75% Exit Fee2023-09-300001280784Debt Investments Drug Discovery & Development and TG Therapeutics, Inc. Senior Secured, Maturity Date January 2026, Prime + 1.20%, Floor rate 8.95%, PIK Interest 2.25%, 5.69% Exit Fee2023-09-300001280784Debt Investments Drug Discovery & Development and uniQure B.V. Senior Secured, Maturity Date December 2025, Prime + 4.70%, Floor rate 7.95%, 6.10% Exit Fee2023-09-300001280784Debt Investments Drug Discovery & Development and Valo Health, LLC, Senior Secured, Maturity Date May 2024, Prime + 6.45%, Floor rate 9.70%, 3.85% Exit Fee2023-09-300001280784Debt Investments Drug Discovery & Development and Viridian Therapeutics, Inc. Senior Secured, Maturity Date October 2026, Prime + 4.20%, Floor rate 7.45%, Cap rate 8.95%, 6.00% Exit Fee2023-09-300001280784Debt Investments Drug Discovery & Development and X4 Pharmaceuticals, Inc. Senior Secured, Maturity Date April 2026, Prime + 3.15%, Floor rate 10.15%, 6.35% Exit Fee2023-09-300001280784Debt Investments Drug Discovery & Development (69.33%)2023-09-300001280784Debt Investments Electronics & Computer Hardware and Locus Robotics Corp. Senior Secured, Maturity Date June 2026, Prime + 4.50%, Floor rate 8.00%, 1.00% Exit Fee2023-09-300001280784Debt Investments Electronics & Computer Hardware (1.16%)2023-09-300001280784Debt Investments Healthcare Services, Other and Better Therapeutics, Inc. Senior Secured, Maturity Date August 2025, Prime + 5.70%, Floor rate 8.95%, 5.95% Exit Fee2023-09-300001280784Debt Investments Healthcare Services, Other and Blue Sprig Pediatrics, Inc. Senior Secured, Maturity Date November 2026, 1-month SOFR + 5.11%, Floor rate 6.00%, PIK Interest 4.45%2023-09-300001280784Debt Investments Healthcare Services, Other and Carbon Health Technologies, Inc. Senior Secured, Maturity Date March 2025, Prime + 5.60%, Floor rate 8.85%, 4.61% Exit Fee2023-09-300001280784Debt Investments Healthcare Services, Other and Equality Health, LLC, Senior Secured, Maturity Date February 2026, Prime + 6.25%, Floor rate 9.50%, PIK Interest 1.55%2023-09-300001280784Debt Investments Healthcare Services, Other and Main Street Rural, Inc. Senior Secured, Maturity Date July 2027, Prime + 1.95%, Floor rate 9.95%, 6.85% Exit Fee2023-09-300001280784Debt Investments Healthcare Services, Other and Modern Life, Inc. Senior Secured, Maturity Date February 2027, Prime + 2.75%, Floor rate 8.75%, 3.00% Exit Fee2023-09-300001280784Debt Investments Healthcare Services, Other and Recover Together, Inc. Senior Secured, Maturity Date July 2027 Prime + 1.90%, Floor rate 10.15%, 7.50% Exit Fee2023-09-300001280784Debt Investments Healthcare Services, Other and Strive Health Holdings, LLC Senior Secured, Maturity Date September 2027, Prime + 0.70%, Floor rate 9.20%, 5.95% Exit Fee2023-09-300001280784Debt Investments Healthcare Services, Other and Vida Health, Inc. Senior Secured, Maturity Date March 2026, 9.20% + Lower of (Prime - 3.25% or 1.00%), Floor rate 9.20%, Cap rate 10.20%, 4.95% Exit Fee2023-09-300001280784srt:MinimumMemberDebt Investments Healthcare Services, Other and Vida Health, Inc. Senior Secured, Maturity Date March 2026, 9.20% + Lower of (Prime - 3.25% or 1.00%), Floor rate 9.20%, Cap rate 10.20%, 4.95% Exit Fee2023-09-300001280784Debt Investments Healthcare Services, Other and Vida Health, Inc. Senior Secured, Maturity Date March 2026, 9.20% + Lower of (Prime - 3.25% or 1.00%), Floor rate 9.20%, Cap rate 10.20%, 4.95% Exit Feesrt:MaximumMember2023-09-300001280784Debt Investments Healthcare Services, Other (16.72%)2023-09-300001280784Debt Investments Information Services and Capella Space Corp. Senior Secured, Maturity Date November 2025, Prime + 5.00%, Floor rate 8.25%, PIK Interest 1.10%, 7.00% Exit Fee2023-09-300001280784Debt Investments Information Services and Checkr Group, Inc. Senior Secured, Maturity Date August 2028, Prime + 1.45%, Floor rate 8.00%, PIK Interest 2.00%, 2.75% Exit Fee2023-09-300001280784Debt Investments Information Services and Saama Technologies, LLC Senior Secured, Maturity Date July 2027, Prime + 0.70%, Floor rate 8.95%, PIK Interest 2.00%, 2.95% Exit Fee2023-09-300001280784Debt Investments Information Services and Signal Media Limited, Senior Secured, Maturity Date June 2025, Prime + 5.50%, Floor rate 9.00%, Cap rate 12.00%, 3.45% Exit Fee2023-09-300001280784Debt Investments Information Services and Yipit, LLC, Senior Secured, Maturity Date September 2026, 1-month SOFR + 8.47%, Floor rate 9.37%2023-09-300001280784Debt Investments Information Services (7.03%)2023-09-300001280784Debt Investments Manufacturing Technology and Bright Machines, Inc. Senior Secured, Maturity Date April 2025, Prime + 4.00%, Floor rate 9.50%, 5.00% Exit Fee2023-09-300001280784Debt Investments Manufacturing Technology and Ouster, Inc. Senior Secured, Maturity Date May 2026, Prime + 6.15%, Floor rate 9.40%, 7.45% Exit Fee2023-09-300001280784Debt Investments Manufacturing Technology (1.44%)2023-09-300001280784Debt Investments Media/Content/Info and Fever Labs, Inc. Senior Secured, Maturity Date September 2026, Prime + 3.50%, Floor rate 9.00%, 1.00% Exit Fee2023-09-300001280784Debt Investments Media/Content/Info and Fever Labs, Inc. Senior Secured, Maturity Date September 2025, Prime + 3.50%, Floor rate 9.00%, 1.00% Exit Fee2023-09-300001280784Debt Investments Media/Content/Info and Fever Labs, Inc. Senior Secured, Maturity Date December 2025, Prime + 3.50%, Floor rate 9.00%, 1.00% Exit Fee2023-09-300001280784Debt Investments Media/Content/Info and Fever Labs, Inc. Senior Secured, Maturity Date March 2026, Prime + 3.50%, Floor rate 9.00%, 1.00% Exit Fee2023-09-300001280784Debt Investments Media/Content/Info and Fever Labs, Inc. , Maturity Date June 2026, Prime + 3.50%, Floor rate 9.00%, 1.00% Exit Fee2023-09-300001280784Debt Investments Media/Content/Info and Fever Labs, Inc.2023-09-300001280784Debt Investments Media/Content/Info (0.78%)2023-09-300001280784Debt Investments Medical Devices & Equipment and Senseonics Holdings, Inc. Prime + 1.40%, Floor rate 9.90%, 6.95% Exit Fee2023-09-300001280784Debt Investments Medical Devices & Equipment (1.30%) 2023-09-300001280784Debt Investments Software and 3GTMS, LLC, Senior Secured, Maturity Date February 2025, 6-month SOFR + 9.70%, Floor rate 10.60%2023-09-300001280784Debt Investments Software and 3GTMS, LLC, Senior Secured, Maturity Date February 2025, 3-month SOFR + 6.88%, Floor rate 7.78%2023-09-300001280784Debt Investments Software and 3GTMS, LLC2023-09-300001280784Debt Investments Software and Agilence, Inc. Senior Secured, Maturity Date October 2026, 1-month BSBY + 9.00%, Floor rate 10.00%2023-09-300001280784Debt Investments Software and Alchemer LLC, Senior Secured, Maturity Date May 2028, 1-month SOFR + 8.14%, Floor rate 9.14%2023-09-300001280784Debt Investments Software and Allvue Systems, LLC, Senior Secured, Maturity Date September 2029, 6-month SOFR + 7.25%, Floor rate 8.25%2023-09-300001280784Debt Investments Software and Annex Cloud, Senior Secured, Maturity Date February 2027, 1-month BSBY + 8.99%, Floor rate 9.99%2023-09-300001280784Debt Investments Software and Automation Anywhere, Inc. Senior Secured, Maturity Date September 2027, Prime + 4.25%, Floor rate 9.00%, 3.50% Exit Fee2023-09-300001280784Debt Investments Software and Babel Street, Senior Secured, Maturity Date December 2027, 3-month SOFR + 7.89%, Floor rate 8.89%2023-09-300001280784Debt Investments Software and Brain Corporation, Senior Secured, Maturity Date April 2026, PRIME + 3.70%, Floor rate 9.20%, PIK Interest 1.00%, 3.95% Exit Fee2023-09-300001280784Debt Investments Software and Campaign Monitor Limited, Senior Secured, Maturity Date November 2025, 3-month SOFR + 9.05%, Floor rate 9.90%2023-09-300001280784Debt Investments Software and Catchpoint Systems, Inc., Senior Secured, Maturity Date November 2025, 3-month SOFR + 9.41%, Floor rate 11.81%2023-09-300001280784Debt Investments Software and Ceros, Inc., Senior Secured, Maturity Date September 2026, 6-month LIBOR + 8.99%, Floor rate 9.89%2023-09-300001280784Debt Investments Software and Ceros Inc, Senior Secured, Maturity Date September 2026,6-month SOFR + 8.89%, Floor rate 9.89%2023-09-300001280784Debt Investments Software and Ceros, Inc2023-09-300001280784Debt Investments Software and Constructor Corporation, Senior Secured, Maturity Date July 2027, 1-month SOFR + 8.44%, Floor rate 9.44%2023-09-300001280784Debt Investments Software and Convoy, Inc., Senior Secured, Maturity Date March 2026, Prime + 3.20%, Floor rate 6.45%, PIK Interest 1.95%, 4.55% Exit Fee2023-09-300001280784Debt Investments Software and Copper CRM, Inc, Senior Secured, Maturity Date March 2025, Prime + 4.50%, Floor rate 8.25%, Cap rate 10.25%, PIK Interest 1.95%, 4.14% Exit Fee2023-09-300001280784Debt Investments Software and Cutover, Inc., Senior Secured, Maturity Date October 2025, Prime + 5.20%, Floor rate 9.95%, 4.95% Exit Fee2023-09-300001280784Debt Investments Software and Cybermaxx Intermediate Holdings, Inc., Senior Secured, Maturity Date August 2026, 6-month SOFR + 8.63%, Floor rate 9.38%2023-09-300001280784Debt Investments Software and Cybermaxx Intermediate Holdings, Inc., Senior Secured, Maturity Date August 2026, 6-month SOFR + 12.36%, Floor rate 13.11%2023-09-300001280784Debt Investments Software and Cybermaxx Intermediate Holdings, Inc.2023-09-300001280784Debt Investments Software and Dashlane, Inc., Senior Secured, Maturity Date July 2025, Prime + 3.05%, Floor rate 7.55%, PIK Interest 1.10%, 2.39% Exit Fee2023-09-300001280784Debt Investments Software and Dispatch Technologies, Inc., Senior Secured, Maturity Date April 2028, 3-month SOFR + 8.01%, Floor rate 8.76%2023-09-300001280784Debt Investments Software and DroneDeploy, Inc., Senior Secured, Maturity Date July 2026, Prime + 4.50%, Floor rate 8.75%, 4.00% Exit Fee2023-09-300001280784Debt Investments Software and Eigen Technologies Ltd., Senior Secured, Maturity Date April 2025, Prime + 5.10%, Floor rate 8.35%, 2.95% Exit Fee2023-09-300001280784Debt Investments Software and Elation Health, Inc., Senior Secured, Maturity Date March 2026, Prime + 4.25%, Floor rate 9.00%, PIK Interest 1.95%, 3.95% Exit Fee2023-09-300001280784Debt Investments Software and Enmark Systems, Inc., Senior Secured, Maturity Date September 2026, 3-month SOFR + 6.88%, Floor rate 7.73%, PIK Interest 2.14%2023-09-300001280784Debt Investments Software and Flight Schedule Pro, LLC, Senior Secured, Maturity Date October 2027, 1-month SOFR + 7.80%, Floor rate 8.70%2023-09-300001280784Debt Investments Software and Fortified Health Security, Senior Secured, Maturity Date December 2027, 6-month SOFR + 7.79%, Floor rate 8.54%2023-09-300001280784Debt Investments Software and Ikon Science Limited, Senior Secured, Maturity Date October 2024, 3-month SOFR + 9.26%, Floor rate 10.00%2023-09-300001280784Debt Investments Software and Imperva, Inc., Senior Secured, Maturity Date January 2027, 3-month SOFR + 8.01%, Floor rate 8.75%2023-09-300001280784Debt Investments Software and Khoros (p.k.a Lithium Technologies), Senior Secured, Maturity Date January 2025, 3-month SOFR + 4.50%, Floor rate 5.50%, PIK Interest 4.50%2023-09-300001280784Debt Investments Software and Kore.ai, Inc., Senior Secured, Maturity Date April 2027, Prime + 1.50%, Floor rate 9.25%, PIK Interest 2.20%, 2.27% Exit Fee2023-09-300001280784Debt Investments Software and Leapwork ApS., Senior Secured, Maturity Date February 2026, Prime + 0.25%, Floor rate 7.25%, PIK Interest 1.95%, 2.70% Exit Fee2023-09-300001280784Debt Investments Software and LinenMaster, LLC., Senior Secured, Maturity Date August 2028 1-month SOFR + 6.25%, Floor rate 7.25%, PIK Interest 2.15%2023-09-300001280784Debt Investments Software and Loftware, Inc., Senior Secured, Maturity Date March 2028, 3-month SOFR + 7.88%, Floor rate 8.88%2023-09-300001280784Debt Investments Software and LogicSource, Senior Secured, Maturity Date July 2027, 3-month SOFR + 8.93%, Floor rate 9.93%2023-09-300001280784Debt Investments Software and Mobile Solutions Services, Senior Secured, Maturity Date December 2025, 3-month SOFR + 9.21%, Floor rate 10.06%2023-09-300001280784Debt Investments Software and Nuvolo Technologies Corporation, Senior Secured, Maturity Date July 2026, Prime + 5.25%, Floor rate 8.50%, 2.42% Exit Fee2023-09-300001280784Debt Investments Software and Omeda Holdings, LLC, Senior Secured, Maturity Date July 2027, 3-month SOFR + 8.05%, Floor rate 9.05%2023-09-300001280784Debt Investments Software and Onna Technologies, Inc., Senior Secured, Maturity Date March 2026, Prime + 1.35%, Floor rate 8.85%, PIK Interest, 1.75%, 4.45% Exit Fee2023-09-300001280784Debt Investments Software and Salary.com, LLC, Senior Secured, Maturity Date September 2027, 3-month SOFR + 8.00%, Floor rate 9.00%2023-09-300001280784Debt Investments Software and ShadowDragon, LLC, Senior Secured, Maturity Date December 2026, 6-month SOFR + 9.05%, Floor rate 9.95%2023-09-300001280784Debt Investments Software and Simon Data, Inc., Senior Secured, Maturity Date March 2027, Prime + 1.00%, Floor rate 8.75%, PIK Interest 1.95%, 2.95% Exit Fee2023-09-300001280784Debt Investments Software and Sisense Ltd., Senior Secured, Maturity Date July 2027, Prime + 1.50%, Floor rate 9.50%, PIK Interest 1.95%, 2.55% Exit Fee2023-09-300001280784Debt Investments Software and Streamline Healthcare Solutions, Senior Secured, Maturity Date March 2028, 1-month SOFR + 7.25%, Floor rate 8.25%2023-09-300001280784Debt Investments Software and Sumo Logic, Inc., Senior Secured, Maturity Date May 2030, 3-month SOFR + 6.50%, Floor rate 7.50%2023-09-300001280784Debt Investments Software and Suzy, Inc.., Senior Secured, Maturity Date August 2027, Prime + 1.75%, Floor rate 10.00%, PIK Interest 1.95%, 3.45% Exit Fee2023-09-300001280784Debt Investments Software and Tact.ai Technologies, Inc., Senior Secured, Maturity Date February 2024, Prime + 4.00%, Floor rate 8.75%, PIK Interest 2.00%, 5.50% Exit Fee2023-09-300001280784Debt Investments Software and ThreatConnect, Inc., Senior Secured, Maturity Date May 2026, 6-month SOFR + 9.25%, Floor rate 10.00%2023-09-300001280784Debt Investments Software and Tipalti Solutions Ltd., Senior Secured, Maturity Date April 2027, Prime + 0.45%, Floor rate 7.95%, PIK Interest 2.00%, 3.75% Exit Fee2023-09-300001280784Debt Investments Software and Zappi, Inc., Senior Secured, Maturity Date December 2027, 3-month SOFR + 8.03%, Floor rate 9.03%2023-09-300001280784Debt Investments Software and Zimperium, Inc., Senior Secured, Maturity Date May 2027, 3-month SOFR + 8.31%, Floor rate 9.31%2023-09-300001280784Debt Investments Software (47.79%)2023-09-300001280784Debt Investments Sustainable and Renewable Technology and Ampion, PBC, Senior Secured, Maturity Date May 2025, Prime + 4.70%, Floor rate 7.95%, PIK Interest 1.45%, 3.95% Exit Fee2023-09-300001280784Debt Investments Sustainable and Renewable Technology and Pineapple Energy LLC, Senior Secured, Maturity Date June 2027, FIXED 10.00%2023-09-300001280784Debt Investments Sustainable and Renewable Technology (0.36%)2023-09-300001280784Debt Investments (187.15%)2023-09-300001280784Equity Investments Consumer & Business Products and Fabletics, Inc., Equity, Acquisition Date 4/30/2010, Series Common Stock2023-01-012023-09-300001280784Equity Investments Consumer & Business Products and Fabletics, Inc., Equity, Acquisition Date 4/30/2010, Series Common Stock2023-09-300001280784Equity Investments Consumer & Business Products and Equity, Acquisition Date 7/16/2013, Series Preferred Series B2023-01-012023-09-300001280784Equity Investments Consumer & Business Products and Equity, Acquisition Date 7/16/2013, Series Preferred Series B2023-09-300001280784Equity Investments Consumer & Business Products and Fabletics, Inc.2023-09-300001280784Equity Investments Consumer & Business Products and Grove Collaborative, Inc., Equity, Acquisition Date 4/30/2021, Series Common Stock2023-01-012023-09-300001280784Equity Investments Consumer & Business Products and Grove Collaborative, Inc., Equity, Acquisition Date 4/30/2021, Series Common Stock2023-09-300001280784Equity Investments Consumer & Business Products and Savage X Holding, LLC, Equity, Acquisition Date 4/30/2010, Series Class A Units2023-01-012023-09-300001280784Equity Investments Consumer & Business Products and Savage X Holding, LLC, Equity, Acquisition Date 4/30/2010, Series Class A Units2023-09-300001280784Equity Investments Consumer & Business Products and TFG Holding, Inc., Equity, Acquisition Date 4/30/2010, Series Common Stock2023-01-012023-09-300001280784Equity Investments Consumer & Business Products and TFG Holding, Inc., Equity, Acquisition Date 4/30/2010, Series Common Stock2023-09-300001280784Equity Investments Consumer & Business Products (0.12%)2023-09-300001280784Equity Investments Consumer & Business Services and Carwow LTD, Equity, Acquisition Date 12/15/2021, Series Preferred Series D-42023-01-012023-09-300001280784Equity Investments Consumer & Business Services and Carwow LTD, Equity, Acquisition Date 12/15/2021, Series Preferred Series D-42023-09-300001280784Equity Investments Consumer & Business Services and DoorDash, Inc., Equity, Acquisition Date 12/20/2018, Series Common Stock2023-01-012023-09-300001280784Equity Investments Consumer & Business Services and DoorDash, Inc., Equity, Acquisition Date 12/20/2018, Series Common Stock2023-09-300001280784Equity Investments Consumer & Business Services and Lyft, Inc., Equity, Acquisition Date 12/26/2018, Series Common Stock2023-01-012023-09-300001280784Equity Investments Consumer & Business Services and Lyft, Inc., Equity, Acquisition Date 12/26/2018, Series Common Stock2023-09-300001280784Equity Investments Consumer & Business Services and Nerdy Inc., Equity, Acquisition Date 9/17/2021, Series Common Stock2023-01-012023-09-300001280784Equity Investments Consumer & Business Services and Nerdy Inc., Equity, Acquisition Date 9/17/2021, Series Common Stock2023-09-300001280784Equity Investments Consumer & Business Services and OfferUp, Inc., Equity, Acquisition Date 10/25/2016, Series Preferred Series A2023-01-012023-09-300001280784Equity Investments Consumer & Business Services and OfferUp, Inc., Equity, Acquisition Date 10/25/2016, Series Preferred Series A2023-09-300001280784Equity Investments Consumer & Business Services and OfferUp, Inc., Equity, Acquisition Date 10/25/2016, Series Preferred Series A-12023-01-012023-09-300001280784Equity Investments Consumer & Business Services and OfferUp, Inc., Equity, Acquisition Date 10/25/2016, Series Preferred Series A-12023-09-300001280784Equity Investments Consumer & Business Services and Total OfferUp, Inc.2023-09-300001280784Equity Investments Consumer & Business Services and Oportun, Equity, Acquisition Date 6/28/2013, Series Common Stock2023-01-012023-09-300001280784Equity Investments Consumer & Business Services and Oportun, Equity, Acquisition Date 6/28/2013, Series Common Stock2023-09-300001280784Equity Investments Consumer & Business Services and Reischling Press, Inc., Acquisition Date 7/31/2020, Series Common Stock2023-01-012023-09-300001280784Equity Investments Consumer & Business Services and Reischling Press, Inc., Acquisition Date 7/31/2020, Series Common Stock2023-09-300001280784Equity Investments Consumer & Business Services and Rhino Labs, Inc., Equity, Acquisition Date 1/24/2022, Series Preferred Series B-22023-01-012023-09-300001280784Equity Investments Consumer & Business Services and Rhino Labs, Inc., Equity, Acquisition Date 1/24/2022, Series Preferred Series B-22023-09-300001280784Equity Investments Consumer & Business Services and Tectura Corporation, Equity, Acquisition Date 5/23/2018, Series Common Stock2023-01-012023-09-300001280784Equity Investments Consumer & Business Services and Tectura Corporation, Equity, Acquisition Date 5/23/2018, Series Common Stock2023-09-300001280784Equity Investments Consumer & Business Services and Tectura Corporation, Equity, Acquisition Date 6/6/2016, Series Preferred Series BB2023-01-012023-09-300001280784Equity Investments Consumer & Business Services and Tectura Corporation, Equity, Acquisition Date 6/6/2016, Series Preferred Series BB2023-09-300001280784Equity Investments Consumer & Business Services and Total Tectura Corporation2023-09-300001280784Equity Investments Consumer & Business Services (0.59%)2023-09-300001280784Equity Investments Diversified Financial Services and Gibraltar Acquisition, LLC (p.k.a. Gibraltar Business Capital, LLC), Equity, Acquisition Date 3/1/2018, Series Member Units2023-01-012023-09-300001280784Equity Investments Diversified Financial Services and Gibraltar Acquisition, LLC (p.k.a. Gibraltar Business Capital, LLC), Equity, Acquisition Date 3/1/2018, Series Member Units2023-09-300001280784Equity Investments Diversified Financial Services and Hercules Adviser LLC, Equity, Acquisition Date 3/26/2021, Series Member Units2023-01-012023-09-300001280784Equity Investments Diversified Financial Services and Hercules Adviser LLC, Equity, Acquisition Date 3/26/2021, Series Member Units2023-09-300001280784Equity Investments Diversified Financial Services and Newfront Insurance Holdings, Inc., Equity, Acquisition Date 9/30/2021, Series Preferred Series D-22023-01-012023-09-300001280784Equity Investments Diversified Financial Services and Newfront Insurance Holdings, Inc., Equity, Acquisition Date 9/30/2021, Series Preferred Series D-22023-09-300001280784Equity Investments Diversified Financial Services (3.06%)2023-09-300001280784Equity Investments Drug Delivery and AcelRx Pharmaceuticals, Inc., Equity, Acquisition Date 12/10/2018, Series Common Stock2023-01-012023-09-300001280784Equity Investments Drug Delivery and AcelRx Pharmaceuticals, Inc., Equity, Acquisition Date 12/10/2018, Series Common Stock2023-09-300001280784Equity Investments Drug Delivery and Aytu BioScience, Inc., Equity, Acquisition Date 3/28/2014, Series Common Stock2023-01-012023-09-300001280784Equity Investments Drug Delivery and Aytu BioScience, Inc., Equity, Acquisition Date 3/28/2014, Series Common Stock2023-09-300001280784Equity Investments Drug Delivery and BioQ Pharma Incorporated, Equity, Acquisition Date 12/8/2015, Series Preferred Series D2023-01-012023-09-300001280784Equity Investments Drug Delivery and BioQ Pharma Incorporated, Equity, Acquisition Date 12/8/2015, Series Preferred Series D2023-09-300001280784Equity Investments Drug Delivery and PDS Biotechnology Corporation, Equity, Acquisition Date 4/6/2015, Series Common Stock2023-01-012023-09-300001280784Equity Investments Drug Delivery and PDS Biotechnology Corporation, Equity, Acquisition Date 4/6/2015, Series Common Stock2023-09-300001280784Equity Investments Drug Delivery (0.00%)2023-09-300001280784Equity Investments Drug Discovery & Development and Applied Molecular Transport, Equity, Acquisition Date 4/6/2021, Series Common Stock2023-01-012023-09-300001280784Equity Investments Drug Discovery & Development and Applied Molecular Transport, Equity, Acquisition Date 4/6/2021, Series Common Stock2023-09-300001280784Equity Investments Drug Discovery & Development and Avalo Therapeutics, Inc., Equity, Acquisition Date 8/19/2014, Series Common Stock2023-01-012023-09-300001280784Equity Investments Drug Discovery & Development and Avalo Therapeutics, Inc., Equity, Acquisition Date 8/19/2014, Series Common Stock2023-09-300001280784Equity Investments Drug Discovery & Development and Axsome Therapeutics, Inc., Equity, Acquisition Date 5/9/2022, Series Common Stock2023-01-012023-09-300001280784Equity Investments Drug Discovery & Development and Axsome Therapeutics, Inc., Equity, Acquisition Date 5/9/2022, Series Common Stock2023-09-300001280784Equity Investments Drug Discovery & Development and Bicycle Therapeutics PLC, Equity, Acquisition Date 10/5/2020, Series Common Stock2023-01-012023-09-300001280784Equity Investments Drug Discovery & Development and Bicycle Therapeutics PLC, Equity, Acquisition Date 10/5/2020, Series Common Stock2023-09-300001280784Equity Investments Drug Discovery & Development and BridgeBio Pharma, Inc., Equity, Acquisition Date 6/21/2018, Series Common Stock2023-01-012023-09-300001280784Equity Investments Drug Discovery & Development and BridgeBio Pharma, Inc., Equity, Acquisition Date 6/21/2018, Series Common Stock2023-09-300001280784Equity Investments and Drug Discovery & Development and Dare Biosciences, Inc., Equity, Acquisition Date 1/8/2015, Series Common Stock2023-01-012023-09-300001280784Equity Investments and Drug Discovery & Development and Dare Biosciences, Inc., Equity, Acquisition Date 1/8/2015, Series Common Stock2023-09-300001280784Equity Investments Drug Discovery & Development and Dynavax Technologies, Equity, Acquisition Date 7/22/2015, Series Common Stock2023-01-012023-09-300001280784Equity Investments Drug Discovery & Development and Dynavax Technologies, Equity, Acquisition Date 7/22/2015, Series Common Stock2023-09-300001280784Equity Investments Drug Discovery & Development and Gritstone Bio, Inc., Equity, Acquisition Date 10/26/2022, Series Common Stock2023-01-012023-09-300001280784Equity Investments Drug Discovery & Development and Gritstone Bio, Inc., Equity, Acquisition Date 10/26/2022, Series Common Stock2023-09-300001280784Equity Investments Drug Discovery & Development and Heron Therapeutics, Inc., Equity, Acquisition Date 7/25/2023, Series Common Stock2023-01-012023-09-300001280784Equity Investments Drug Discovery & Development and Heron Therapeutics, Inc., Equity, Acquisition Date 7/25/2023, Series Common Stock2023-09-300001280784Equity Investments Drug Discovery & Development and Hibercell, Inc., Equity, Acquisition Date 5/7/2021, Series Preferred Series B2023-01-012023-09-300001280784Equity Investments Drug Discovery & Development and Hibercell, Inc., Equity, Acquisition Date 5/7/2021, Series Preferred Series B2023-09-300001280784Equity Investments Drug Discovery & Development and HilleVax, Inc, Equity, Acquisition Date 5/3/2022, Series Common Stock2023-01-012023-09-300001280784Equity Investments Drug Discovery & Development and HilleVax, Inc, Equity, Acquisition Date 5/3/2022, Series Common Stock2023-09-300001280784Equity Investments Drug Discovery & Development and Humanigen, Inc., Equity, Acquisition Date 3/31/2021, Series Common Stock2023-01-012023-09-300001280784Equity Investments Drug Discovery & Development and Humanigen, Inc., Equity, Acquisition Date 3/31/2021, Series Common Stock2023-09-300001280784Equity Investments Drug Discovery & Development and Kura Oncology, Inc., Equity, Acquisition Date 6/16/2023, Series Common Stock2023-01-012023-09-300001280784Equity Investments Drug Discovery & Development and Kura Oncology, Inc., Equity, Acquisition Date 6/16/2023, Series Common Stock2023-09-300001280784Equity Investments Drug Discovery & Development and Madrigal Pharmaceutical, Inc., Equity, Acquisition Date 9/29/2023, Series Common Stock2023-01-012023-09-300001280784Equity Investments Drug Discovery & Development and Madrigal Pharmaceutical, Inc., Equity, Acquisition Date 9/29/2023, Series Common Stock2023-09-300001280784Equity Investments Drug Discovery & Development and NorthSea Therapeutics, Equity, Acquisition Date 12/15/2021, Series Preferred Series C2023-01-012023-09-300001280784Equity Investments Drug Discovery & Development and NorthSea Therapeutics, Equity, Acquisition Date 12/15/2021, Series Preferred Series C2023-09-300001280784Equity Investments Drug Discovery & Development and Phathom Pharmaceuticals, Inc., Equity, Acquisition Date 6/9/2023, Series Common Stock2023-01-012023-09-300001280784Equity Investments Drug Discovery & Development and Phathom Pharmaceuticals, Inc., Equity, Acquisition Date 6/9/2023, Series Common Stock2023-09-300001280784Equity Investments Drug Discovery & Development and Rocket Pharmaceuticals, Ltd., Equity, Acquisition Date 8/22/2007, Series Common Stock2023-01-012023-09-300001280784Equity Investments Drug Discovery & Development and Rocket Pharmaceuticals, Ltd., Equity, Acquisition Date 8/22/2007, Series Common Stock2023-09-300001280784Equity Investments Drug Discovery & Development and Savara, Inc., Equity, Acquisition Date 8/11/2015, Series Common Stock2023-01-012023-09-300001280784Equity Investments Drug Discovery & Development and Savara, Inc., Equity, Acquisition Date 8/11/2015, Series Common Stock2023-09-300001280784Equity Investments Drug Discovery & Development and Sio Gene Therapies, Inc., Equity, Acquisition Date 2/2/2017, Series Common Stock2023-01-012023-09-300001280784Equity Investments Drug Discovery & Development and Sio Gene Therapies, Inc., Equity, Acquisition Date 2/2/2017, Series Common Stock2023-09-300001280784Equity Investments Drug Discovery & Development and Tarsus Pharmaceuticals, Inc., Equity, Acquisition Date 5/5/2022, Series Common Stock2023-01-012023-09-300001280784Equity Investments Drug Discovery & Development and Tarsus Pharmaceuticals, Inc., Equity, Acquisition Date 5/5/2022, Series Common Stock2023-09-300001280784Equity Investments Drug Discovery & Development and uniQure B.V., Equity, Acquisition Date 1/31/2019, Series Common Stock2023-01-012023-09-300001280784Equity Investments Drug Discovery & Development and uniQure B.V., Equity, Acquisition Date 1/31/2019, Series Common Stock2023-09-300001280784Equity Investments Drug Discovery & Development and Valo Health, LLC, Equity, Acquisition Date 12/11/2020, Series Preferred Series B2023-01-012023-09-300001280784Equity Investments Drug Discovery & Development and Valo Health, LLC, Equity, Acquisition Date 12/11/2020, Series Preferred Series B2023-09-300001280784Equity Investments Drug Discovery & Development and Valo Health, LLC, Equity, Acquisition Date 10/31/2022, Series Preferred Series C2023-01-012023-09-300001280784Equity Investments Drug Discovery & Development and Valo Health, LLC, Equity, Acquisition Date 10/31/2022, Series Preferred Series C2023-09-300001280784Equity Investments Drug Discovery & Development, Valo Health LLC2023-09-300001280784Equity Investments Drug Discovery & Development and Verge Analytics, Inc., Equity, Acquisition Date 9/6/2023, Series Preferred Series C2023-01-012023-09-300001280784Equity Investments Drug Discovery & Development and Verge Analytics, Inc., Equity, Acquisition Date 9/6/2023, Series Preferred Series C2023-09-300001280784Equity Investments Drug Discovery & Development and X4 Pharmaceuticals, Inc., Equity, Acquisition Date 11/26/2019, Series Common Stock2023-01-012023-09-300001280784Equity Investments Drug Discovery & Development and X4 Pharmaceuticals, Inc., Equity, Acquisition Date 11/26/2019, Series Common Stock2023-09-300001280784Equity Investments Drug Discovery & Development (2.14%)2023-09-300001280784Equity Investments Electronics & Computer Hardware and Locus Robotics Corp., Equity, Acquisition Date 11/17/2022, Series Preferred Series F2023-01-012023-09-300001280784Equity Investments Electronics & Computer Hardware and Locus Robotics Corp., Equity, Acquisition Date 11/17/2022, Series Preferred Series F2023-09-300001280784Equity Investments Electronics & Computer Hardware and Skydio, Inc., Equity, Acquisition Date 3/8/2022, Series Preferred Series E2023-01-012023-09-300001280784Equity Investments Electronics & Computer Hardware and Skydio, Inc., Equity, Acquisition Date 3/8/2022, Series Preferred Series E2023-09-300001280784Equity Investments Electronics & Computer Hardware (0.05%)2023-09-300001280784Equity Investments Healthcare Services, Other and 23andMe, Inc., Equity, Acquisition Date 3/11/2019, Series Common Stock2023-01-012023-09-300001280784Equity Investments Healthcare Services, Other and 23andMe, Inc., Equity, Acquisition Date 3/11/2019, Series Common Stock2023-09-300001280784Equity Investments Healthcare Services, Other and Carbon Health Technologies, Inc., Equity, Acquisition Date 3/30/2021, Series Preferred Series C2023-01-012023-09-300001280784Equity Investments Healthcare Services, Other and Carbon Health Technologies, Inc., Equity, Acquisition Date 3/30/2021, Series Preferred Series C2023-09-300001280784Equity Investments Healthcare Services, Other (0.08%)2023-09-300001280784Equity Investments Information Services and Planet Labs, Inc., Equity, Acquisition Date 6/21/2019, Series Common Stock2023-01-012023-09-300001280784Equity Investments Information Services and Planet Labs, Inc., Equity, Acquisition Date 6/21/2019, Series Common Stock2023-09-300001280784Equity Investments Information Services and Yipit, LLC, Equity, Acquisition Date 12/30/2021, Series Preferred Series E2023-01-012023-09-300001280784Equity Investments Information Services and Yipit, LLC, Equity, Acquisition Date 12/30/2021, Series Preferred Series E2023-09-300001280784Equity Investments Information Services (0.36%)2023-09-300001280784Equity Investments Medical Devices & Equipment and Coronado Aesthetics, LLC, Equity, Acquisition Date 10/15/2021, Series Common Units2023-01-012023-09-300001280784Equity Investments Medical Devices & Equipment and Coronado Aesthetics, LLC, Equity, Acquisition Date 10/15/2021, Series Common Units2023-09-300001280784Equity Investments Medical Devices & Equipment and Coronado Aesthetics, LLC, Equity, Acquisition Date 10/15/2021, Series Preferred Series A-22023-01-012023-09-300001280784Equity Investments Medical Devices & Equipment and Coronado Aesthetics, LLC, Equity, Acquisition Date 10/15/2021, Series Preferred Series A-22023-09-300001280784Equity Investments Medical Devices & Equipment, Coronado Aesthetics, LLC2023-09-300001280784Equity Investments Medical Devices & Equipment and Gelesis, Inc., Equity, Acquisition Date 11/30/2009, Series Common Stock2023-01-012023-09-300001280784Equity Investments Medical Devices & Equipment and Gelesis, Inc., Equity, Acquisition Date 11/30/2009, Series Common Stock2023-09-300001280784Equity Investments Medical Devices & Equipment and ViewRay, Inc., Equity, Acquisition Date 12/16/2013, Series Common Stock2023-01-012023-09-300001280784Equity Investments Medical Devices & Equipment and ViewRay, Inc., Equity, Acquisition Date 12/16/2013, Series Common Stock2023-09-300001280784Equity Investments Medical Devices & Equipment (0.02%)2023-09-300001280784Equity Investments Semiconductors and Achronix Semiconductor Corporation, Equity, Acquisition Date 7/1/2011, Series Preferred Series C2023-01-012023-09-300001280784Equity Investments Semiconductors and Achronix Semiconductor Corporation, Equity, Acquisition Date 7/1/2011, Series Preferred Series C2023-09-300001280784Equity Investments Semiconductors (0.02%)2023-09-300001280784Equity Investments Software and 3GTMS, LLC, Equity, Acquisition Date 8/9/2021, Series Common Stock2023-01-012023-09-300001280784Equity Investments Software and 3GTMS, LLC, Equity, Acquisition Date 8/9/2021, Series Common Stock2023-09-300001280784Equity Investments Software and Black Crow AI, Inc. affiliates, Equity, Acquisition Date 3/24/2021, Series Preferred Note2023-01-012023-09-300001280784Equity Investments Software and Black Crow AI, Inc. affiliates, Equity, Acquisition Date 3/24/2021, Series Preferred Note2023-09-300001280784Equity Investments Software and CapLinked, Inc., Equity, Acquisition Date 10/26/2012, Series Preferred Series A-32023-01-012023-09-300001280784Equity Investments Software and CapLinked, Inc., Equity, Acquisition Date 10/26/2012, Series Preferred Series A-32023-09-300001280784Equity Investments Software and Contentful Global, Inc., Equity, Acquisition Date 12/22/2020, Series Preferred Series C2023-01-012023-09-300001280784Equity Investments Software and Contentful Global, Inc., Equity, Acquisition Date 12/22/2020, Series Preferred Series C2023-09-300001280784Equity Investments Software and Contentful Global, Inc., Equity, Acquisition Date 11/20/2018, Series Preferred Series D2023-01-012023-09-300001280784Equity Investments Software and Contentful Global, Inc., Equity, Acquisition Date 11/20/2018, Series Preferred Series D2023-09-300001280784Equity Investments Software, Contentful Global, Inc.2023-09-300001280784Equity Investments Software and Docker, Inc., Equity, Acquisition Date 11/29/2018, Series Common Stock2023-01-012023-09-300001280784Equity Investments Software and Docker, Inc., Equity, Acquisition Date 11/29/2018, Series Common Stock2023-09-300001280784Equity Investments Software and Druva Holdings, Inc., Equity, Acquisition Date 10/22/2015, Series Preferred Series 22023-01-012023-09-300001280784Equity Investments Software and Druva Holdings, Inc., Equity, Acquisition Date 10/22/2015, Series Preferred Series 22023-09-300001280784Equity Investments Software and Druva Holdings, Inc., Equity, Acquisition Date 8/24/2017, Series Preferred Series 32023-01-012023-09-300001280784Equity Investments Software and Druva Holdings, Inc., Equity, Acquisition Date 8/24/2017, Series Preferred Series 32023-09-300001280784Equity Investments Software, Druva Holdings, Inc.2023-09-300001280784Equity Investments Software and HighRoads, Inc., Equity, Acquisition Date 1/18/2013, Series Common Stock2023-01-012023-09-300001280784Equity Investments Software and HighRoads, Inc., Equity, Acquisition Date 1/18/2013, Series Common Stock2023-09-300001280784Equity Investments Software and Leapwork ApS., Equity, Acquisition Date 8/25/2023, Series Preferred Series B22023-01-012023-09-300001280784Equity Investments Software and Leapwork ApS., Equity, Acquisition Date 8/25/2023, Series Preferred Series B22023-09-300001280784Equity Investments Software and Lightbend, Inc., Equity, Acquisition Date 12/4/2020, Series Common Stock2023-01-012023-09-300001280784Equity Investments Software and Lightbend, Inc., Equity, Acquisition Date 12/4/2020, Series Common Stock2023-09-300001280784Equity Investments Software and Nextdoor.com, Inc., Equity, Acquisition Date 8/1/2018, Series Common Stock2023-01-012023-09-300001280784Equity Investments Software and Nextdoor.com, Inc., Equity, Acquisition Date 8/1/2018, Series Common Stock2023-09-300001280784Equity Investments Software and Palantir Technologies, Equity, Acquisition Date 9/23/2020, Series Common Stock2023-01-012023-09-300001280784Equity Investments Software and Palantir Technologies, Equity, Acquisition Date 9/23/2020, Series Common Stock2023-09-300001280784Equity Investments Software and SingleStore, Inc., Equity, Acquisition Date 11/25/2020, Series Preferred Series E2023-01-012023-09-300001280784Equity Investments Software and SingleStore, Inc., Equity, Acquisition Date 11/25/2020, Series Preferred Series E2023-09-300001280784Equity Investments Software and SingleStore, Inc., Equity, Acquisition Date 8/12/2021, Series Preferred Series F2023-01-012023-09-300001280784Equity Investments Software and SingleStore, Inc., Equity, Acquisition Date 8/12/2021, Series Preferred Series F2023-09-300001280784Equity Investments Software, SingleStore, Inc.2023-09-300001280784Equity Investments Software and Verana Health, Inc., Equity, Acquisition Date 7/8/2021, Series Preferred Series E2023-01-012023-09-300001280784Equity Investments Software and Verana Health, Inc., Equity, Acquisition Date 7/8/2021, Series Preferred Series E2023-09-300001280784Equity Investments Software and ZeroFox, Inc., Equity, Acquisition Date 5/7/2020, Series Common Stock2023-01-012023-09-300001280784Equity Investments Software and ZeroFox, Inc., Equity, Acquisition Date 5/7/2020, Series Common Stock2023-09-300001280784Equity Investments Software (1.57%)2023-09-300001280784Equity Investments Sustainable and Renewable Technology and Fulcrum Bioenergy, Inc., Equity, Acquisition Date 9/13/2012, Series Preferred Series C-12023-01-012023-09-300001280784Equity Investments Sustainable and Renewable Technology and Fulcrum Bioenergy, Inc., Equity, Acquisition Date 9/13/2012, Series Preferred Series C-12023-09-300001280784Equity Investments Sustainable and Renewable Technology and Impossible Foods, Inc., Equity, Acquisition Date 5/10/2019, Series Preferred Series E-12023-01-012023-09-300001280784Equity Investments Sustainable and Renewable Technology and Impossible Foods, Inc., Equity, Acquisition Date 5/10/2019, Series Preferred Series E-12023-09-300001280784Equity Investments Sustainable and Renewable Technology and Modumetal, Inc., Equity, Acquisition Date 6/1/2015, Series Common Stock2023-01-012023-09-300001280784Equity Investments Sustainable and Renewable Technology and Modumetal, Inc., Equity, Acquisition Date 6/1/2015, Series Common Stock2023-09-300001280784Equity Investments Sustainable and Renewable Technology and NantEnergy, LLC, Equity, Acquisition Date 8/31/2013, Series Common Units2023-01-012023-09-300001280784Equity Investments Sustainable and Renewable Technology and NantEnergy, LLC, Equity, Acquisition Date 8/31/2013, Series Common Units2023-09-300001280784Equity Investments Sustainable and Renewable Technology and Pineapple Energy LLC, Equity, Acquisition Date 12/10/2020, Series Common Stock2023-01-012023-09-300001280784Equity Investments Sustainable and Renewable Technology and Pineapple Energy LLC, Equity, Acquisition Date 12/10/2020, Series Common Stock2023-09-300001280784Equity Investments Sustainable and Renewable Technology and Pivot Bio, Inc., Equity, Acquisition Date 6/28/2021, Series Preferred Series D2023-01-012023-09-300001280784Equity Investments Sustainable and Renewable Technology and Pivot Bio, Inc., Equity, Acquisition Date 6/28/2021, Series Preferred Series D2023-09-300001280784Equity Investments Sustainable and Renewable Technology and Proterra, Inc., Equity, Acquisition Date 5/28/2015, Series Common Stock2023-01-012023-09-300001280784Equity Investments Sustainable and Renewable Technology and Proterra, Inc., Equity, Acquisition Date 5/28/2015, Series Common Stock2023-09-300001280784Equity Investments Sustainable and Renewable Technology (0.27%)2023-09-300001280784Equity Investments (8.29%)2023-09-300001280784Warrant Investments and Biotechnology Tools and Alamar Biosciences, Inc., Warrant, Acquisition Date 6/21/2022, Preferred Series B2023-01-012023-09-300001280784Warrant Investments and Biotechnology Tools and Alamar Biosciences, Inc., Warrant, Acquisition Date 6/21/2022, Preferred Series B2023-09-300001280784Warrant Investments and Biotechnology Tools and PathAI, Inc., Warrant, Acquisition Date 12/23/2022, Common Stock2023-01-012023-09-300001280784Warrant Investments and Biotechnology Tools and PathAI, Inc., Warrant, Acquisition Date 12/23/2022, Common Stock2023-09-300001280784Warrant Investments and Biotechnology Tools (0.02%)2023-09-300001280784Warrant Investments and Communications & Networking and Aryaka Networks, Inc., Warrant, Acquisition Date 6/28/2022, Common Stock2023-01-012023-09-300001280784Warrant Investments and Communications & Networking and Aryaka Networks, Inc., Warrant, Acquisition Date 6/28/2022, Common Stock2023-09-300001280784Warrant Investments and Communications & Networking (0.00%)2023-09-300001280784Warrant Investments and Consumer & Business Products and Gadget Guard, LLC, Warrant, Acquisition Date 6/3/2014, Common Stock2023-01-012023-09-300001280784Warrant Investments and Consumer & Business Products and Gadget Guard, LLC, Warrant, Acquisition Date 6/3/2014, Common Stock2023-09-300001280784Warrant Investments and Consumer & Business Products and The Neat Company, Warrant, Acquisition Date 8/13/2014, Common Stock2023-01-012023-09-300001280784Warrant Investments and Consumer & Business Products and The Neat Company, Warrant, Acquisition Date 8/13/2014, Common Stock2023-09-300001280784Warrant Investments and Consumer & Business Products and Whoop, Inc., Warrant, Acquisition Date 6/27/2018, Preferred Series C2023-01-012023-09-300001280784Warrant Investments and Consumer & Business Products and Whoop, Inc., Warrant, Acquisition Date 6/27/2018, Preferred Series C2023-09-300001280784Warrant Investments and Consumer & Business Products (0.01%)2023-09-300001280784Warrant Investments and Consumer & Business Services and Carwow LTD, Warrant, Acquisition Date 12/14/2021, Common Stock2023-01-012023-09-300001280784Warrant Investments and Consumer & Business Services and Carwow LTD, Warrant, Acquisition Date 12/14/2021, Common Stock2023-09-300001280784Warrant Investments and Consumer & Business Services and Houzz, Inc., Warrant, Acquisition Date 10/29/2019, Common Stock2023-01-012023-09-300001280784Warrant Investments and Consumer & Business Services and Houzz, Inc., Warrant, Acquisition Date 10/29/2019, Common Stock2023-09-300001280784Warrant Investments and Consumer & Business Services and Landing Holdings Inc., Warrant, Acquisition Date 3/12/2021, Common Stock2023-01-012023-09-300001280784Warrant Investments and Consumer & Business Services and Landing Holdings Inc., Warrant, Acquisition Date 3/12/2021, Common Stock2023-09-300001280784Warrant Investments and Consumer & Business Services and Lendio, Inc., Warrant, Acquisition Date 3/29/2019, Preferred Series D2023-01-012023-09-300001280784Warrant Investments and Consumer & Business Services and Lendio, Inc., Warrant, Acquisition Date 3/29/2019, Preferred Series D2023-09-300001280784Warrant Investments and Consumer & Business Services and Provi, Warrant, Acquisition Date 12/22/2022, Common Stock2023-01-012023-09-300001280784Warrant Investments and Consumer & Business Services and Provi, Warrant, Acquisition Date 12/22/2022, Common Stock2023-09-300001280784Warrant Investments and Consumer & Business Services and Rhino Labs, Inc., Warrant, Acquisition Date 3/12/2021, Common Stock2023-01-012023-09-300001280784Warrant Investments and Consumer & Business Services and Rhino Labs, Inc., Warrant, Acquisition Date 3/12/2021, Common Stock2023-09-300001280784Warrant Investments and Consumer & Business Services and RumbleON, Inc., Warrant, Acquisition Date 10/30/2018, Common Stock2023-01-012023-09-300001280784Warrant Investments and Consumer & Business Services and RumbleON, Inc., Warrant, Acquisition Date 10/30/2018, Common Stock2023-09-300001280784Warrant Investments and Consumer & Business Services and SeatGeek, Inc., Warrant, Acquisition Date 6/12/2019, Common Stock2023-01-012023-09-300001280784Warrant Investments and Consumer & Business Services and SeatGeek, Inc., Warrant, Acquisition Date 6/12/2019, Common Stock2023-09-300001280784Warrant Investments and Consumer & Business Services and Skyword, Inc., Warrant, Acquisition Date 11/14/2022, Common Stock2023-01-012023-09-300001280784Warrant Investments and Consumer & Business Services and Skyword, Inc., Warrant, Acquisition Date 11/14/2022, Common Stock2023-09-300001280784Warrant Investments and Consumer & Business Services and Skyword, Inc., Warrant, Acquisition Date 8/23/2019, Preferred Series B2023-01-012023-09-300001280784Warrant Investments and Consumer & Business Services and Skyword, Inc., Warrant, Acquisition Date 8/23/2019, Preferred Series B2023-09-300001280784Warrant Investments and Consumer & Business Services and Skyword, Inc.2023-09-300001280784Warrant Investments and Consumer & Business Services and Snagajob.com, Inc., Warrant, Acquisition Date 4/20/2020, Common Stock2023-01-012023-09-300001280784Warrant Investments and Consumer & Business Services and Snagajob.com, Inc., Warrant, Acquisition Date 4/20/2020, Common Stock2023-09-300001280784Warrant Investments and Consumer & Business Services and Snagajob.com, Inc., Warrant, Acquisition Date 6/30/2016, Preferred Series A2023-01-012023-09-300001280784Warrant Investments and Consumer & Business Services and Snagajob.com, Inc., Warrant, Acquisition Date 6/30/2016, Preferred Series A2023-09-300001280784Warrant Investments and Consumer & Business Services and Snagajob.com, Inc., Warrant, Acquisition Date 8/1/2018, Preferred Series B2023-01-012023-09-300001280784Warrant Investments and Consumer & Business Services and Snagajob.com, Inc., Warrant, Acquisition Date 8/1/2018, Preferred Series B2023-09-300001280784Warrant Investments and Consumer & Business Services and Snagajob.com, Inc.2023-09-300001280784Warrant Investments and Consumer & Business Services and Thumbtack, Inc., Warrant, Acquisition Date 5/1/2018, Common Stock2023-01-012023-09-300001280784Warrant Investments and Consumer & Business Services and Thumbtack, Inc., Warrant, Acquisition Date 5/1/2018, Common Stock2023-09-300001280784Warrant Investments and Consumer & Business Services and Udacity, Inc., Warrant, Acquisition Date 9/25/2020, Common Stock2023-01-012023-09-300001280784Warrant Investments and Consumer & Business Services and Udacity, Inc., Warrant, Acquisition Date 9/25/2020, Common Stock2023-09-300001280784Warrant Investments and Consumer & Business Services and Veem, Inc., Warrant, Acquisition Date 3/31/2022, Common Stock2023-01-012023-09-300001280784Warrant Investments and Consumer & Business Services and Veem, Inc., Warrant, Acquisition Date 3/31/2022, Common Stock2023-09-300001280784Warrant Investments and Consumer & Business Services and Worldremit Group Limited, Warrant, Acquisition Date 2/11/2021, Preferred Series D2023-01-012023-09-300001280784Warrant Investments and Consumer & Business Services and Worldremit Group Limited, Warrant, Acquisition Date 2/11/2021, Preferred Series D2023-09-300001280784Warrant Investments and Consumer & Business Services and Worldremit Group Limited, Warrant, Acquisition Date 8/27/2021, Preferred Series E2023-01-012023-09-300001280784Warrant Investments and Consumer & Business Services and Worldremit Group Limited, Warrant, Acquisition Date 8/27/2021, Preferred Series E2023-09-300001280784Warrant Investments and Consumer & Business Services and Worldremit Group Limited2023-09-300001280784Warrant Investments and Consumer & Business Services (0.17%)2023-09-300001280784Warrant Investments and Diversified Financial Services and Next Insurance, Inc., Warrant, Acquisition Date 2/3/2023, Common Stock2023-01-012023-09-300001280784Warrant Investments and Diversified Financial Services and Next Insurance, Inc., Warrant, Acquisition Date 2/3/2023, Common Stock2023-09-300001280784Warrant Investments and Diversified Financial Services (0.01%)2023-09-300001280784Warrant Investments and Drug Delivery and Aerami Therapeutics Holdings, Inc., Warrant, Acquisition Date 9/30/2015, Common Stock2023-01-012023-09-300001280784Warrant Investments and Drug Delivery and Aerami Therapeutics Holdings, Inc., Warrant, Acquisition Date 9/30/2015, Common Stock2023-09-300001280784Warrant Investments and Drug Delivery and BioQ Pharma Incorporated, Warrant, Acquisition Date 10/27/2014, Common Stock2023-01-012023-09-300001280784Warrant Investments and Drug Delivery and BioQ Pharma Incorporated, Warrant, Acquisition Date 10/27/2014, Common Stock2023-09-300001280784Warrant Investments and Drug Delivery and PDS Biotechnology Corporation, Warrant, Acquisition Date 8/28/2014, Common Stock2023-01-012023-09-300001280784Warrant Investments and Drug Delivery and PDS Biotechnology Corporation, Warrant, Acquisition Date 8/28/2014, Common Stock2023-09-300001280784Warrant Investments and Drug Delivery (0.00%)2023-09-300001280784Warrant Investments and Drug Discovery & Development and ADMA Biologics, Inc., Warrant, Acquisition Date 2/24/2014, Common Stock2023-01-012023-09-300001280784Warrant Investments and Drug Discovery & Development and ADMA Biologics, Inc., Warrant, Acquisition Date 2/24/2014, Common Stock2023-09-300001280784Warrant Investments and Drug Discovery & Development and Akero Therapeutics, Inc., Warrant, Acquisition Date 6/15/2022, Common Stock2023-01-012023-09-300001280784Warrant Investments and Drug Discovery & Development and Akero Therapeutics, Inc., Warrant, Acquisition Date 6/15/2022, Common Stock2023-09-300001280784 Warrant Investments and Drug Discovery & Development and AmplifyBio, LLC, Warrant, Acquisition Date 12/27/2022, Class A Units2023-01-012023-09-300001280784 Warrant Investments and Drug Discovery & Development and AmplifyBio, LLC, Warrant, Acquisition Date 12/27/2022, Class A Units2023-09-300001280784Warrant Investments and Drug Discovery & Development and Axsome Therapeutics, Inc., Warrant, Acquisition Date 9/25/2020, Common Stock2023-01-012023-09-300001280784Warrant Investments and Drug Discovery & Development and Axsome Therapeutics, Inc., Warrant, Acquisition Date 9/25/2020, Common Stock2023-09-300001280784Warrant Investments and Drug Discovery & Development and Cellarity, Inc., Warrant, Acquisition Date 12/8/2021, Preferred Series B2023-01-012023-09-300001280784Warrant Investments and Drug Discovery & Development and Cellarity, Inc., Warrant, Acquisition Date 12/8/2021, Preferred Series B2023-09-300001280784Warrant Investments and Drug Discovery & Development and Century Therapeutics, Inc., Warrant, Acquisition Date 9/14/2020, Common Stock2023-01-012023-09-300001280784Warrant Investments and Drug Discovery & Development and Century Therapeutics, Inc., Warrant, Acquisition Date 9/14/2020, Common Stock2023-09-300001280784Warrant Investments and Drug Discovery & Development and COMPASS Pathways plc, Warrant, Acquisition Date 6/30/2023, Ordinary Shares2023-01-012023-09-300001280784Warrant Investments and Drug Discovery & Development and COMPASS Pathways plc, Warrant, Acquisition Date 6/30/2023, Ordinary Shares2023-09-300001280784Warrant Investments and Drug Discovery & Development and Curevo, Inc., Warrant, Acquisition Date 6/9/2023, Common Stock2023-01-012023-09-300001280784Warrant Investments and Drug Discovery & Development and Curevo, Inc., Warrant, Acquisition Date 6/9/2023, Common Stock2023-09-300001280784Warrant Investments and Drug Discovery & Development and Dermavant Sciences Ltd., Warrant, Acquisition Date 5/31/2019, Common Stock2023-01-012023-09-300001280784Warrant Investments and Drug Discovery & Development and Dermavant Sciences Ltd., Warrant, Acquisition Date 5/31/2019, Common Stock2023-09-300001280784Warrant Investments and Drug Discovery & Development and enGene, Inc., Warrant, Acquisition Date 12/30/2021, Preferred Series 32023-01-012023-09-300001280784Warrant Investments and Drug Discovery & Development and enGene, Inc., Warrant, Acquisition Date 12/30/2021, Preferred Series 32023-09-300001280784Warrant Investments and Drug Discovery & Development and Evofem Biosciences, Inc., Warrant, Acquisition Date 6/11/2014, Common Stock2023-01-012023-09-300001280784Warrant Investments and Drug Discovery & Development and Evofem Biosciences, Inc., Warrant, Acquisition Date 6/11/2014, Common Stock2023-09-300001280784Warrant Investments and Drug Discovery & Development and Fresh Tracks Therapeutics, Inc. (p.k.a. Brickell Biotech, Inc.), Warrant, Acquisition Date 2/18/2016, Common Stock2023-01-012023-09-300001280784Warrant Investments and Drug Discovery & Development and Fresh Tracks Therapeutics, Inc. (p.k.a. Brickell Biotech, Inc.), Warrant, Acquisition Date 2/18/2016, Common Stock2023-09-300001280784Warrant Investments and Drug Discovery & Development and Heron Therapeutics, Inc., Warrant, Acquisition Date 8/9/2023, Common Stock2023-01-012023-09-300001280784Warrant Investments and Drug Discovery & Development and Heron Therapeutics, Inc., Warrant, Acquisition Date 8/9/2023, Common Stock2023-09-300001280784Warrant Investments and Drug Discovery & Development and Kineta, Inc., Warrant, Acquisition Date 12/20/2019, Common Stock2023-01-012023-09-300001280784Warrant Investments and Drug Discovery & Development and Kineta, Inc., Warrant, Acquisition Date 12/20/2019, Common Stock2023-09-300001280784Warrant Investments and Drug Discovery & Development and Kura Oncology, Inc., Warrant, Acquisition Date 11/2/2022, Common Stock2023-01-012023-09-300001280784Warrant Investments and Drug Discovery & Development and Kura Oncology, Inc., Warrant, Acquisition Date 11/2/2022, Common Stock2023-09-300001280784Warrant Investments and Drug Discovery & Development and Madrigal Pharmaceutical, Inc., Warrant, Acquisition Date 5/9/2022, Common Stock2023-01-012023-09-300001280784Warrant Investments and Drug Discovery & Development and Madrigal Pharmaceutical, Inc., Warrant, Acquisition Date 5/9/2022, Common Stock2023-09-300001280784Warrant Investments and Drug Discovery & Development and Phathom Pharmaceuticals, Inc., Warrant, Acquisition Date 9/17/2021, Common Stock2023-01-012023-09-300001280784Warrant Investments and Drug Discovery & Development and Phathom Pharmaceuticals, Inc., Warrant, Acquisition Date 9/17/2021, Common Stock2023-09-300001280784Warrant Investments and Drug Discovery & Development and Redshift Bioanalytics, Inc., Warrant, Acquisition Date 3/23/2022, Preferred Series E2023-01-012023-09-300001280784Warrant Investments and Drug Discovery & Development and Redshift Bioanalytics, Inc., Warrant, Acquisition Date 3/23/2022, Preferred Series E2023-09-300001280784Warrant Investments and Drug Discovery & Development and Scynexis, Inc., Warrant, Acquisition Date 5/14/2021, Common Stock2023-01-012023-09-300001280784Warrant Investments and Drug Discovery & Development and Scynexis, Inc., Warrant, Acquisition Date 5/14/2021, Common Stock2023-09-300001280784Warrant Investments and Drug Discovery & Development and TG Therapeutics, Inc., Warrant, Acquisition Date 2/28/2019, Common Stock2023-01-012023-09-300001280784Warrant Investments and Drug Discovery & Development and TG Therapeutics, Inc., Warrant, Acquisition Date 2/28/2019, Common Stock2023-09-300001280784Warrant Investments and Drug Discovery & Development and Valo Health, LLC, Warrant, Acquisition Date 6/15/2020, Common Units2023-01-012023-09-300001280784Warrant Investments and Drug Discovery & Development and Valo Health, LLC, Warrant, Acquisition Date 6/15/2020, Common Units2023-09-300001280784Warrant Investments and Drug Discovery & Development and X4 Pharmaceuticals, Inc., Warrant, Acquisition Date 3/18/2019, Common Stock2023-01-012023-09-300001280784Warrant Investments and Drug Discovery & Development and X4 Pharmaceuticals, Inc., Warrant, Acquisition Date 3/18/2019, Common Stock2023-09-300001280784Warrant Investments and Drug Discovery & Development (0.36%)2023-09-300001280784Warrant Investments and Electronics & Computer Hardware and 908 Devices, Inc., Warrant, Acquisition Date 3/15/2017, Common Stock2023-01-012023-09-300001280784Warrant Investments and Electronics & Computer Hardware and 908 Devices, Inc., Warrant, Acquisition Date 3/15/2017, Common Stock2023-09-300001280784Warrant Investments and Electronics & Computer Hardware and Locus Robotics Corp., Warrant, Acquisition Date 6/21/2022, Common Stock2023-01-012023-09-300001280784Warrant Investments and Electronics & Computer Hardware and Locus Robotics Corp., Warrant, Acquisition Date 6/21/2022, Common Stock2023-09-300001280784Warrant Investments and Electronics & Computer Hardware and Skydio, Inc., Warrant, Acquisition Date 11/08/2021, Common Stock2023-01-012023-09-300001280784Warrant Investments and Electronics & Computer Hardware and Skydio, Inc., Warrant, Acquisition Date 11/08/2021, Common Stock2023-09-300001280784Warrant Investments and Electronics & Computer Hardware (0.02%)2023-09-300001280784Warrant Investments and Healthcare Services, Other and Modern Life, Inc., Warrant, Acquisition Date 3/30/2023, Common Stock2023-01-012023-09-300001280784Warrant Investments and Healthcare Services, Other and Modern Life, Inc., Warrant, Acquisition Date 3/30/2023, Common Stock2023-09-300001280784Warrant Investments and Healthcare Services, Other and Recover Together, Inc.., Warrant, Acquisition Date 7/3/2023, Common Stock2023-01-012023-09-300001280784Warrant Investments and Healthcare Services, Other and Recover Together, Inc.., Warrant, Acquisition Date 7/3/2023, Common Stock2023-09-300001280784Warrant Investments and Healthcare Services, Other and Strive Health Holdings, LLC., Warrant, Acquisition Date 9/28/2023, Common Units2023-01-012023-09-300001280784Warrant Investments and Healthcare Services, Other and Strive Health Holdings, LLC., Warrant, Acquisition Date 9/28/2023, Common Units2023-09-300001280784Warrant Investments and Healthcare Services, Other and Vida Health, Inc., Warrant, Acquisition Date 3/28/2022, Common Stock2023-01-012023-09-300001280784Warrant Investments and Healthcare Services, Other and Vida Health, Inc., Warrant, Acquisition Date 3/28/2022, Common Stock2023-09-300001280784Warrant Investments and Healthcare Services, Other (0.03%)2023-09-300001280784Warrant Investments and Information Services and Capella Space Corp., Warrant, Acquisition Date 10/21/2021, Common Stock2023-01-012023-09-300001280784Warrant Investments and Information Services and Capella Space Corp., Warrant, Acquisition Date 10/21/2021, Common Stock2023-09-300001280784Warrant Investments and Information Services and INMOBI Inc., Warrant, Acquisition Date 11/19/2014, Common Stock2023-01-012023-09-300001280784Warrant Investments and Information Services and INMOBI Inc., Warrant, Acquisition Date 11/19/2014, Common Stock2023-09-300001280784Warrant Investments and Information Services and NetBase Solutions, Inc., Warrant, Acquisition Date 8/22/2017, Preferred Series 12023-01-012023-09-300001280784Warrant Investments and Information Services and NetBase Solutions, Inc., Warrant, Acquisition Date 8/22/2017, Preferred Series 12023-09-300001280784Warrant Investments and Information Services and Signal Media Limited, Warrant, Acquisition Date 6/29/2022, Common Stock2023-01-012023-09-300001280784Warrant Investments and Information Services and Signal Media Limited, Warrant, Acquisition Date 6/29/2022, Common Stock2023-09-300001280784Warrant Investments and Information Services (0.03%)2023-09-300001280784Warrant Investments and Manufacturing Technology and Bright Machines, Inc., Warrant, Acquisition Date 3/31/2022, Common Stock2023-01-012023-09-300001280784Warrant Investments and Manufacturing Technology and Bright Machines, Inc., Warrant, Acquisition Date 3/31/2022, Common Stock2023-09-300001280784Warrant Investments and Manufacturing Technology and MacroFab, Inc., Warrant, Acquisition Date 3/23/2022, Common Stock2023-01-012023-09-300001280784Warrant Investments and Manufacturing Technology and MacroFab, Inc., Warrant, Acquisition Date 3/23/2022, Common Stock2023-09-300001280784Warrant Investments and Manufacturing Technology and Xometry, Inc., Warrant, Acquisition Date 5/9/2018, Common Stock2023-01-012023-09-300001280784Warrant Investments and Manufacturing Technology and Xometry, Inc., Warrant, Acquisition Date 5/9/2018, Common Stock2023-09-300001280784Warrant Investments and Manufacturing Technology (0.13%)2023-09-300001280784Warrant Investments and Media/Content/Info and Fever Labs, Inc., Warrant, Acquisition Date 12/30/2022, Preferred Series E-12023-01-012023-09-300001280784Warrant Investments and Media/Content/Info and Fever Labs, Inc., Warrant, Acquisition Date 12/30/2022, Preferred Series E-12023-09-300001280784Warrant Investments and Media/Content/Info (0.01%)2023-09-300001280784Warrant Investments and Medical Devices & Equipment and Intuity Medical, Inc., Warrant, Acquisition Date 12/29/2017, Preferred Series B-12023-01-012023-09-300001280784Warrant Investments and Medical Devices & Equipment and Intuity Medical, Inc., Warrant, Acquisition Date 12/29/2017, Preferred Series B-12023-09-300001280784Warrant Investments and Medical Devices & Equipment and Outset Medical, Inc., Warrant, Acquisition Date 9/27/2013, Common Stock2023-01-012023-09-300001280784Warrant Investments and Medical Devices & Equipment and Outset Medical, Inc., Warrant, Acquisition Date 9/27/2013, Common Stock2023-09-300001280784Warrant Investments and Medical Devices & Equipment and Senseonics Holdings, Inc., Warrant, Acquisition Date 9/8/2023, Common Stock2023-01-012023-09-300001280784Warrant Investments and Medical Devices & Equipment and Senseonics Holdings, Inc., Warrant, Acquisition Date 9/8/2023, Common Stock2023-09-300001280784Warrant Investments and Medical Devices & Equipment and Tela Bio, Inc., Warrant, Acquisition Date 3/31/2017, Common Stock2023-01-012023-09-300001280784Warrant Investments and Medical Devices & Equipment and Tela Bio, Inc., Warrant, Acquisition Date 3/31/2017, Common Stock2023-09-300001280784Warrant Investments and Medical Devices & Equipment (0.02%)2023-09-300001280784Warrant Investments and Semiconductors and Achronix Semiconductor Corporation, Warrant, Acquisition Date 6/26/2015, Preferred Series D-22023-01-012023-09-300001280784Warrant Investments and Semiconductors and Achronix Semiconductor Corporation, Warrant, Acquisition Date 6/26/2015, Preferred Series D-22023-09-300001280784Warrant Investments and Semiconductors (0.05%)2023-09-300001280784Warrant Investments and Software and Aria Systems, Inc., Warrant, Acquisition Date 5/22/2015, Preferred Series G2023-01-012023-09-300001280784Warrant Investments and Software and Aria Systems, Inc., Warrant, Acquisition Date 5/22/2015, Preferred Series G2023-09-300001280784Warrant Investments and Software and Automation Anywhere, Inc., Warrant, Acquisition Date 9/23/2022, Common Stock2023-01-012023-09-300001280784Warrant Investments and Software and Automation Anywhere, Inc., Warrant, Acquisition Date 9/23/2022, Common Stock2023-09-300001280784Warrant Investments and Software and Bitsight Technologies, Inc., Warrant, Acquisition Date 11/18/2020, Common Stock2023-01-012023-09-300001280784Warrant Investments and Software and Bitsight Technologies, Inc., Warrant, Acquisition Date 11/18/2020, Common Stock2023-09-300001280784Warrant Investments and Software and Brain Corporation, Warrant, Acquisition Date 10/4/2021, Common Stock2023-01-012023-09-300001280784Warrant Investments and Software and Brain Corporation, Warrant, Acquisition Date 10/4/2021, Common Stock2023-09-300001280784Warrant Investments and Software and CloudBolt Software, Inc., Warrant, Acquisition Date 9/30/2020, Common Stock2023-01-012023-09-300001280784Warrant Investments and Software and CloudBolt Software, Inc., Warrant, Acquisition Date 9/30/2020, Common Stock2023-09-300001280784Warrant Investments and Software and Cloudian, Inc., Warrant, Acquisition Date 11/6/2018, Common Stock2023-01-012023-09-300001280784Warrant Investments and Software and Cloudian, Inc., Warrant, Acquisition Date 11/6/2018, Common Stock2023-09-300001280784Warrant Investments and Software and Cloudpay, Inc., Warrant, Acquisition Date 4/10/2018, Preferred Series B2023-01-012023-09-300001280784Warrant Investments and Software and Cloudpay, Inc., Warrant, Acquisition Date 4/10/2018, Preferred Series B2023-09-300001280784Warrant Investments and Software and Convoy, Inc., Warrant, Acquisition Date 3/30/2022, Common Stock2023-01-012023-09-300001280784Warrant Investments and Software and Convoy, Inc., Warrant, Acquisition Date 3/30/2022, Common Stock2023-09-300001280784Warrant Investments and Software and Couchbase, Inc., Warrant, Acquisition Date 4/25/2019, Common Stock2023-01-012023-09-300001280784Warrant Investments and Software and Couchbase, Inc., Warrant, Acquisition Date 4/25/2019, Common Stock2023-09-300001280784Warrant Investments and Software and Cutover, Inc., Warrant, Acquisition Date 9/21/2022, Common Stock2023-01-012023-09-300001280784Warrant Investments and Software and Cutover, Inc., Warrant, Acquisition Date 9/21/2022, Common Stock2023-09-300001280784Warrant Investments and Software and Dashlane, Inc., Warrant, Acquisition Date 3/11/2019, Common Stock2023-01-012023-09-300001280784Warrant Investments and Software and Dashlane, Inc., Warrant, Acquisition Date 3/11/2019, Common Stock2023-09-300001280784Warrant Investments and Software and Delphix Corp., Warrant, Acquisition Date 10/8/2019, Common Stock2023-01-012023-09-300001280784Warrant Investments and Software and Delphix Corp., Warrant, Acquisition Date 10/8/2019, Common Stock2023-09-300001280784Warrant Investments and Software and Demandbase, Inc., Warrant, Acquisition Date 8/2/2021, Common Stock2023-01-012023-09-300001280784Warrant Investments and Software and Demandbase, Inc., Warrant, Acquisition Date 8/2/2021, Common Stock2023-09-300001280784Warrant Investments and Software and DNAnexus, Inc., Warrant, Acquisition Date 3/21/2014, Preferred Series C2023-01-012023-09-300001280784Warrant Investments and Software and DNAnexus, Inc., Warrant, Acquisition Date 3/21/2014, Preferred Series C2023-09-300001280784Warrant Investments and Software and Dragos, Inc., Warrant, Acquisition Date 6/28/2023, Common Stock2023-01-012023-09-300001280784Warrant Investments and Software and Dragos, Inc., Warrant, Acquisition Date 6/28/2023, Common Stock2023-09-300001280784Warrant Investments and Software and DroneDeploy, Inc., Warrant, Acquisition Date 6/30/2022, Common Stock2023-01-012023-09-300001280784Warrant Investments and Software and DroneDeploy, Inc., Warrant, Acquisition Date 6/30/2022, Common Stock2023-09-300001280784Warrant Investments and Software and Eigen Technologies Ltd., Warrant, Acquisition Date 4/13/2022, Common Stock2023-01-012023-09-300001280784Warrant Investments and Software and Eigen Technologies Ltd., Warrant, Acquisition Date 4/13/2022, Common Stock2023-09-300001280784Warrant Investments and Software and Elation Health, Inc., Warrant, Acquisition Date 9/12/2022, Common Stock2023-01-012023-09-300001280784Warrant Investments and Software and Elation Health, Inc., Warrant, Acquisition Date 9/12/2022, Common Stock2023-09-300001280784Warrant Investments and Software and First Insight, Inc., Warrant, Acquisition Date 5/10/2018, Preferred Series B2023-01-012023-09-300001280784Warrant Investments and Software and First Insight, Inc., Warrant, Acquisition Date 5/10/2018, Preferred Series B2023-09-300001280784Warrant Investments and Software and Fulfil Solutions, Inc., Warrant, Acquisition Date 7/29/2022, Common Stock2023-01-012023-09-300001280784Warrant Investments and Software and Fulfil Solutions, Inc., Warrant, Acquisition Date 7/29/2022, Common Stock2023-09-300001280784Warrant Investments and Software and Kore.ai, Inc., Warrant, Acquisition Date 3/31/2023, Preferred Series C2023-01-012023-09-300001280784Warrant Investments and Software and Kore.ai, Inc., Warrant, Acquisition Date 3/31/2023, Preferred Series C2023-09-300001280784Warrant Investments and Software and Leapwork ApS, Warrant, Acquisition Date 1/23/2023, Common Stock2023-01-012023-09-300001280784Warrant Investments and Software and Leapwork ApS, Warrant, Acquisition Date 1/23/2023, Common Stock2023-09-300001280784Warrant Investments and Software and Lightbend, Inc., Warrant, Acquisition Date 2/14/2018, Preferred Series D2023-01-012023-09-300001280784Warrant Investments and Software and Lightbend, Inc., Warrant, Acquisition Date 2/14/2018, Preferred Series D2023-09-300001280784Warrant Investments and Software and Mixpanel, Inc., Warrant, Acquisition Date 9/30/2020, Common Stock2023-01-012023-09-300001280784Warrant Investments and Software and Mixpanel, Inc., Warrant, Acquisition Date 9/30/2020, Common Stock2023-09-300001280784Warrant Investments and Software and Nuvolo Technologies Corporation, Warrant, Acquisition Date 3/29/2019, Common Stock2023-01-012023-09-300001280784Warrant Investments and Software and Nuvolo Technologies Corporation, Warrant, Acquisition Date 3/29/2019, Common Stock2023-09-300001280784Warrant Investments and Software and Onna Technologies, Inc.Warrant 7/5/2023 Common Stock2023-01-012023-09-300001280784Warrant Investments and Software and Onna Technologies, Inc.Warrant 7/5/2023 Common Stock2023-09-300001280784Warrant Investments and Software and Poplicus, Inc., Warrant, Acquisition Date 5/28/2014, Common Stock2023-01-012023-09-300001280784Warrant Investments and Software and Poplicus, Inc., Warrant, Acquisition Date 5/28/2014, Common Stock2023-09-300001280784Warrant Investments and Software and Reltio, Inc., Warrant, Acquisition Date 6/30/2020, Common Stock2023-01-012023-09-300001280784Warrant Investments and Software and Reltio, Inc., Warrant, Acquisition Date 6/30/2020, Common Stock2023-09-300001280784Warrant Investments and Software and Simon Data, Inc., Warrant, Acquisition Date 3/22/2023, Common Stock2023-01-012023-09-300001280784Warrant Investments and Software and Simon Data, Inc., Warrant, Acquisition Date 3/22/2023, Common Stock2023-09-300001280784Warrant Investments and Software and SingleStore, Inc., Warrant, Acquisition Date 4/28/2020, Preferred Series D2023-01-012023-09-300001280784Warrant Investments and Software and SingleStore, Inc., Warrant, Acquisition Date 4/28/2020, Preferred Series D2023-09-300001280784Warrant Investments and Software and Sisense Ltd., Warrant, Acquisition Date 6/28/2023, Ordinary Shares2023-01-012023-09-300001280784Warrant Investments and Software and Sisense Ltd., Warrant, Acquisition Date 6/28/2023, Ordinary Shares2023-09-300001280784Warrant Investments and Software and Suzy, Inc. Warrant 8/24/2023 Common Stock2023-01-012023-09-300001280784Warrant Investments and Software and Suzy, Inc. Warrant 8/24/2023 Common Stock2023-09-300001280784Warrant Investments and Software and Tact.ai Technologies, Inc., Warrant, Acquisition Date 2/13/2020, Common Stock2023-01-012023-09-300001280784Warrant Investments and Software and Tact.ai Technologies, Inc., Warrant, Acquisition Date 2/13/2020, Common Stock2023-09-300001280784Warrant Investments and Software and The Faction Group LLC, Warrant, Acquisition Date 11/3/2014, Preferred Series AA2023-01-012023-09-300001280784Warrant Investments and Software and The Faction Group LLC, Warrant, Acquisition Date 11/3/2014, Preferred Series AA2023-09-300001280784Warrant Investments and Software and Tipalti Solutions Ltd., Warrant, Acquisition Date 3/22/2023, Ordinary Shares2023-01-012023-09-300001280784Warrant Investments and Software and Tipalti Solutions Ltd., Warrant, Acquisition Date 3/22/2023, Ordinary Shares2023-09-300001280784Warrant Investments and Software and VideoAmp, Inc., Warrant, Acquisition Date 1/21/2022, Common Stock2023-01-012023-09-300001280784Warrant Investments and Software and VideoAmp, Inc., Warrant, Acquisition Date 1/21/2022, Common Stock2023-09-300001280784Warrant Investments and Software (0.79%)2023-09-300001280784Warrant Investments and Surgical Devices and TransMedics Group, Inc., Warrant, Acquisition Date 9/11/2015, Common Stock2023-01-012023-09-300001280784Warrant Investments and Surgical Devices and TransMedics Group, Inc., Warrant, Acquisition Date 9/11/2015, Common Stock2023-09-300001280784Warrant Investments and Surgical Devices (0.03%)2023-09-300001280784Warrant Investments and Sustainable and Renewable Technology and Ampion, PBC, Warrant, Acquisition Date 4/15/2022, Common Stock2023-01-012023-09-300001280784Warrant Investments and Sustainable and Renewable Technology and Ampion, PBC, Warrant, Acquisition Date 4/15/2022, Common Stock2023-09-300001280784Warrant Investments and Sustainable and Renewable Technology and Halio, Inc., Warrant, Acquisition Date 4/22/2014, Preferred Series A2023-01-012023-09-300001280784Warrant Investments and Sustainable and Renewable Technology and Halio, Inc., Warrant, Acquisition Date 4/22/2014, Preferred Series A2023-09-300001280784Warrant Investments and Sustainable and Renewable Technology and Halio, Inc., Warrant, Acquisition Date 4/7/2015, Preferred Series B2023-01-012023-09-300001280784Warrant Investments and Sustainable and Renewable Technology and Halio, Inc., Warrant, Acquisition Date 4/7/2015, Preferred Series B2023-09-300001280784Warrant Investments and Sustainable and Renewable Technology and Halio, Inc.2023-09-300001280784Warrant Investments and Sustainable and Renewable Technology and Polyera Corporation, Warrant, Acquisition Date 3/24/2015, Preferred Series C2023-01-012023-09-300001280784Warrant Investments and Sustainable and Renewable Technology and Polyera Corporation, Warrant, Acquisition Date 3/24/2015, Preferred Series C2023-09-300001280784Warrant Investments and Sustainable and Renewable Technology (0.00%)2023-09-300001280784Warrant Investments (1.68%)2023-09-300001280784Investments in Securities (197.13%)2023-09-300001280784Investment Funds & Vehicles Investments and Drug Discovery & Development and Forbion Growth Opportunities Fund I C.V., Investment Funds & Vehicles, Acquisition Date 11/16/20202023-01-012023-09-300001280784Investment Funds & Vehicles Investments and Drug Discovery & Development and Forbion Growth Opportunities Fund I C.V., Investment Funds & Vehicles, Acquisition Date 11/16/20202023-09-300001280784Investment Funds & Vehicles Investments and Drug Discovery & Development and Forbion Growth Opportunities Fund II C.V., Investment Funds & Vehicles, Acquisition Date 6/23/20222023-01-012023-09-300001280784Investment Funds & Vehicles Investments and Drug Discovery & Development and Forbion Growth Opportunities Fund II C.V., Investment Funds & Vehicles, Acquisition Date 6/23/20222023-09-300001280784Investment Funds & Vehicles Investments and Drug Discovery & Development (0.26%)2023-09-300001280784Investment Funds & Vehicles Investments and Software and Liberty Zim Co-Invest L.P., Investment Funds & Vehicles, Acquisition Date 7/21/20222023-01-012023-09-300001280784Investment Funds & Vehicles Investments and Software and Liberty Zim Co-Invest L.P., Investment Funds & Vehicles, Acquisition Date 7/21/20222023-09-300001280784Investment Funds & Vehicles Investments and Software (0.02%)2023-09-300001280784Investment Funds & Vehicles Investments (0.28%)2023-09-300001280784Investments (197.41%)2023-09-300001280784Foreign Currency Exchange Contracts Counterparty Goldman Sachs Bank USA Settlement Date 6/3/20242023-01-012023-09-300001280784Foreign Currency Exchange Contracts Counterparty Goldman Sachs Bank USA Settlement Date 6/3/20242023-09-300001280784Total Foreign Currency Forward (0.01%*)2023-09-300001280784htgc:OneMonthLIBORMember2023-09-300001280784htgc:ThreeMonthLIBORMember2023-09-300001280784htgc:SixMonthLIBORMember2023-09-300001280784htgc:OneMonthSofrRateMember2023-09-300001280784htgc:ThreeMonthSOFRMember2023-09-300001280784htgc:SixMonthSofrRateMember2023-09-300001280784htgc:BlackCrowAIIncMemberhtgc:PromissoryNotesMember2023-09-300001280784htgc:PhathomPharmaceuticalsIncMemberhtgc:RoyaltyContractMember2023-09-300001280784Debt Investments Biotechnology Tools and Alamar Biosciences, Inc. Senior Secured, Maturity Date June 2026, Prime + 3.00%, Floor rate 6.50%, PIK Interest 1.00%, 5.95% Exit Fee2022-12-310001280784Debt Investments Biotechnology Tools and PathAI, Inc., Senior Secured, Maturity Date January 2027, Prime + 2.15%, Floor rate 9.15%, 11.21% Exit Fee2022-12-310001280784Debt Investments Biotechnology Tools (2.31%)2022-12-310001280784Debt Investments Communications & Networking and Aryaka Networks, Inc. Senior Secured, Maturity Date July 2026, Prime + 3.25%, Floor rate 6.75%, PIK Interest 1.05%, 3.55% Exit Fee2022-12-310001280784Debt Investments Communications & Networking and Cytracom Holdings LLC Senior Secured, Maturity Date February 2025, 3-month LIBOR + 9.31%, Floor rate 10.31%2022-12-310001280784Debt Investments Communications & Networking and Rocket Lab Global Services, LLC Senior Secured, Maturity Date June 2024, Prime + 4.90%, Floor rate 8.15%, PIK Interest 1.25%, 3.25% Exit Fee2022-12-310001280784Debt Investments Communications & Networking (7.26%)2022-12-310001280784Debt Investments Consumer & Business Services and AppDirect, Inc. Senior Secured, Maturity Date April 2026, Prime + 5.50%, Floor rate 8.75%, 8.29% Exit Fee2022-12-310001280784Debt Investments Consumer & Business Services and Carwow LTD Senior Secured, Maturity Date December 2024, Prime + 4.70%, Floor rate 7.95%, PIK Interest 1.45%, 4.95% Exit Fee2022-12-310001280784Debt Investments Consumer & Business Services and Houzz, Inc. Convertible Debt, Maturity Date May 2028, PIK Interest 5.50%2022-12-310001280784Debt Investments Consumer & Business Services and Jobandtalent USA, Inc. Senior Secured, Maturity Date February 2025, 1-month SOFR + 8.86%, Floor rate 9.75%, 3.00% Exit Fee2022-12-310001280784Debt Investments Consumer & Business Services and Provi, Senior Secured, Maturity Date December 2026, Prime + 4.40%, Floor rate 10.65%, 2.95% Exit Fee2022-12-310001280784Debt Investments Consumer & Business Services and Rhino Labs, Inc. Senior Secured, Maturity Date March 2024, Prime + 5.50%, Floor rate 8.75%, PIK Interest 2.25%2022-12-310001280784Debt Investments Consumer & Business Services and RVShare, LLC, Senior Secured, Maturity Date December 2026, 3-month LIBOR + 5.50%, Floor rate 6.50%, PIK Interest 4.00%2022-12-310001280784Debt Investments Consumer & Business Services and SeatGeek, Inc. Senior Secured, Maturity Date June 2023, Prime + 5.00%, Floor rate 10.50%, PIK Interest 0.50%2022-12-310001280784Debt Investments Consumer & Business Services and SeatGeek, Inc. Senior Secured, Maturity Date May 2026, Prime + 7.00%, Floor rate 10.50%, PIK Interest 0.50%2022-12-310001280784Debt Investments Consumer & Business Services, SeatGeek, Inc.2022-12-310001280784Debt Investments Consumer & Business Services and Skyword, Inc. Senior Secured, Maturity Date November 2026, Prime + 2.75%, Floor rate 9.25%, PIK Interest 1.75%, 3.00% Exit Fee2022-12-310001280784Debt Investments Consumer & Business Services and Tectura Corporation, Senior Secured, Maturity Date July 2024 One, PIK Interest 5.00%2022-12-310001280784Debt Investments Consumer & Business Services and Tectura Corporation, Senior Secured, Maturity Date July 2024, FIXED 8.25%2022-12-310001280784Debt Investments Consumer & Business Services and Tectura Corporation, Senior Secured, Maturity Date July 2024 Two, PIK Interest 5.00%2022-12-310001280784Debt Investments Consumer & Business Services, Tectura Corporation2022-12-310001280784Debt Investments Consumer & Business Services and Thumbtack, Inc. Senior Secured, Maturity Date April 2026, Prime + 4.95%, Floor rate 8.20%, PIK Interest 1.50%, 3.95% Exit Fee2022-12-310001280784Debt Investments Consumer & Business Services and Udacity, Inc. Senior Secured, Maturity Date September 2024, Prime + 4.50%, Floor rate 7.75%, PIK Interest 2.00%, 3.00% Exit Fee2022-12-310001280784Debt Investments Consumer & Business Services and Veem, Inc. Senior Secured, Maturity Date March 2025, Prime + 4.00%, Floor rate 7.25%, PIK Interest 1.25%, 4.50% Exit Fee2022-12-310001280784Debt Investments Consumer & Business Services and Veem, Inc. Senior Secured, Maturity Date March 2025, Prime + 4.70%, Floor rate 7.95%, PIK Interest 1.50%, 4.50% Exit Fee2022-12-310001280784Debt Investments Consumer & Business Services, Veem, Inc.2022-12-310001280784Debt Investments Consumer & Business Services and Worldremit Group Limited, Senior Secured, Maturity Date February 2025, 3-month LIBOR + 9.25%, Floor rate 10.25%, 3.00% Exit Fee2022-12-310001280784Debt Investments Consumer & Business Services (30.59%)2022-12-310001280784Debt Investments Diversified Financial Services and Gibraltar Business Capital, LLC, Unsecured, Maturity Date September 2026, FIXED 14.50%2022-12-310001280784Debt Investments Diversified Financial Services and Gibraltar Business Capital, LLC, Unsecured, Maturity Date September 2026, FIXED 11.50%2022-12-310001280784Debt Investments Diversified Financial Services, Gibraltar Business Capital, LLC, Unsecured2022-12-310001280784Debt Investments Diversified Financial Services and Hercules Adviser LLC, Unsecured, Maturity Date June 2025, FIXED 5.00%2022-12-310001280784Debt Investments Diversified Financial Services (2.40%)2022-12-310001280784Debt Investments Drug Discovery & Development and Akero Therapeutics, Inc. Senior Secured, Maturity Date January 2027, Prime + 3.65%, Floor rate 7.65%, 5.85% Exit Fee2022-12-310001280784Debt Investments Drug Discovery & Development and Aldeyra Therapeutics, Inc. Senior Secured, Maturity Date October 2024, Prime + 3.10%, Floor rate 8.60%, 8.90% Exit Fee2022-12-310001280784Debt Investments Drug Discovery & Development and Alladapt Immunotherapeutics Inc. Senior Secured, Maturity Date September 2026, Prime + 3.65%, Floor rate 8.40%, Cap rate 10.90%, 10.60% Exit Fee2022-12-310001280784Debt Investments Drug Discovery & Development and AmplifyBio, LLC, Senior Secured, Maturity Date January 2027, Prime + 2.50%, Floor rate 9.50%, Cap rate 10.75%, 5.85% Exit Fee2022-12-310001280784Debt Investments Drug Discovery & Development and ATAI Life Sciences N.V. Senior Secured, Maturity Date August 2026, Prime + 4.55%, Floor rate 8.55%, 6.95% Exit Fee2022-12-310001280784Debt Investments Drug Discovery & Development and Aveo Pharmaceuticals, Inc. Senior Secured, Maturity Date September 2024, Prime + 6.40%, Floor rate 9.65%, Cap rate 15.00%, 6.95% Exit Fee2022-12-310001280784Debt Investments Drug Discovery & Development and Axsome Therapeutics, Inc. Senior Secured, Maturity Date October 2026, Prime + 5.70%, Floor rate 8.95%, Cap rate 10.70%, 5.31% Exit Fee2022-12-310001280784Debt Investments Drug Discovery & Development and Bicycle Therapeutics PLC, Senior Secured, Maturity Date July 2025, Prime + 4.55%, Floor rate 8.05%, Cap rate 9.05%, 5.00% Exit Fee2022-12-310001280784Debt Investments Drug Discovery & Development and BiomX, INC, Senior Secured, Maturity Date September 2025, Prime + 5.70%, Floor rate 8.95%, 6.55% Exit Fee2022-12-310001280784Debt Investments Drug Discovery & Development and BridgeBio Pharma, Inc. Senior Secured, Maturity Date November 2026, FIXED 9.00%, 2.00% Exit Fee2022-12-310001280784Debt Investments Drug Discovery & Development and Cellarity, Inc. Senior Secured, Maturity Date June 2026, Prime + 5.70%, Floor rate 8.95%, 3.75% Exit Fee2022-12-310001280784Debt Investments Drug Discovery & Development and Century Therapeutics, Inc. Senior Secured, Maturity Date April 2024, Prime + 6.30%, Floor rate 9.55%, 3.95% Exit Fee2022-12-310001280784Debt Investments Drug Discovery & Development and Codiak Biosciences, Inc. Senior Secured, Maturity Date October 2025, Prime + 5.00%, Floor rate 8.25%, 5.50% Exit Fee2022-12-310001280784Debt Investments Drug Discovery & Development and Corium, Inc. Senior Secured, Maturity Date September 2026, Prime + 5.70%, Floor rate 8.95%, 7.75% Exit Fee2022-12-310001280784Debt Investments Drug Discovery & Development and Eloxx Pharmaceuticals, Inc. Senior Secured, Maturity Date April 2025, Prime + 6.25%, Floor rate 9.50%, 6.55% Exit Fee2022-12-310001280784Debt Investments Drug Discovery & Development and enGene, Inc. Senior Secured, Maturity Date July 2025, Prime + 5.00%, Floor rate 8.25%, 6.35% Exit Fee2022-12-310001280784Debt Investments Drug Discovery & Development and Finch Therapeutics Group, Inc. Senior Secured, Maturity Date November 2026, Prime + 4.05%, Floor rate 7.55%, Cap rate 8.80%, 5.50% Exit Fee2022-12-310001280784Debt Investments Drug Discovery & Development and G1 Therapeutics, Inc. Senior Secured, Maturity Date November 2026, Prime + 5.90%, Floor rate 9.15%, 9.86% Exit Fee2022-12-310001280784Debt Investments Drug Discovery & Development and Geron Corporation, Senior Secured, Maturity Date October 2024, Prime + 5.75%, Floor rate 9.00%, 6.55% Exit Fee2022-12-310001280784Debt Investments Drug Discovery & Development and Gritstone Bio, Inc. Senior Secured, Maturity Date July 2027, Prime + 3.15%, Floor rate 7.15%, Cap rate 8.65%, PIK Interest 2.00%, 5.75% Exit Fee2022-12-310001280784Debt Investments Drug Discovery & Development and Hibercell, Inc. Senior Secured, Maturity Date May 2025, Prime + 5.40%, Floor rate 8.65%, 4.95% Exit Fee2022-12-310001280784Debt Investments Drug Discovery & Development and HilleVax, Inc. Senior Secured, Maturity Date May 2027, Prime + 1.05%, Floor rate 4.55%, Cap rate 6.05%, PIK Interest 2.85%, 7.15% Exit Fee2022-12-310001280784Debt Investments Drug Discovery & Development and Iveric Bio, Inc. Senior Secured, Maturity Date August 2027, Prime + 4.00%, Floor rate 8.75%, Cap rate 10.25%, 4.25% Exit Fee2022-12-310001280784Debt Investments Drug Discovery & Development and Kura Oncology, Inc. Senior Secured, Maturity Date November 2027, Prime + 2.40%, Floor rate 8.65%, 15.13% Exit Fee2022-12-310001280784Debt Investments Drug Discovery & Development and Locus Biosciences, Inc. Senior Secured, Maturity Date July 2025, Prime + 6.10%, Floor rate 9.35%, 4.95% Exit Fee2022-12-310001280784Debt Investments Drug Discovery & Development and Madrigal Pharmaceutical, Inc. Senior Secured, Maturity Date May 2026, Prime + 3.95%, Floor rate 7.45%, 5.35% Exit Fee2022-12-310001280784Debt Investments Drug Discovery & Development and Nabriva Therapeutics, Senior Secured, Maturity Date June 2023, Prime + 4.30%, Floor rate 9.80%, 9.95% Exit Fee2022-12-310001280784Debt Investments Drug Discovery & Development and Phathom Pharmaceuticals, Inc. Senior Secured, Maturity Date October 2026, Prime + 2.25%, Floor rate 5.50%, PIK Interest 3.35%, 7.50% Exit Fee2022-12-310001280784Debt Investments Drug Discovery & Development and Provention Bio, Inc. Senior Secured, Maturity Date September 2027, Prime + 2.70%, Floor rate 8.20%, 6.60% Exit Fee2022-12-310001280784Debt Investments Drug Discovery & Development and Redshift Bioanalytics, Inc. Senior Secured, Maturity Date January 2026, Prime + 4.25%, Floor rate 7.50%, 3.80% Exit Fee2022-12-310001280784Debt Investments Drug Discovery & Development and Replimune Group, Inc. Senior Secured, Maturity Date October 2027, Prime + 1.75%, Floor rate 7.25%, Cap rate 9.00%, PIK Interest 1.50%, 4.95% Exit Fee2022-12-310001280784Debt Investments Drug Discovery & Development and Scynexis, Inc. Senior Secured, Maturity Date March 2025, Prime + 5.80%, Floor rate 9.05%, 3.95% Exit Fee2022-12-310001280784Debt Investments Drug Discovery & Development and Seres Therapeutics, Inc. Senior Secured, Maturity Date October 2024, Prime + 6.40%, Floor rate 9.65%, 4.98% Exit Fee2022-12-310001280784Debt Investments Drug Discovery & Development and Tarsus Pharmaceuticals, Inc. Senior Secured, Maturity Date February 2027, Prime + 5.20%, Floor rate 8.45%, 4.75% Exit Fee2022-12-310001280784Debt Investments Drug Discovery & Development and TG Therapeutics, Inc. Senior Secured, Maturity Date January 2026, Prime + 2.15%, Floor rate 5.40%, PIK Interest 3.45%, 5.95% Exit Fee2022-12-310001280784Debt Investments Drug Discovery & Development and uniQure B.V. Senior Secured, Maturity Date December 2025, Prime + 4.70%, Floor rate 7.95%, 7.28% Exit Fee2022-12-310001280784Debt Investments Drug Discovery & Development and Unity Biotechnology, Inc. Senior Secured, Maturity Date August 2024, Prime + 6.10%, Floor rate 9.35%, 6.25% Exit Fee2022-12-310001280784Debt Investments Drug Discovery & Development and Valo Health, LLC, Senior Secured, Maturity Date May 2024, Prime + 6.45%, Floor rate 9.70%, 3.85% Exit Fee2022-12-310001280784Debt Investments Drug Discovery & Development and Viridian Therapeutics, Inc. Senior Secured, Maturity Date October 2026, Prime + 4.20%, Floor rate 7.45%, Cap rate 8.95%, 4.76% Exit Fee2022-12-310001280784Debt Investments Drug Discovery & Development and X4 Pharmaceuticals, Inc. Senior Secured, Maturity Date July 2024, Prime + 3.75%, Floor rate 8.75%, 8.80% Exit Fee2022-12-310001280784Debt Investments Drug Discovery & Development (78.59%)2022-12-310001280784Debt Investments Electronics & Computer Hardware and Locus Robotics Corp. Senior Secured, Maturity Date June 2026, Prime + 4.50%, Floor rate 8.00%, 1.00% Exit Fee2022-12-310001280784Debt Investments Electronics & Computer Hardware (1.34%)2022-12-310001280784Debt Investments Healthcare Services, Other and Better Therapeutics, Inc. Senior Secured, Maturity Date August 2025, Prime + 5.70%, Floor rate 8.95%, 5.95% Exit Fee2022-12-310001280784Debt Investments Healthcare Services, Other and Blue Sprig Pediatrics, Inc. Senior Secured, Maturity Date November 2026, 1-month LIBOR + 5.00%, Floor rate 6.00%, PIK Interest 4.45%2022-12-310001280784Debt Investments Healthcare Services, Other and Carbon Health Technologies, Inc. Senior Secured, Maturity Date March 2025, Prime + 5.60%, Floor rate 8.85%, 4.61% Exit Fee2022-12-310001280784Debt Investments Healthcare Services, Other and Equality Health, LLC, Senior Secured, Maturity Date February 2026, Prime + 6.25%, Floor rate 9.50%, PIK Interest 1.55%2022-12-310001280784Debt Investments Healthcare Services, Other and Oak Street Health, Inc. Senior Secured, Maturity Date October 2027, Prime + 2.45%, Floor rate 7.95%, Cap rate 9.45%, PIK Interest 1.00%, 4.95% Exit Fee2022-12-310001280784Debt Investments Healthcare Services, Other (13.98%)2022-12-310001280784Debt Investments Information Services and Capella Space Corp. Senior Secured, Maturity Date November 2025, Prime + 5.00%, Floor rate 8.25%, PIK Interest 1.10%, 7.00% Exit Fee2022-12-310001280784Debt Investments Information Services and Signal Media Limited, Senior Secured, Maturity Date June 2025, Prime + 5.50%, Floor rate 9.00%, Cap rate 12.00%, 3.45% Exit Fee2022-12-310001280784Debt Investments Information Services and Yipit, LLC, Senior Secured, Maturity Date September 2026, 1-month SOFR + 9.08%, Floor rate 10.08%2022-12-310001280784Debt Investments Information Services (3.72%)2022-12-310001280784Debt Investments Manufacturing Technology and Bright Machines, Inc. Senior Secured, Maturity Date April 2025, Prime + 4.00%, Floor rate 9.50%, 5.00% Exit Fee2022-12-310001280784Debt Investments Manufacturing Technology and MacroFab, Inc. Senior Secured, Maturity Date March 2026, Prime + 4.35%, Floor rate 7.60%, PIK Interest 1.25%, 4.50% Exit Fee2022-12-310001280784Debt Investments Manufacturing Technology and Ouster, Inc. Senior Secured, Maturity Date May 2026, Prime + 6.15%, Floor rate 9.40%, 7.45% Exit Fee2022-12-310001280784Debt Investments Manufacturing Technology (2.99%)2022-12-310001280784Debt Investments Semiconductors and Fungible, Inc. Senior Secured, Maturity Date December 2024, Prime + 5.00%, Floor rate 8.25%, 4.95% Exit Fee2022-12-310001280784Debt Investments Semiconductors (1.51%)2022-12-310001280784Debt Investments Software and 3GTMS, LLC, Senior Secured, Maturity Date February 2025, 3-month LIBOR + 9.28%, Floor rate 10.28%2022-12-310001280784Debt Investments Software and 3GTMS, LLC, Senior Secured, Maturity Date February 2025, 3-month LIBOR + 6.57%, Floor rate 7.57%2022-12-310001280784Debt Investments Software and 3GTMS, LLC2022-12-310001280784Debt Investments Software and Agilence, Inc. Senior Secured, Maturity Date October 2026, 1-month BSBY + 9.00%, Floor rate 10.00%2022-12-310001280784Debt Investments Software and Alchemer LLC, Senior Secured, Maturity Date May 2028, 1-month SOFR + 7.89%, Floor rate 8.89%2022-12-310001280784Debt Investments Software and Annex Cloud, Senior Secured, Maturity Date February 2027, 1-month BSBY + 8.99%, Floor rate 10.00%2022-12-310001280784Debt Investments Software and Automation Anywhere, Inc. Senior Secured, Maturity Date September 2027, Prime + 4.25%, Floor rate 9.00%, 2.50% Exit Fee2022-12-310001280784Debt Investments Software and Babel Street, Senior Secured, Maturity Date December 2027, 3-month SOFR + 7.89%, Floor rate 8.89%2022-12-310001280784Debt Investments Software and Brain Corporation, Senior Secured, Maturity Date April 2025, PRIME + 3.70%, Floor rate 6.95%, PIK Interest 1.00%, 3.95% Exit Fee2022-12-310001280784Debt Investments Software and Campaign Monitor Limited, Senior Secured, Maturity Date November 2025, 6-month SOFR + 8.90%, Floor rate 9.90%2022-12-310001280784Debt Investments Software and Catchpoint Systems, Inc., Senior Secured, Maturity Date June 2026, 3-month SOFR + 8.86%, Floor rate 9.76%2022-12-310001280784Debt Investments Software and Ceros, Inc., Senior Secured, Maturity Date September 2026, 6-month LIBOR + 9.67%, Floor rate 10.67%2022-12-310001280784Debt Investments Software and CloudBolt Software, Inc., Senior Secured, Maturity Date October 2024, Prime + 6.70%, Floor rate 9.95%, 3.45% Exit Fee2022-12-310001280784Debt Investments Software and Constructor.io Corporation, Senior Secured, Maturity Date July 2027, 1-month SOFR + 8.44%, Floor rate 9.44%2022-12-310001280784Debt Investments Software and Convoy, Inc., Senior Secured, Maturity Date March 2026, Prime + 3.20%, Floor rate 6.45%, PIK Interest 1.95%, 4.55% Exit Fee2022-12-310001280784Debt Investments Software and Copper CRM, Inc, Senior Secured, Maturity Date March 2025, Prime + 4.50%, Floor rate 8.25%, Cap rate 10.25%, PIK Interest 1.95%, 4.50% Exit Fee2022-12-310001280784Debt Investments Software and Cutover, Inc., Senior Secured, Maturity Date October 2025, Prime + 5.20%, Floor rate 9.95%, 4.95% Exit Fee2022-12-310001280784Debt Investments Software and Cybermaxx Intermediate Holdings, Inc., Senior Secured, Maturity Date August 2026, 6-month SOFR + 9.53%, Floor rate 10.28%2022-12-310001280784Debt Investments Software and Dashlane, Inc., Senior Secured, Maturity Date July 2025, Prime + 3.05%, Floor rate 7.55%, PIK Interest 1.10%, 4.95% Exit Fee2022-12-310001280784Debt Investments Software and Demandbase, Inc., Senior Secured, Maturity Date August 2025, Prime + 2.25%, Floor rate 5.50%, PIK Interest 3.00%, 5.00% Exit Fee2022-12-310001280784Debt Investments Software and Dispatch Technologies, Inc., Senior Secured, Maturity Date April 2028, 3-month SOFR + 8.01%, Floor rate 8.76%2022-12-310001280784Debt Investments Software and Eigen Technologies Ltd., Senior Secured, Maturity Date April 2025, Prime + 5.10%, Floor rate 8.35%, 2.95% Exit Fee2022-12-310001280784Debt Investments Software and Elation Health, Inc., Senior Secured, Maturity Date March 2026, Prime + 4.25%, Floor rate 9.00%, PIK Interest 1.95%, 3.95% Exit Fee2022-12-310001280784Debt Investments Software and Enmark Systems, Inc., Senior Secured, Maturity Date September 2026, 3-month LIBOR + 6.77%, Floor rate 7.77%, PIK Interest 2.16%2022-12-310001280784Debt Investments Software and Esentire, Inc., Senior Secured, Maturity Date May 2024, 3-month LIBOR + 9.96%, Floor rate 10.96%2022-12-310001280784Debt Investments Software and Esme Learning Solutions, Inc., Senior Secured, Maturity Date February 2025, Prime + 5.50%, Floor rate 8.75%, PIK Interest 1.50%, 3.00% Exit Fee2022-12-310001280784Debt Investments Software and Fortified Health Security, Senior Secured, Maturity Date December 2027, 6-month SOFR + 7.79%, Floor rate 8.54%2022-12-310001280784Debt Investments Software and Flight Schedule Pro, LLC, Senior Secured, Maturity Date October 2027, 1-month SOFR + 7.79%, Floor rate 8.70%2022-12-310001280784Debt Investments Software and Ikon Science Limited, Senior Secured, Maturity Date October 2024, 3-month Eurodollar + 9.00%, Floor rate 10.00%2022-12-310001280784Debt Investments Software and Imperva, Inc., Senior Secured, Maturity Date January 2027, 3-month LIBOR + 7.75%, Floor rate 8.75%2022-12-310001280784Debt Investments Software and Kazoo, Inc. (p.k.a. YouEarnedIt, Inc.), Senior Secured, Maturity Date July 2023, 3-month SOFR + 10.14%, Floor rate 11.14%2022-12-310001280784Debt Investments Software and Khoros (p.k.a Lithium Technologies), Senior Secured, Maturity Date January 2024, 3-month SOFR + 8.00%, Floor rate 9.00%2022-12-310001280784Debt Investments Software and LogicSource, Senior Secured, Maturity Date July 2027, 3-month SOFR + 8.93%, Floor rate 9.93%2022-12-310001280784Debt Investments Software and Logicworks, Senior Secured, Maturity Date January 2024, Prime + 7.50%, Floor rate 10.75%2022-12-310001280784Debt Investments Software and Mobile Solutions Services, Senior Secured, Maturity Date December 2025, 3-month LIBOR + 9.06%, Floor rate 10.06%2022-12-310001280784Debt Investments Software and Nextroll, Inc., Senior Secured, Maturity Date July 2023, Prime + 3.75%, Floor rate 7.75%, PIK Interest 2.95%, 1.95% Exit Fee2022-12-310001280784Debt Investments Software and Nuvolo Technologies Corporation, Senior Secured, Maturity Date July 2025, Prime + 5.25%, Floor rate 8.50%, 2.42% Exit Fee2022-12-310001280784Debt Investments Software and Omeda Holdings, LLC, Senior Secured, Maturity Date July 2027, 3-month SOFR + 8.05%, Floor rate 9.05%2022-12-310001280784Debt Investments Software and Riviera Partners LLC, Senior Secured, Maturity Date April 2027, 6-month SOFR + 7.53%, Floor rate 8.53%2022-12-310001280784Debt Investments Software and Salary.com, LLC, Senior Secured, Maturity Date September 2027, 6-month SOFR + 8.00%, Floor rate 9.00%2022-12-310001280784Debt Investments Software and ShadowDragon, LLC, Senior Secured, Maturity Date December 2026, 3-month LIBOR + 9.00%, Floor rate 10.00%2022-12-310001280784Debt Investments Software and Tact.ai Technologies, Inc., Senior Secured, Maturity Date February 2024, Prime + 4.00%, Floor rate 8.75%, PIK Interest 2.00%, 5.50% Exit Fee2022-12-310001280784Debt Investments Software and ThreatConnect, Inc., Senior Secured, Maturity Date May 2026, 6-month LIBOR + 9.00%, Floor rate 10.00%2022-12-310001280784Debt Investments Software and VideoAmp, Inc., Senior Secured, Maturity Date February 2025, Prime + 3.70%, Floor rate 6.95%, PIK Interest 1.25%, 5.25% Exit Fee2022-12-310001280784Debt Investments Software and Zappi, Inc., Senior Secured, Maturity Date December 2027, 3-month SOFR + 8.03%, Floor rate 9.03%2022-12-310001280784Debt Investments Software and Zimperium, Inc., Senior Secured, Maturity Date May 2027, 3-month SOFR + 8.31%, Floor rate 9.31%2022-12-310001280784Debt Investments Software (54.28%)2022-12-310001280784Debt Investments Sustainable and Renewable Technology and Ampion, PBC, Senior Secured, Maturity Date May 2025, Prime + 4.70%, Floor rate 7.95%, PIK Interest 1.45%, 3.95% Exit Fee2022-12-310001280784Debt Investments Sustainable and Renewable Technology and Pineapple Energy LLC, Senior Secured, Maturity Date December 2024, PIK Interest 10.00%2022-12-310001280784Debt Investments Sustainable and Renewable Technology (0.50%)2022-12-310001280784Debt Investments (199.47%)2022-12-310001280784Equity Investments Consumer & Business Products and Grove Collaborative, Inc., Equity, Acquisition Date 4/30/2021, Series Common Stock2022-01-012022-12-310001280784Equity Investments Consumer & Business Products and Grove Collaborative, Inc., Equity, Acquisition Date 4/30/2021, Series Common Stock2022-12-310001280784Equity Investments Consumer & Business Products and Savage X Holding, LLC, Equity, Acquisition Date 4/30/2010, Series Class A Units2022-01-012022-12-310001280784Equity Investments Consumer & Business Products and Savage X Holding, LLC, Equity, Acquisition Date 4/30/2010, Series Class A Units2022-12-310001280784Equity Investments Consumer & Business Products and TechStyle, Inc., Equity, Acquisition Date 4/30/2010, Series Common Stock2022-01-012022-12-310001280784Equity Investments Consumer & Business Products and TechStyle, Inc., Equity, Acquisition Date 4/30/2010, Series Common Stock2022-12-310001280784Equity Investments Consumer & Business Products and TFG Holding, Inc., Equity, Acquisition Date 4/30/2010, Series Common Stock2022-01-012022-12-310001280784Equity Investments Consumer & Business Products and TFG Holding, Inc., Equity, Acquisition Date 4/30/2010, Series Common Stock2022-12-310001280784Equity Investments Consumer & Business Products (0.04%)2022-12-310001280784Equity Investments Consumer & Business Services and Carwow LTD, Equity, Acquisition Date 12/15/2021, Series Preferred Series D-42022-01-012022-12-310001280784Equity Investments Consumer & Business Services and Carwow LTD, Equity, Acquisition Date 12/15/2021, Series Preferred Series D-42022-12-310001280784Equity Investments Consumer & Business Services and DoorDash, Inc., Equity, Acquisition Date 12/20/2018, Series Common Stock2022-01-012022-12-310001280784Equity Investments Consumer & Business Services and DoorDash, Inc., Equity, Acquisition Date 12/20/2018, Series Common Stock2022-12-310001280784Equity Investments Consumer & Business Services and Lyft, Inc., Equity, Acquisition Date 12/26/2018, Series Common Stock2022-01-012022-12-310001280784Equity Investments Consumer & Business Services and Lyft, Inc., Equity, Acquisition Date 12/26/2018, Series Common Stock2022-12-310001280784Equity Investments Consumer & Business Services and Nerdy Inc., Equity, Acquisition Date 9/17/2021, Series Common Stock2022-01-012022-12-310001280784Equity Investments Consumer & Business Services and Nerdy Inc., Equity, Acquisition Date 9/17/2021, Series Common Stock2022-12-310001280784Equity Investments Consumer & Business Services and OfferUp, Inc., Equity, Acquisition Date 10/25/2016, Series Preferred Series A2022-01-012022-12-310001280784Equity Investments Consumer & Business Services and OfferUp, Inc., Equity, Acquisition Date 10/25/2016, Series Preferred Series A2022-12-310001280784Equity Investments Consumer & Business Services and OfferUp, Inc., Equity, Acquisition Date 10/25/2016, Series Preferred Series A-12022-01-012022-12-310001280784Equity Investments Consumer & Business Services and OfferUp, Inc., Equity, Acquisition Date 10/25/2016, Series Preferred Series A-12022-12-310001280784Equity Investments Consumer & Business Services and Total OfferUp, Inc.2022-12-310001280784Equity Investments Consumer & Business Services and Oportun, Equity, Acquisition Date 6/28/2013, Series Common Stock2022-01-012022-12-310001280784Equity Investments Consumer & Business Services and Oportun, Equity, Acquisition Date 6/28/2013, Series Common Stock2022-12-310001280784Equity Investments Consumer & Business Services and Reischling Press, Inc., Acquisition Date 7/31/2020, Series Common Stock2022-01-012022-12-310001280784Equity Investments Consumer & Business Services and Reischling Press, Inc., Acquisition Date 7/31/2020, Series Common Stock2022-12-310001280784Equity Investments Consumer & Business Services and Rhino Labs, Inc., Equity, Acquisition Date 1/24/2022, Series Preferred Series B-22022-01-012022-12-310001280784Equity Investments Consumer & Business Services and Rhino Labs, Inc., Equity, Acquisition Date 1/24/2022, Series Preferred Series B-22022-12-310001280784Equity Investments Consumer & Business Services and Tectura Corporation, Equity, Acquisition Date 5/23/2018, Series Common Stock2022-01-012022-12-310001280784Equity Investments Consumer & Business Services and Tectura Corporation, Equity, Acquisition Date 5/23/2018, Series Common Stock2022-12-310001280784Equity Investments Consumer & Business Services and Tectura Corporation, Equity, Acquisition Date 6/6/2016, Series Preferred Series BB2022-01-012022-12-310001280784Equity Investments Consumer & Business Services and Tectura Corporation, Equity, Acquisition Date 6/6/2016, Series Preferred Series BB2022-12-310001280784Equity Investments Consumer & Business Services and Total Tectura Corporation2022-12-310001280784Equity Investments Consumer & Business Services and Uber Technologies, Inc., Acquisition Date 12/1/2020, Series Common Stock2022-01-012022-12-310001280784Equity Investments Consumer & Business Services and Uber Technologies, Inc., Acquisition Date 12/1/2020, Series Common Stock2022-12-310001280784Equity Investments Consumer & Business Services (0.57%)2022-12-310001280784Equity Investments Diversified Financial Services and Gibraltar Business Capital, LLC, Equity, Acquisition Date 3/1/2018, Series Common Stock2022-01-012022-12-310001280784Equity Investments Diversified Financial Services and Gibraltar Business Capital, LLC, Equity, Acquisition Date 3/1/2018, Series Common Stock2022-12-310001280784Equity Investments Diversified Financial Services and Gibraltar Business Capital, LLC, Equity, Acquisition Date 3/1/2018, Series Preferred Series A2022-01-012022-12-310001280784Equity Investments Diversified Financial Services and Gibraltar Business Capital, LLC, Equity, Acquisition Date 3/1/2018, Series Preferred Series A2022-12-310001280784Equity Investments Diversified Financial Services, Gibraltar Business Capital, LLC2022-12-310001280784Equity Investments Diversified Financial Services and Hercules Adviser LLC, Equity, Acquisition Date 3/26/2021, Series Member Units2022-01-012022-12-310001280784Equity Investments Diversified Financial Services and Hercules Adviser LLC, Equity, Acquisition Date 3/26/2021, Series Member Units2022-12-310001280784Equity Investments Diversified Financial Services and Newfront Insurance Holdings, Inc., Equity, Acquisition Date 9/30/2021, Series Preferred Series D-22022-01-012022-12-310001280784Equity Investments Diversified Financial Services and Newfront Insurance Holdings, Inc., Equity, Acquisition Date 9/30/2021, Series Preferred Series D-22022-12-310001280784Equity Investments Diversified Financial Services (2.49%)2022-12-310001280784Equity Investments Drug Delivery and AcelRx Pharmaceuticals, Inc., Equity, Acquisition Date 12/10/2018, Series Common Stock2022-01-012022-12-310001280784Equity Investments Drug Delivery and AcelRx Pharmaceuticals, Inc., Equity, Acquisition Date 12/10/2018, Series Common Stock2022-12-310001280784Equity Investments Drug Delivery and Aytu BioScience, Inc., Equity, Acquisition Date 3/28/2014, Series Common Stock2022-01-012022-12-310001280784Equity Investments Drug Delivery and Aytu BioScience, Inc., Equity, Acquisition Date 3/28/2014, Series Common Stock2022-12-310001280784Equity Investments Drug Delivery and BioQ Pharma Incorporated, Equity, Acquisition Date 12/8/2015, Series Preferred Series D2022-01-012022-12-310001280784Equity Investments Drug Delivery and BioQ Pharma Incorporated, Equity, Acquisition Date 12/8/2015, Series Preferred Series D2022-12-310001280784Equity Investments Drug Delivery and PDS Biotechnology Corporation, Equity, Acquisition Date 4/6/2015, Series Common Stock2022-01-012022-12-310001280784Equity Investments Drug Delivery and PDS Biotechnology Corporation, Equity, Acquisition Date 4/6/2015, Series Common Stock2022-12-310001280784Equity Investments Drug Delivery (0.01%)2022-12-310001280784Equity Investments Drug Discovery & Development and Akero Therapeutics, Inc., Equity, Acquisition Date 9/19/2022, Series Common Stock2022-01-012022-12-310001280784Equity Investments Drug Discovery & Development and Akero Therapeutics, Inc., Equity, Acquisition Date 9/19/2022, Series Common Stock2022-12-310001280784Equity Investments Drug Discovery & Development and Albireo Pharma, Inc., Equity, Acquisition Date 9/14/2020, Series Common Stock2022-01-012022-12-310001280784Equity Investments Drug Discovery & Development and Albireo Pharma, Inc., Equity, Acquisition Date 9/14/2020, Series Common Stock2022-12-310001280784Equity Investments Drug Discovery & Development and Applied Molecular Transport, Equity, Acquisition Date 4/6/2021, Series Common Stock2022-01-012022-12-310001280784Equity Investments Drug Discovery & Development and Applied Molecular Transport, Equity, Acquisition Date 4/6/2021, Series Common Stock2022-12-310001280784Equity Investments Drug Discovery & Development and Avalo Therapeutics, Inc., Equity, Acquisition Date 8/19/2014, Series Common Stock2022-01-012022-12-310001280784Equity Investments Drug Discovery & Development and Avalo Therapeutics, Inc., Equity, Acquisition Date 8/19/2014, Series Common Stock2022-12-310001280784Equity Investments Drug Discovery & Development and Aveo Pharmaceuticals, Inc., Equity, Acquisition Date 7/31/2011, Series Common Stock2022-01-012022-12-310001280784Equity Investments Drug Discovery & Development and Aveo Pharmaceuticals, Inc., Equity, Acquisition Date 7/31/2011, Series Common Stock2022-12-310001280784Equity Investments Drug Discovery & Development and Axsome Therapeutics, Inc., Equity, Acquisition Date 5/9/2022, Series Common Stock2022-01-012022-12-310001280784Equity Investments Drug Discovery & Development and Axsome Therapeutics, Inc., Equity, Acquisition Date 5/9/2022, Series Common Stock2022-12-310001280784Equity Investments Drug Discovery & Development and Bicycle Therapeutics PLC, Equity, Acquisition Date 10/5/2020, Series Common Stock2022-01-012022-12-310001280784Equity Investments Drug Discovery & Development and Bicycle Therapeutics PLC, Equity, Acquisition Date 10/5/2020, Series Common Stock2022-12-310001280784Equity Investments and Drug Discovery & Development and BridgeBio Pharma, Inc., Equity, Acquisition Date 6/21/2018, Series Common Stock2022-01-012022-12-310001280784Equity Investments and Drug Discovery & Development and BridgeBio Pharma, Inc., Equity, Acquisition Date 6/21/2018, Series Common Stock2022-12-310001280784Equity Investments Drug Discovery & Development and Concert Pharmaceuticals, Inc., Equity, Acquisition Date 2/13/2019, Series Common Stock2022-01-012022-12-310001280784Equity Investments Drug Discovery & Development and Concert Pharmaceuticals, Inc., Equity, Acquisition Date 2/13/2019, Series Common Stock2022-12-310001280784Equity Investments Drug Discovery & Development and Dare Biosciences, Inc., Equity, Acquisition Date 1/8/2015, Series Common Stock2022-01-012022-12-310001280784Equity Investments Drug Discovery & Development and Dare Biosciences, Inc., Equity, Acquisition Date 1/8/2015, Series Common Stock2022-12-310001280784Equity Investments Drug Discovery & Development and Dynavax Technologies, Equity, Acquisition Date 7/22/2015, Series Common Stock2022-01-012022-12-310001280784Equity Investments Drug Discovery & Development and Dynavax Technologies, Equity, Acquisition Date 7/22/2015, Series Common Stock2022-12-310001280784Equity Investments Drug Discovery & Development and Gritstone Bio, Inc., Equity, Acquisition Date 10/26/2022, Series Common Stock2022-01-012022-12-310001280784Equity Investments Drug Discovery & Development and Gritstone Bio, Inc., Equity, Acquisition Date 10/26/2022, Series Common Stock2022-12-310001280784Equity Investments Drug Discovery & Development and Hibercell, Inc., Equity, Acquisition Date 5/7/2021, Series Preferred Series B2022-01-012022-12-310001280784Equity Investments Drug Discovery & Development and Hibercell, Inc., Equity, Acquisition Date 5/7/2021, Series Preferred Series B2022-12-310001280784Equity Investments Drug Discovery & Development and HilleVax, Inc, Equity, Acquisition Date 5/3/2022, Series Common Stock2022-01-012022-12-310001280784Equity Investments Drug Discovery & Development and HilleVax, Inc, Equity, Acquisition Date 5/3/2022, Series Common Stock2022-12-310001280784Equity Investments Drug Discovery & Development and Humanigen, Inc., Equity, Acquisition Date 3/31/2021, Series Common Stock2022-01-012022-12-310001280784Equity Investments Drug Discovery & Development and Humanigen, Inc., Equity, Acquisition Date 3/31/2021, Series Common Stock2022-12-310001280784Equity Investments Drug Discovery & Development and NorthSea Therapeutics, Equity, Acquisition Date 12/15/2021, Series Preferred Series C2022-01-012022-12-310001280784Equity Investments Drug Discovery & Development and NorthSea Therapeutics, Equity, Acquisition Date 12/15/2021, Series Preferred Series C2022-12-310001280784Equity Investments Drug Discovery & Development and Paratek Pharmaceuticals, Inc., Equity, Acquisition Date 2/26/2007, Series Common Stock2022-01-012022-12-310001280784Equity Investments Drug Discovery & Development and Paratek Pharmaceuticals, Inc., Equity, Acquisition Date 2/26/2007, Series Common Stock2022-12-310001280784Equity Investments Drug Discovery & Development and Rocket Pharmaceuticals, Ltd., Equity, Acquisition Date 8/22/2007, Series Common Stock2022-01-012022-12-310001280784Equity Investments Drug Discovery & Development and Rocket Pharmaceuticals, Ltd., Equity, Acquisition Date 8/22/2007, Series Common Stock2022-12-310001280784Equity Investments Drug Discovery & Development and Savara, Inc., Equity, Acquisition Date 8/11/2015, Series Common Stock2022-01-012022-12-310001280784Equity Investments Drug Discovery & Development and Savara, Inc., Equity, Acquisition Date 8/11/2015, Series Common Stock2022-12-310001280784Equity Investments Drug Discovery & Development and Sio Gene Therapies, Inc., Equity, Acquisition Date 2/2/2017, Series Common Stock2022-01-012022-12-310001280784Equity Investments Drug Discovery & Development and Sio Gene Therapies, Inc., Equity, Acquisition Date 2/2/2017, Series Common Stock2022-12-310001280784Equity Investments Drug Discovery & Development and Tarsus Pharmaceuticals, Inc., Equity, Acquisition Date 5/5/2022, Series Common Stock2022-01-012022-12-310001280784Equity Investments Drug Discovery & Development and Tarsus Pharmaceuticals, Inc., Equity, Acquisition Date 5/5/2022, Series Common Stock2022-12-310001280784Equity Investments Drug Discovery & Development and Tricida, Inc., Equity, Acquisition Date 2/28/2018, Series Common Stock2022-01-012022-12-310001280784Equity Investments Drug Discovery & Development and Tricida, Inc., Equity, Acquisition Date 2/28/2018, Series Common Stock2022-12-310001280784Equity Investments Drug Discovery & Development and uniQure B.V., Equity, Acquisition Date 1/31/2019, Series Common Stock2022-01-012022-12-310001280784Equity Investments Drug Discovery & Development and uniQure B.V., Equity, Acquisition Date 1/31/2019, Series Common Stock2022-12-310001280784Equity Investments Drug Discovery & Development and Valo Health, LLC, Equity, Acquisition Date 12/11/2020, Series Preferred Series B2022-01-012022-12-310001280784Equity Investments Drug Discovery & Development and Valo Health, LLC, Equity, Acquisition Date 12/11/2020, Series Preferred Series B2022-12-310001280784Equity Investments Drug Discovery & Development and Valo Health, LLC, Equity, Acquisition Date 10/31/2022, Series Preferred Series C2022-01-012022-12-310001280784Equity Investments Drug Discovery & Development and Valo Health, LLC, Equity, Acquisition Date 10/31/2022, Series Preferred Series C2022-12-310001280784Equity Investments Drug Discovery & Development, Valo Health LLC2022-12-310001280784Equity Investments Drug Discovery & Development and X4 Pharmaceuticals, Inc., Equity, Acquisition Date 11/26/2019, Series Common Stock2022-01-012022-12-310001280784Equity Investments Drug Discovery & Development and X4 Pharmaceuticals, Inc., Equity, Acquisition Date 11/26/2019, Series Common Stock2022-12-310001280784Equity Investments Drug Discovery & Development (2.66%)2022-12-310001280784Equity Investments Electronics & Computer Hardware and Locus Robotics Corp., Equity, Acquisition Date 11/17/2022, Series Preferred Series F2022-01-012022-12-310001280784Equity Investments Electronics & Computer Hardware and Locus Robotics Corp., Equity, Acquisition Date 11/17/2022, Series Preferred Series F2022-12-310001280784Equity Investments Electronics & Computer Hardware and Skydio, Inc., Equity, Acquisition Date 3/8/2022, Series Preferred Series E2022-01-012022-12-310001280784Equity Investments Electronics & Computer Hardware and Skydio, Inc., Equity, Acquisition Date 3/8/2022, Series Preferred Series E2022-12-310001280784Equity Investments Electronics & Computer Hardware (0.11%)2022-12-310001280784Equity Investments Healthcare Services, Other and 23andMe, Inc., Equity, Acquisition Date 3/11/2019, Series Common Stock2022-01-012022-12-310001280784Equity Investments Healthcare Services, Other and 23andMe, Inc., Equity, Acquisition Date 3/11/2019, Series Common Stock2022-12-310001280784Equity Investments Healthcare Services, Other and Carbon Health Technologies, Inc., Equity, Acquisition Date 3/30/2021, Series Preferred Series C2022-01-012022-12-310001280784Equity Investments Healthcare Services, Other and Carbon Health Technologies, Inc., Equity, Acquisition Date 3/30/2021, Series Preferred Series C2022-12-310001280784Equity Investments Healthcare Services, Other (0.21%)2022-12-310001280784Equity Investments Information Services and Planet Labs, Inc., Equity, Acquisition Date 6/21/2019, Series Common Stock2022-01-012022-12-310001280784Equity Investments Information Services and Planet Labs, Inc., Equity, Acquisition Date 6/21/2019, Series Common Stock2022-12-310001280784Equity Investments Information Services and Yipit, LLC, Equity, Acquisition Date 12/30/2021, Series Preferred Series E2022-01-012022-12-310001280784Equity Investments Information Services and Yipit, LLC, Equity, Acquisition Date 12/30/2021, Series Preferred Series E2022-12-310001280784Equity Investments Information Services and Zeta Global Corp., Equity, Acquisition Date 11/20/2007, Series Common Stock2022-01-012022-12-310001280784Equity Investments Information Services and Zeta Global Corp., Equity, Acquisition Date 11/20/2007, Series Common Stock2022-12-310001280784Equity Investments Information Services (0.58%)2022-12-310001280784Equity Investments Medical Devices & Equipment and Coronado Aesthetics, LLC, Equity, Acquisition Date 10/15/2021, Series Common Units2022-01-012022-12-310001280784Equity Investments Medical Devices & Equipment and Coronado Aesthetics, LLC, Equity, Acquisition Date 10/15/2021, Series Common Units2022-12-310001280784Equity Investments and Medical Devices & Equipment and Coronado Aesthetics, LLC, Equity, Acquisition Date 10/15/2021, Series Preferred Series A-22022-01-012022-12-310001280784Equity Investments and Medical Devices & Equipment and Coronado Aesthetics, LLC, Equity, Acquisition Date 10/15/2021, Series Preferred Series A-22022-12-310001280784Equity Investments Medical Devices & Equipment, Coronado Aesthetics, LLC2022-12-310001280784Equity Investments Medical Devices & Equipment and Flowonix Medical Incorporated, Equity, Acquisition Date 11/3/2014, Series Preferred Series AA2022-01-012022-12-310001280784Equity Investments Medical Devices & Equipment and Flowonix Medical Incorporated, Equity, Acquisition Date 11/3/2014, Series Preferred Series AA2022-12-310001280784Equity Investments Medical Devices & Equipment and Gelesis, Inc., Equity, Acquisition Date 11/30/2009, Series Common Stock2022-01-012022-12-310001280784Equity Investments Medical Devices & Equipment and Gelesis, Inc., Equity, Acquisition Date 11/30/2009, Series Common Stock2022-12-310001280784Equity Investments Medical Devices & Equipment and ViewRay, Inc., Equity, Acquisition Date 12/16/2013, Series Common Stock2022-01-012022-12-310001280784Equity Investments Medical Devices & Equipment and ViewRay, Inc., Equity, Acquisition Date 12/16/2013, Series Common Stock2022-12-310001280784Equity Investments Medical Devices & Equipment (0.07%)2022-12-310001280784Equity Investments Semiconductors and Achronix Semiconductor Corporation, Equity, Acquisition Date 7/1/2011, Series Preferred Series C2022-01-012022-12-310001280784Equity Investments Semiconductors and Achronix Semiconductor Corporation, Equity, Acquisition Date 7/1/2011, Series Preferred Series C2022-12-310001280784Equity Investments Semiconductors (0.01%)2022-12-310001280784Equity Investments Software and 3GTMS, LLC, Equity, Acquisition Date 8/9/2021, Series Common Stock2022-01-012022-12-310001280784Equity Investments Software and 3GTMS, LLC, Equity, Acquisition Date 8/9/2021, Series Common Stock2022-12-310001280784Equity Investments Software and Black Crow AI, Inc. affiliates, Equity, Acquisition Date 3/24/2021, Series Preferred Note2022-01-012022-12-310001280784Equity Investments Software and Black Crow AI, Inc. affiliates, Equity, Acquisition Date 3/24/2021, Series Preferred Note2022-12-310001280784Equity Investments Software and CapLinked, Inc., Equity, Acquisition Date 10/26/2012, Series Preferred Series A-32022-01-012022-12-310001280784Equity Investments Software and CapLinked, Inc., Equity, Acquisition Date 10/26/2012, Series Preferred Series A-32022-12-310001280784Equity Investments Software and Contentful Global, Inc., Equity, Acquisition Date 12/22/2020, Series Preferred Series C2022-01-012022-12-310001280784Equity Investments Software and Contentful Global, Inc., Equity, Acquisition Date 12/22/2020, Series Preferred Series C2022-12-310001280784Equity Investments Software and Contentful Global, Inc., Equity, Acquisition Date 11/20/2018, Series Preferred Series D2022-01-012022-12-310001280784Equity Investments Software and Contentful Global, Inc., Equity, Acquisition Date 11/20/2018, Series Preferred Series D2022-12-310001280784Equity Investments Software, Contentful Global, Inc.2022-12-310001280784Equity Investments Software and Docker, Inc., Equity, Acquisition Date 11/29/2018, Series Common Stock2022-01-012022-12-310001280784Equity Investments Software and Docker, Inc., Equity, Acquisition Date 11/29/2018, Series Common Stock2022-12-310001280784Equity Investments Software and Druva Holdings, Inc., Equity, Acquisition Date 10/22/2015, Series Preferred Series 22022-01-012022-12-310001280784Equity Investments Software and Druva Holdings, Inc., Equity, Acquisition Date 10/22/2015, Series Preferred Series 22022-12-310001280784Equity Investments Software and Druva Holdings, Inc., Equity, Acquisition Date 8/24/2017, Series Preferred Series 32022-01-012022-12-310001280784Equity Investments Software and Druva Holdings, Inc., Equity, Acquisition Date 8/24/2017, Series Preferred Series 32022-12-310001280784Equity Investments Software, Druva Holdings, Inc.2022-12-310001280784Equity Investments Software and HighRoads, Inc., Equity, Acquisition Date 1/18/2013, Series Common Stock2022-01-012022-12-310001280784Equity Investments Software and HighRoads, Inc., Equity, Acquisition Date 1/18/2013, Series Common Stock2022-12-310001280784Equity Investments Software and Lightbend, Inc., Equity, Acquisition Date 12/4/2020, Series Common Stock2022-01-012022-12-310001280784Equity Investments Software and Lightbend, Inc., Equity, Acquisition Date 12/4/2020, Series Common Stock2022-12-310001280784Equity Investments Software and Nextdoor.com, Inc., Equity, Acquisition Date 8/1/2018, Series Common Stock2022-01-012022-12-310001280784Equity Investments Software and Nextdoor.com, Inc., Equity, Acquisition Date 8/1/2018, Series Common Stock2022-12-310001280784Equity Investments Software and Palantir Technologies, Equity, Acquisition Date 9/23/2020, Series Common Stock2022-01-012022-12-310001280784Equity Investments Software and Palantir Technologies, Equity, Acquisition Date 9/23/2020, Series Common Stock2022-12-310001280784Equity Investments Software and SingleStore, Inc., Equity, Acquisition Date 11/25/2020, Series Preferred Series E2022-01-012022-12-310001280784Equity Investments Software and SingleStore, Inc., Equity, Acquisition Date 11/25/2020, Series Preferred Series E2022-12-310001280784Equity Investments Software and SingleStore, Inc., Equity, Acquisition Date 8/12/2021, Series Preferred Series F2022-01-012022-12-310001280784Equity Investments Software and SingleStore, Inc., Equity, Acquisition Date 8/12/2021, Series Preferred Series F2022-12-310001280784Equity Investments Software, SingleStore, Inc.2022-12-310001280784Equity Investments Software and Sprinklr, Inc., Equity, Acquisition Date 3/22/2017, Series Common Stock2022-01-012022-12-310001280784Equity Investments Software and Sprinklr, Inc., Equity, Acquisition Date 3/22/2017, Series Common Stock2022-12-310001280784Equity Investments Software and Verana Health, Inc., Equity, Acquisition Date 7/8/2021, Series Preferred Series E2022-01-012022-12-310001280784Equity Investments Software and Verana Health, Inc., Equity, Acquisition Date 7/8/2021, Series Preferred Series E2022-12-310001280784Equity Investments Software and ZeroFox, Inc., Equity, Acquisition Date 5/7/2020, Series Common Stock2022-01-012022-12-310001280784Equity Investments Software and ZeroFox, Inc., Equity, Acquisition Date 5/7/2020, Series Common Stock2022-12-310001280784Equity Investments Software (2.07%)2022-12-310001280784Equity Investments Surgical Devices and Gynesonics, Inc., Equity, Acquisition Date 1/18/2007, Series Preferred Series B2022-01-012022-12-310001280784Equity Investments Surgical Devices and Gynesonics, Inc., Equity, Acquisition Date 1/18/2007, Series Preferred Series B2022-12-310001280784Equity Investments Surgical Devices and Gynesonics, Inc., Equity, Acquisition Date 6/16/2010, Series Preferred Series C2022-01-012022-12-310001280784Equity Investments Surgical Devices and Gynesonics, Inc., Equity, Acquisition Date 6/16/2010, Series Preferred Series C2022-12-310001280784Equity Investments Surgical Devices and Gynesonics, Inc., Equity, Acquisition Date 2/8/2013, Series Preferred Series D2022-01-012022-12-310001280784Equity Investments Surgical Devices and Gynesonics, Inc., Equity, Acquisition Date 2/8/2013, Series Preferred Series D2022-12-310001280784Equity Investments Surgical Devices and Gynesonics, Inc., Equity, Acquisition Date 7/14/2015, Series Preferred Series E2022-01-012022-12-310001280784Equity Investments Surgical Devices and Gynesonics, Inc., Equity, Acquisition Date 7/14/2015, Series Preferred Series E2022-12-310001280784Equity Investments Surgical Devices and Gynesonics, Inc., Equity, Acquisition Date 12/18/2018, Series Preferred Series F2022-01-012022-12-310001280784Equity Investments Surgical Devices and Gynesonics, Inc., Equity, Acquisition Date 12/18/2018, Series Preferred Series F2022-12-310001280784Equity Investments Surgical Devices and Gynesonics, Inc., Equity, Acquisition Date 12/18/2018, Series Preferred Series F-12022-01-012022-12-310001280784Equity Investments Surgical Devices and Gynesonics, Inc., Equity, Acquisition Date 12/18/2018, Series Preferred Series F-12022-12-310001280784Equity Investments Surgical Devices, Gynesonics, Inc.2022-12-310001280784Equity Investments Surgical Devices and TransMedics Group, Inc., Equity, Acquisition Date 11/7/2012, Series Common Stock2022-01-012022-12-310001280784Equity Investments Surgical Devices and TransMedics Group, Inc., Equity, Acquisition Date 11/7/2012, Series Common Stock2022-12-310001280784Equity Investments Surgical Devices (0.18%)2022-12-310001280784Equity Investments Sustainable and Renewable Technology and Fulcrum Bioenergy, Inc., Equity, Acquisition Date 9/13/2012, Series Preferred Series C-12022-01-012022-12-310001280784Equity Investments Sustainable and Renewable Technology and Fulcrum Bioenergy, Inc., Equity, Acquisition Date 9/13/2012, Series Preferred Series C-12022-12-310001280784Equity Investments Sustainable and Renewable Technology and Impossible Foods, Inc., Equity, Acquisition Date 5/10/2019, Series Preferred Series E-12022-01-012022-12-310001280784Equity Investments Sustainable and Renewable Technology and Impossible Foods, Inc., Equity, Acquisition Date 5/10/2019, Series Preferred Series E-12022-12-310001280784Equity Investments Sustainable and Renewable Technology and Modumetal, Inc., Equity, Acquisition Date 6/1/2015, Series Common Stock2022-01-012022-12-310001280784Equity Investments Sustainable and Renewable Technology and Modumetal, Inc., Equity, Acquisition Date 6/1/2015, Series Common Stock2022-12-310001280784Equity Investments Sustainable and Renewable Technology and NantEnergy, LLC, Equity, Acquisition Date 8/31/2013, Series Common Units2022-01-012022-12-310001280784Equity Investments Sustainable and Renewable Technology and NantEnergy, LLC, Equity, Acquisition Date 8/31/2013, Series Common Units2022-12-310001280784Equity Investments Sustainable and Renewable Technology and Pineapple Energy LLC, Equity, Acquisition Date 12/10/2020, Series Common Stock2022-01-012022-12-310001280784Equity Investments Sustainable and Renewable Technology and Pineapple Energy LLC, Equity, Acquisition Date 12/10/2020, Series Common Stock2022-12-310001280784Equity Investments Sustainable and Renewable Technology and Pivot Bio, Inc., Equity, Acquisition Date 6/28/2021, Series Preferred Series D2022-01-012022-12-310001280784Equity Investments Sustainable and Renewable Technology and Pivot Bio, Inc., Equity, Acquisition Date 6/28/2021, Series Preferred Series D2022-12-310001280784Equity Investments Sustainable and Renewable Technology and Proterra, Inc., Equity, Acquisition Date 5/28/2015, Series Common Stock2022-01-012022-12-310001280784Equity Investments Sustainable and Renewable Technology and Proterra, Inc., Equity, Acquisition Date 5/28/2015, Series Common Stock2022-12-310001280784Equity Investments Sustainable and Renewable Technology (0.57%)2022-12-310001280784Equity Investments (9.56%)2022-12-310001280784Warrant Investments and Biotechnology Tools and Alamar Biosciences, Inc., Warrant, Acquisition Date 6/21/2022, Preferred Series B2022-01-012022-12-310001280784Warrant Investments and Biotechnology Tools and Alamar Biosciences, Inc., Warrant, Acquisition Date 6/21/2022, Preferred Series B2022-12-310001280784Warrant Investments and Biotechnology Tools and PathAI, Inc., Warrant, Acquisition Date 12/23/2022, Common Stock2022-01-012022-12-310001280784Warrant Investments and Biotechnology Tools and PathAI, Inc., Warrant, Acquisition Date 12/23/2022, Common Stock2022-12-310001280784Warrant Investments and Biotechnology Tools (0.03%)2022-12-310001280784Warrant Investments and Communications & Networking and Aryaka Networks, Inc., Warrant, Acquisition Date 6/28/2022, Common Stock2022-01-012022-12-310001280784Warrant Investments and Communications & Networking and Aryaka Networks, Inc., Warrant, Acquisition Date 6/28/2022, Common Stock2022-12-310001280784Warrant Investments and Communications & Networking and Spring Mobile Solutions, Inc., Warrant, Acquisition Date 4/19/2013, Common Stock2022-01-012022-12-310001280784Warrant Investments and Communications & Networking and Spring Mobile Solutions, Inc., Warrant, Acquisition Date 4/19/2013, Common Stock2022-12-310001280784Warrant Investments and Communications & Networking (0.01%)2022-12-310001280784Warrant Investments and Consumer & Business Products and Gadget Guard, LLC, Warrant, Acquisition Date 6/3/2014, Common Stock2022-01-012022-12-310001280784Warrant Investments and Consumer & Business Products and Gadget Guard, LLC, Warrant, Acquisition Date 6/3/2014, Common Stock2022-12-310001280784Warrant Investments and Consumer & Business Products and Savage X Holding, LLC, Warrant, Acquisition Date 6/27/2014, Class A Units2022-01-012022-12-310001280784Warrant Investments and Consumer & Business Products and Savage X Holding, LLC, Warrant, Acquisition Date 6/27/2014, Class A Units2022-12-310001280784Warrant Investments and Consumer & Business Products and TechStyle, Inc., Warrant, Acquisition Date 7/16/2013, Preferred Series B2022-01-012022-12-310001280784Warrant Investments and Consumer & Business Products and TechStyle, Inc., Warrant, Acquisition Date 7/16/2013, Preferred Series B2022-12-310001280784Warrant Investments and Consumer & Business Products and TFG Holding, Inc., Warrant, Acquisition Date 6/27/2014, Common Stock2022-01-012022-12-310001280784Warrant Investments and Consumer & Business Products and TFG Holding, Inc., Warrant, Acquisition Date 6/27/2014, Common Stock2022-12-310001280784Warrant Investments and Consumer & Business Products and The Neat Company, Warrant, Acquisition Date 8/13/2014, Common Stock2022-01-012022-12-310001280784Warrant Investments and Consumer & Business Products and The Neat Company, Warrant, Acquisition Date 8/13/2014, Common Stock2022-12-310001280784Warrant Investments and Consumer & Business Products and Whoop, Inc., Warrant, Acquisition Date 6/27/2018, Preferred Series C2022-01-012022-12-310001280784Warrant Investments and Consumer & Business Products and Whoop, Inc., Warrant, Acquisition Date 6/27/2018, Preferred Series C2022-12-310001280784Warrant Investments and Consumer & Business Products (0.17%)2022-12-310001280784Warrant Investments and Consumer & Business Services and Carwow LTD, Warrant, Acquisition Date 12/14/2021, Common Stock2022-01-012022-12-310001280784Warrant Investments and Consumer & Business Services and Carwow LTD, Warrant, Acquisition Date 12/14/2021, Common Stock2022-12-310001280784Warrant Investments and Consumer & Business Services and Houzz, Inc., Warrant, Acquisition Date 10/29/2019, Common Stock2022-01-012022-12-310001280784Warrant Investments and Consumer & Business Services and Houzz, Inc., Warrant, Acquisition Date 10/29/2019, Common Stock2022-12-310001280784Warrant Investments and Consumer & Business Services and Landing Holdings Inc., Warrant, Acquisition Date 3/12/2021, Common Stock2022-01-012022-12-310001280784Warrant Investments and Consumer & Business Services and Landing Holdings Inc., Warrant, Acquisition Date 3/12/2021, Common Stock2022-12-310001280784Warrant Investments and Consumer & Business Services and Lendio, Inc., Warrant, Acquisition Date 3/29/2019, Preferred Series D2022-01-012022-12-310001280784Warrant Investments and Consumer & Business Services and Lendio, Inc., Warrant, Acquisition Date 3/29/2019, Preferred Series D2022-12-310001280784Warrant Investments and Consumer & Business Services and Provi, Warrant, Acquisition Date 12/22/2022, Common Stock2022-01-012022-12-310001280784Warrant Investments and Consumer & Business Services and Provi, Warrant, Acquisition Date 12/22/2022, Common Stock2022-12-310001280784Warrant Investments and Consumer & Business Services and Rhino Labs, Inc., Warrant, Acquisition Date 3/12/2021, Common Stock2022-01-012022-12-310001280784Warrant Investments and Consumer & Business Services and Rhino Labs, Inc., Warrant, Acquisition Date 3/12/2021, Common Stock2022-12-310001280784Warrant Investments and Consumer & Business Services and RumbleON, Inc., Warrant, Acquisition Date 4/30/2018, Common Stock2022-01-012022-12-310001280784Warrant Investments and Consumer & Business Services and RumbleON, Inc., Warrant, Acquisition Date 4/30/2018, Common Stock2022-12-310001280784Warrant Investments and Consumer & Business Services and SeatGeek, Inc., Warrant, Acquisition Date 6/12/2019, Common Stock2022-01-012022-12-310001280784Warrant Investments and Consumer & Business Services and SeatGeek, Inc., Warrant, Acquisition Date 6/12/2019, Common Stock2022-12-310001280784Warrant Investments and Consumer & Business Services and Skyword, Inc., Warrant, Acquisition Date 11/14/2022, Common Stock2022-01-012022-12-310001280784Warrant Investments and Consumer & Business Services and Skyword, Inc., Warrant, Acquisition Date 11/14/2022, Common Stock2022-12-310001280784Warrant Investments and Consumer & Business Services and Skyword, Inc., Warrant, Acquisition Date 8/23/2019, Preferred Series B2022-01-012022-12-310001280784Warrant Investments and Consumer & Business Services and Skyword, Inc., Warrant, Acquisition Date 8/23/2019, Preferred Series B2022-12-310001280784Warrant Investments and Consumer & Business Services and Skyword, Inc.2022-12-310001280784Warrant Investments and Consumer & Business Services and Snagajob.com, Inc., Warrant, Acquisition Date 4/20/2020, Common Stock2022-01-012022-12-310001280784Warrant Investments and Consumer & Business Services and Snagajob.com, Inc., Warrant, Acquisition Date 4/20/2020, Common Stock2022-12-310001280784Warrant Investments and Consumer & Business Services and Snagajob.com, Inc., Warrant, Acquisition Date 6/30/2016, Preferred Series A2022-01-012022-12-310001280784Warrant Investments and Consumer & Business Services and Snagajob.com, Inc., Warrant, Acquisition Date 6/30/2016, Preferred Series A2022-12-310001280784Warrant Investments and Consumer & Business Services and Snagajob.com, Inc., Warrant, Acquisition Date 8/1/2018, Preferred Series B2022-01-012022-12-310001280784Warrant Investments and Consumer & Business Services and Snagajob.com, Inc., Warrant, Acquisition Date 8/1/2018, Preferred Series B2022-12-310001280784Warrant Investments and Consumer & Business Services and Snagajob.com, Inc.2022-12-310001280784Warrant Investments and Consumer & Business Services and Thumbtack, Inc., Warrant, Acquisition Date 5/1/2018, Common Stock2022-01-012022-12-310001280784Warrant Investments and Consumer & Business Services and Thumbtack, Inc., Warrant, Acquisition Date 5/1/2018, Common Stock2022-12-310001280784Warrant Investments and Consumer & Business Services and Udacity, Inc., Warrant, Acquisition Date 9/25/2020, Common Stock2022-01-012022-12-310001280784Warrant Investments and Consumer & Business Services and Udacity, Inc., Warrant, Acquisition Date 9/25/2020, Common Stock2022-12-310001280784Warrant Investments and Consumer & Business Services and Veem, Inc., Warrant, Acquisition Date 3/31/2022, Common Stock2022-01-012022-12-310001280784Warrant Investments and Consumer & Business Services and Veem, Inc., Warrant, Acquisition Date 3/31/2022, Common Stock2022-12-310001280784Warrant Investments and Consumer & Business Services and Worldremit Group Limited, Warrant, Acquisition Date 2/11/2021, Preferred Series D2022-01-012022-12-310001280784Warrant Investments and Consumer & Business Services and Worldremit Group Limited, Warrant, Acquisition Date 2/11/2021, Preferred Series D2022-12-310001280784Warrant Investments and Consumer & Business Services and Worldremit Group Limited, Warrant, Acquisition Date 8/27/2021, Preferred Series E2022-01-012022-12-310001280784Warrant Investments and Consumer & Business Services and Worldremit Group Limited, Warrant, Acquisition Date 8/27/2021, Preferred Series E2022-12-310001280784Warrant Investments and Consumer & Business Services and Worldremit Group Limited2022-12-310001280784Warrant Investments and Consumer & Business Services (0.19%)2022-12-310001280784Warrant Investments and Drug Delivery and Aerami Therapeutics Holdings, Inc., Warrant, Acquisition Date 9/30/2015, Common Stock2022-01-012022-12-310001280784Warrant Investments and Drug Delivery and Aerami Therapeutics Holdings, Inc., Warrant, Acquisition Date 9/30/2015, Common Stock2022-12-310001280784Warrant Investments and Drug Delivery and BioQ Pharma Incorporated, Warrant, Acquisition Date 10/27/2014, Common Stock2022-01-012022-12-310001280784Warrant Investments and Drug Delivery and BioQ Pharma Incorporated, Warrant, Acquisition Date 10/27/2014, Common Stock2022-12-310001280784Warrant Investments and Drug Delivery and PDS Biotechnology Corporation, Warrant, Acquisition Date 8/28/2014, Common Stock2022-01-012022-12-310001280784Warrant Investments and Drug Delivery and PDS Biotechnology Corporation, Warrant, Acquisition Date 8/28/2014, Common Stock2022-12-310001280784Warrant Investments and Drug Delivery (0.00%)2022-12-310001280784Warrant Investments and Drug Discovery & Development and Acacia Pharma Inc., Warrant, Acquisition Date 6/29/2018, Common Stock2022-01-012022-12-310001280784Warrant Investments and Drug Discovery & Development and Acacia Pharma Inc., Warrant, Acquisition Date 6/29/2018, Common Stock2022-12-310001280784Warrant Investments and Drug Discovery & Development and ADMA Biologics, Inc., Warrant, Acquisition Date 2/24/2014, Common Stock2022-01-012022-12-310001280784Warrant Investments and Drug Discovery & Development and ADMA Biologics, Inc., Warrant, Acquisition Date 2/24/2014, Common Stock2022-12-310001280784Warrant Investments and Drug Discovery & Development and Akero Therapeutics, Inc., Warrant, Acquisition Date 6/15/2022, Common Stock2022-01-012022-12-310001280784Warrant Investments and Drug Discovery & Development and Akero Therapeutics, Inc., Warrant, Acquisition Date 6/15/2022, Common Stock2022-12-310001280784Warrant Investments and Drug Discovery & Development and Albireo Pharma, Inc., Warrant, Acquisition Date 6/8/2020, Common Stock2022-01-012022-12-310001280784Warrant Investments and Drug Discovery & Development and Albireo Pharma, Inc., Warrant, Acquisition Date 6/8/2020, Common Stock2022-12-310001280784Warrant Investments and Drug Discovery & Development and AmplifyBio, LLC, Warrant, Acquisition Date 12/27/2022, Class A Units2022-01-012022-12-310001280784Warrant Investments and Drug Discovery & Development and AmplifyBio, LLC, Warrant, Acquisition Date 12/27/2022, Class A Units2022-12-310001280784Warrant Investments and Drug Discovery & Development and Axsome Therapeutics, Inc., Warrant, Acquisition Date 9/25/2020, Common Stock2022-01-012022-12-310001280784Warrant Investments and Drug Discovery & Development and Axsome Therapeutics, Inc., Warrant, Acquisition Date 9/25/2020, Common Stock2022-12-310001280784Warrant Investments and Drug Discovery & Development and Cellarity, Inc., Warrant, Acquisition Date 12/8/2021, Preferred Series B2022-01-012022-12-310001280784Warrant Investments and Drug Discovery & Development and Cellarity, Inc., Warrant, Acquisition Date 12/8/2021, Preferred Series B2022-12-310001280784Warrant Investments and Drug Discovery & Development and Century Therapeutics, Inc., Warrant, Acquisition Date 9/14/2020, Common Stock2022-01-012022-12-310001280784Warrant Investments and Drug Discovery & Development and Century Therapeutics, Inc., Warrant, Acquisition Date 9/14/2020, Common Stock2022-12-310001280784Warrant Investments and Drug Discovery & Development and Dermavant Sciences Ltd., Warrant, Acquisition Date 5/31/2019, Common Stock2022-01-012022-12-310001280784Warrant Investments and Drug Discovery & Development and Dermavant Sciences Ltd., Warrant, Acquisition Date 5/31/2019, Common Stock2022-12-310001280784Warrant Investments and Drug Discovery & Development and enGene, Inc., Warrant, Acquisition Date 12/30/2021, Preferred Series 32022-01-012022-12-310001280784Warrant Investments and Drug Discovery & Development and enGene, Inc., Warrant, Acquisition Date 12/30/2021, Preferred Series 32022-12-310001280784Warrant Investments and Drug Discovery & Development and Evofem Biosciences, Inc., Warrant, Acquisition Date 6/11/2014, Common Stock2022-01-012022-12-310001280784Warrant Investments and Drug Discovery & Development and Evofem Biosciences, Inc., Warrant, Acquisition Date 6/11/2014, Common Stock2022-12-310001280784Warrant Investments and Drug Discovery & Development and Fresh Tracks Therapeutics, Inc. (p.k.a. Brickell Biotech, Inc.), Warrant, Acquisition Date 2/18/2016, Common Stock2022-01-012022-12-310001280784Warrant Investments and Drug Discovery & Development and Fresh Tracks Therapeutics, Inc. (p.k.a. Brickell Biotech, Inc.), Warrant, Acquisition Date 2/18/2016, Common Stock2022-12-310001280784Warrant Investments and Drug Discovery & Development and Kineta, Inc., Warrant, Acquisition Date 12/20/2019, Common Stock2022-01-012022-12-310001280784Warrant Investments and Drug Discovery & Development and Kineta, Inc., Warrant, Acquisition Date 12/20/2019, Common Stock2022-12-310001280784Warrant Investments and Drug Discovery & Development and Kura Oncology, Inc., Warrant, Acquisition Date 11/2/2022, Common Stock2022-01-012022-12-310001280784Warrant Investments and Drug Discovery & Development and Kura Oncology, Inc., Warrant, Acquisition Date 11/2/2022, Common Stock2022-12-310001280784Warrant Investments and Drug Discovery & Development and Madrigal Pharmaceutical, Inc., Warrant, Acquisition Date 5/9/2022, Common Stock2022-01-012022-12-310001280784Warrant Investments and Drug Discovery & Development and Madrigal Pharmaceutical, Inc., Warrant, Acquisition Date 5/9/2022, Common Stock2022-12-310001280784Warrant Investments and Drug Discovery & Development and Myovant Sciences, Ltd., Warrant, Acquisition Date 10/16/2017, Common Stock2022-01-012022-12-310001280784Warrant Investments and Drug Discovery & Development and Myovant Sciences, Ltd., Warrant, Acquisition Date 10/16/2017, Common Stock2022-12-310001280784Warrant Investments and Drug Discovery & Development and Paratek Pharmaceuticals, Inc., Warrant, Acquisition Date 8/1/2018, Common Stock2022-01-012022-12-310001280784Warrant Investments and Drug Discovery & Development and Paratek Pharmaceuticals, Inc., Warrant, Acquisition Date 8/1/2018, Common Stock2022-12-310001280784Warrant Investments and Drug Discovery & Development and Phathom Pharmaceuticals, Inc., Warrant, Acquisition Date 9/17/2021, Common Stock2022-01-012022-12-310001280784Warrant Investments and Drug Discovery & Development and Phathom Pharmaceuticals, Inc., Warrant, Acquisition Date 9/17/2021, Common Stock2022-12-310001280784Warrant Investments and Drug Discovery & Development and Provention Bio, Inc., Warrant, Acquisition Date 9/15/2022, Common Stock2022-01-012022-12-310001280784Warrant Investments and Drug Discovery & Development and Provention Bio, Inc., Warrant, Acquisition Date 9/15/2022, Common Stock2022-12-310001280784Warrant Investments and Drug Discovery & Development and Redshift Bioanalytics, Inc., Warrant, Acquisition Date 3/23/2022, Preferred Series E2022-01-012022-12-310001280784Warrant Investments and Drug Discovery & Development and Redshift Bioanalytics, Inc., Warrant, Acquisition Date 3/23/2022, Preferred Series E2022-12-310001280784Warrant Investments and Drug Discovery & Development and Scynexis, Inc., Warrant, Acquisition Date 5/14/2021, Common Stock2022-01-012022-12-310001280784Warrant Investments and Drug Discovery & Development and Scynexis, Inc., Warrant, Acquisition Date 5/14/2021, Common Stock2022-12-310001280784Warrant Investments and Drug Discovery & Development and TG Therapeutics, Inc., Warrant, Acquisition Date 2/28/2019, Common Stock2022-01-012022-12-310001280784Warrant Investments and Drug Discovery & Development and TG Therapeutics, Inc., Warrant, Acquisition Date 2/28/2019, Common Stock2022-12-310001280784Warrant Investments and Drug Discovery & Development and Tricida, Inc., Warrant, Acquisition Date 3/27/2019, Common Stock2022-01-012022-12-310001280784Warrant Investments and Drug Discovery & Development and Tricida, Inc., Warrant, Acquisition Date 3/27/2019, Common Stock2022-12-310001280784Warrant Investments and Drug Discovery & Development and Valo Health, LLC, Warrant, Acquisition Date 6/15/2020, Common Units2022-01-012022-12-310001280784Warrant Investments and Drug Discovery & Development and Valo Health, LLC, Warrant, Acquisition Date 6/15/2020, Common Units2022-12-310001280784Warrant Investments and Drug Discovery & Development and X4 Pharmaceuticals, Inc., Warrant, Acquisition Date 12/9/2022, Common Stock2022-01-012022-12-310001280784Warrant Investments and Drug Discovery & Development and X4 Pharmaceuticals, Inc., Warrant, Acquisition Date 12/9/2022, Common Stock2022-12-310001280784Warrant Investments and Drug Discovery & Development (0.60%)2022-12-310001280784Warrant Investments and Electronics & Computer Hardware and 908 Devices, Inc., Warrant, Acquisition Date 3/15/2017, Common Stock2022-01-012022-12-310001280784Warrant Investments and Electronics & Computer Hardware and 908 Devices, Inc., Warrant, Acquisition Date 3/15/2017, Common Stock2022-12-310001280784Warrant Investments and Electronics & Computer Hardware and Locus Robotics Corp., Warrant, Acquisition Date 6/21/2022, Common Stock2022-01-012022-12-310001280784Warrant Investments and Electronics & Computer Hardware and Locus Robotics Corp., Warrant, Acquisition Date 6/21/2022, Common Stock2022-12-310001280784Warrant Investments and Electronics & Computer Hardware and Skydio, Inc., Warrant, Acquisition Date 11/08/2021, Common Stock2022-01-012022-12-310001280784Warrant Investments and Electronics & Computer Hardware and Skydio, Inc., Warrant, Acquisition Date 11/08/2021, Common Stock2022-12-310001280784Warrant Investments and Electronics & Computer Hardware (0.09%)2022-12-310001280784Warrant Investments and Healthcare Services, Other and Vida Health, Inc., Warrant, Acquisition Date 3/28/2022, Common Stock2022-01-012022-12-310001280784Warrant Investments and Healthcare Services, Other and Vida Health, Inc., Warrant, Acquisition Date 3/28/2022, Common Stock2022-12-310001280784Warrant Investments and Healthcare Services, Other (0.00%)2022-12-310001280784Warrant Investments and Information Services and Capella Space Corp., Warrant, Acquisition Date 10/21/2021, Common Stock2022-01-012022-12-310001280784Warrant Investments and Information Services and Capella Space Corp., Warrant, Acquisition Date 10/21/2021, Common Stock2022-12-310001280784Warrant Investments and Information Services and INMOBI Inc., Warrant, Acquisition Date 11/19/2014, Common Stock2022-01-012022-12-310001280784Warrant Investments and Information Services and INMOBI Inc., Warrant, Acquisition Date 11/19/2014, Common Stock2022-12-310001280784Warrant Investments and Information Services and NetBase Solutions, Inc., Warrant, Acquisition Date 8/22/2017, Preferred Series 12022-01-012022-12-310001280784Warrant Investments and Information Services and NetBase Solutions, Inc., Warrant, Acquisition Date 8/22/2017, Preferred Series 12022-12-310001280784Warrant Investments and Information Services and Signal Media Limited, Warrant, Acquisition Date 6/29/2022, Common Stock2022-01-012022-12-310001280784Warrant Investments and Information Services and Signal Media Limited, Warrant, Acquisition Date 6/29/2022, Common Stock2022-12-310001280784Warrant Investments and Information Services (0.04%)2022-12-310001280784Warrant Investments and Manufacturing Technology and Bright Machines, Inc., Warrant, Acquisition Date 3/31/2022, Common Stock2022-01-012022-12-310001280784Warrant Investments and Manufacturing Technology and Bright Machines, Inc., Warrant, Acquisition Date 3/31/2022, Common Stock2022-12-310001280784Warrant Investments and Manufacturing Technology and MacroFab, Inc., Warrant, Acquisition Date 3/23/2022, Common Stock2022-01-012022-12-310001280784Warrant Investments and Manufacturing Technology and MacroFab, Inc., Warrant, Acquisition Date 3/23/2022, Common Stock2022-12-310001280784Warrant Investments and Manufacturing Technology and Xometry, Inc., Warrant, Acquisition Date 5/9/2018, Common Stock2022-01-012022-12-310001280784Warrant Investments and Manufacturing Technology and Xometry, Inc., Warrant, Acquisition Date 5/9/2018, Common Stock2022-12-310001280784Warrant Investments and Manufacturing Technology (0.30%)2022-12-310001280784Warrant Investments and Media/Content/Info and Fever Labs, Inc., Warrant, Acquisition Date 12/30/2022, Preferred Series E-12022-01-012022-12-310001280784Warrant Investments and Media/Content/Info and Fever Labs, Inc., Warrant, Acquisition Date 12/30/2022, Preferred Series E-12022-12-310001280784Warrant Investments and Media/Content/Info (0.00%)2022-12-310001280784Warrant Investments and Medical Devices & Equipment and Aspire Bariatrics, Inc., Warrant, Acquisition Date 1/28/2015, Common Stock2022-01-012022-12-310001280784Warrant Investments and Medical Devices & Equipment and Aspire Bariatrics, Inc., Warrant, Acquisition Date 1/28/2015, Common Stock2022-12-310001280784Warrant Investments and Medical Devices & Equipment and Flowonix Medical Incorporated, Warrant, Acquisition Date 11/3/2014, Preferred Series AA2022-01-012022-12-310001280784Warrant Investments and Medical Devices & Equipment and Flowonix Medical Incorporated, Warrant, Acquisition Date 11/3/2014, Preferred Series AA2022-12-310001280784Warrant Investments and Medical Devices & Equipment and Flowonix Medical Incorporated, Warrant, Acquisition Date 9/21/2018, Preferred Series BB2022-01-012022-12-310001280784Warrant Investments and Medical Devices & Equipment and Flowonix Medical Incorporated, Warrant, Acquisition Date 9/21/2018, Preferred Series BB2022-12-310001280784Warrant Investments and Medical Devices & Equipment and Flowonix Medical Incorporated2022-12-310001280784Warrant Investments and Medical Devices & Equipment and Intuity Medical, Inc., Warrant, Acquisition Date 12/29/2017, Preferred Series B-12022-01-012022-12-310001280784Warrant Investments and Medical Devices & Equipment and Intuity Medical, Inc., Warrant, Acquisition Date 12/29/2017, Preferred Series B-12022-12-310001280784Warrant Investments and Medical Devices & Equipment and Lucira Health, Inc., Warrant, Acquisition Date 2/4/2022, Common Stock2022-01-012022-12-310001280784Warrant Investments and Medical Devices & Equipment and Lucira Health, Inc., Warrant, Acquisition Date 2/4/2022, Common Stock2022-12-310001280784Warrant Investments and Medical Devices & Equipment and Outset Medical, Inc., Warrant, Acquisition Date 9/27/2013, Common Stock2022-01-012022-12-310001280784Warrant Investments and Medical Devices & Equipment and Outset Medical, Inc., Warrant, Acquisition Date 9/27/2013, Common Stock2022-12-310001280784Warrant Investments and Medical Devices & Equipment and Tela Bio, Inc., Warrant, Acquisition Date 3/31/2017, Common Stock2022-01-012022-12-310001280784Warrant Investments and Medical Devices & Equipment and Tela Bio, Inc., Warrant, Acquisition Date 3/31/2017, Common Stock2022-12-310001280784Warrant Investments and Medical Devices & Equipment (0.07%)2022-12-310001280784Warrant Investments and Semiconductors and Achronix Semiconductor Corporation, Warrant, Acquisition Date 6/26/2015, Preferred Series D-22022-01-012022-12-310001280784Warrant Investments and Semiconductors and Achronix Semiconductor Corporation, Warrant, Acquisition Date 6/26/2015, Preferred Series D-22022-12-310001280784Warrant Investments and Semiconductors and Fungible, Inc., Warrant, Acquisition Date 12/16/2021, Common Stock2022-01-012022-12-310001280784Warrant Investments and Semiconductors and Fungible, Inc., Warrant, Acquisition Date 12/16/2021, Common Stock2022-12-310001280784Warrant Investments and Semiconductors (0.04%)2022-12-310001280784Warrant Investments and Software and Aria Systems, Inc., Warrant, Acquisition Date 5/22/2015, Preferred Series G2022-01-012022-12-310001280784Warrant Investments and Software and Aria Systems, Inc., Warrant, Acquisition Date 5/22/2015, Preferred Series G2022-12-310001280784Warrant Investments and Software and Automation Anywhere, Inc., Warrant, Acquisition Date 9/23/2022, Common Stock2022-01-012022-12-310001280784Warrant Investments and Software and Automation Anywhere, Inc., Warrant, Acquisition Date 9/23/2022, Common Stock2022-12-310001280784Warrant Investments and Software and Bitsight Technologies, Inc., Warrant, Acquisition Date 11/18/2020, Common Stock2022-01-012022-12-310001280784Warrant Investments and Software and Bitsight Technologies, Inc., Warrant, Acquisition Date 11/18/2020, Common Stock2022-12-310001280784Warrant Investments and Software and Brain Corporation, Warrant, Acquisition Date 10/4/2021, Common Stock2022-01-012022-12-310001280784Warrant Investments and Software and Brain Corporation, Warrant, Acquisition Date 10/4/2021, Common Stock2022-12-310001280784Warrant Investments and Software and CloudBolt Software, Inc., Warrant, Acquisition Date 9/30/2020, Common Stock2022-01-012022-12-310001280784Warrant Investments and Software and CloudBolt Software, Inc., Warrant, Acquisition Date 9/30/2020, Common Stock2022-12-310001280784Warrant Investments and Software and Cloudian, Inc., Warrant, Acquisition Date 11/6/2018, Common Stock2022-01-012022-12-310001280784Warrant Investments and Software and Cloudian, Inc., Warrant, Acquisition Date 11/6/2018, Common Stock2022-12-310001280784Warrant Investments and Software and Cloudpay, Inc., Warrant, Acquisition Date 4/10/2018, Preferred Series B2022-01-012022-12-310001280784Warrant Investments and Software and Cloudpay, Inc., Warrant, Acquisition Date 4/10/2018, Preferred Series B2022-12-310001280784Warrant Investments and Software and Convoy, Inc., Warrant, Acquisition Date 3/30/2022, Common Stock2022-01-012022-12-310001280784Warrant Investments and Software and Convoy, Inc., Warrant, Acquisition Date 3/30/2022, Common Stock2022-12-310001280784Warrant Investments and Software and Couchbase, Inc., Warrant, Acquisition Date 4/25/2019, Common Stock2022-01-012022-12-310001280784Warrant Investments and Software and Couchbase, Inc., Warrant, Acquisition Date 4/25/2019, Common Stock2022-12-310001280784Warrant Investments and Software and Cutover, Inc., Warrant, Acquisition Date 9/21/2022, Common Stock2022-01-012022-12-310001280784Warrant Investments and Software and Cutover, Inc., Warrant, Acquisition Date 9/21/2022, Common Stock2022-12-310001280784Warrant Investments and Software and Dashlane, Inc., Warrant, Acquisition Date 3/11/2019, Common Stock2022-01-012022-12-310001280784Warrant Investments and Software and Dashlane, Inc., Warrant, Acquisition Date 3/11/2019, Common Stock2022-12-310001280784Warrant Investments and Software and Delphix Corp., Warrant, Acquisition Date 10/8/2019, Common Stock2022-01-012022-12-310001280784Warrant Investments and Software and Delphix Corp., Warrant, Acquisition Date 10/8/2019, Common Stock2022-12-310001280784Warrant Investments and Software and Demandbase, Inc., Warrant, Acquisition Date 8/2/2021, Common Stock2022-01-012022-12-310001280784Warrant Investments and Software and Demandbase, Inc., Warrant, Acquisition Date 8/2/2021, Common Stock2022-12-310001280784Warrant Investments and Software and DNAnexus, Inc., Warrant, Acquisition Date 3/21/2014, Preferred Series C2022-01-012022-12-310001280784Warrant Investments and Software and DNAnexus, Inc., Warrant, Acquisition Date 3/21/2014, Preferred Series C2022-12-310001280784Warrant Investments and Software and DroneDeploy, Inc., Warrant, Acquisition Date 6/30/2022, Common Stock2022-01-012022-12-310001280784Warrant Investments and Software and DroneDeploy, Inc., Warrant, Acquisition Date 6/30/2022, Common Stock2022-12-310001280784Warrant Investments and Software and Eigen Technologies Ltd., Warrant, Acquisition Date 4/13/2022, Common Stock2022-01-012022-12-310001280784Warrant Investments and Software and Eigen Technologies Ltd., Warrant, Acquisition Date 4/13/2022, Common Stock2022-12-310001280784Warrant Investments and Software and Elation Health, Inc., Warrant, Acquisition Date 9/12/2022, Common Stock2022-01-012022-12-310001280784Warrant Investments and Software and Elation Health, Inc., Warrant, Acquisition Date 9/12/2022, Common Stock2022-12-310001280784Warrant Investments and Software and Esme Learning Solutions, Inc., Warrant, Acquisition Date 1/27/2022, Common Stock2022-01-012022-12-310001280784Warrant Investments and Software and Esme Learning Solutions, Inc., Warrant, Acquisition Date 1/27/2022, Common Stock2022-12-310001280784Warrant Investments and Software and Evernote Corporation, Warrant, Acquisition Date 9/30/2016, Common Stock2022-01-012022-12-310001280784Warrant Investments and Software and Evernote Corporation, Warrant, Acquisition Date 9/30/2016, Common Stock2022-12-310001280784Warrant Investments and Software and First Insight, Inc., Warrant, Acquisition Date 5/10/2018, Preferred Series B2022-01-012022-12-310001280784Warrant Investments and Software and First Insight, Inc., Warrant, Acquisition Date 5/10/2018, Preferred Series B2022-12-310001280784Warrant Investments and Software and Fulfil Solutions, Inc., Warrant, Acquisition Date 7/29/2022, Common Stock2022-01-012022-12-310001280784Warrant Investments and Software and Fulfil Solutions, Inc., Warrant, Acquisition Date 7/29/2022, Common Stock2022-12-310001280784Warrant Investments and Software and Lightbend, Inc., Warrant, Acquisition Date 2/14/2018, Preferred Series D2022-01-012022-12-310001280784Warrant Investments and Software and Lightbend, Inc., Warrant, Acquisition Date 2/14/2018, Preferred Series D2022-12-310001280784Warrant Investments and Software and Mixpanel, Inc., Warrant, Acquisition Date 9/30/2020, Common Stock2022-01-012022-12-310001280784Warrant Investments and Software and Mixpanel, Inc., Warrant, Acquisition Date 9/30/2020, Common Stock2022-12-310001280784Warrant Investments and Software and Nuvolo Technologies Corporation, Warrant, Acquisition Date 3/29/2019, Common Stock2022-01-012022-12-310001280784Warrant Investments and Software and Nuvolo Technologies Corporation, Warrant, Acquisition Date 3/29/2019, Common Stock2022-12-310001280784Warrant Investments and Software and Poplicus, Inc., Warrant, Acquisition Date 5/28/2014, Common Stock2022-01-012022-12-310001280784Warrant Investments and Software and Poplicus, Inc., Warrant, Acquisition Date 5/28/2014, Common Stock2022-12-310001280784Warrant Investments and Software and Reltio, Inc., Warrant, Acquisition Date 6/30/2020, Common Stock2022-01-012022-12-310001280784Warrant Investments and Software and Reltio, Inc., Warrant, Acquisition Date 6/30/2020, Common Stock2022-12-310001280784Warrant Investments and Software and SignPost, Inc., Warrant, Acquisition Date 1/13/2016, Series Junior 1 Preferred2022-01-012022-12-310001280784Warrant Investments and Software and SignPost, Inc., Warrant, Acquisition Date 1/13/2016, Series Junior 1 Preferred2022-12-310001280784Warrant Investments and Software and SingleStore, Inc., Warrant, Acquisition Date 4/28/2020, Preferred Series D2022-01-012022-12-310001280784Warrant Investments and Software and SingleStore, Inc., Warrant, Acquisition Date 4/28/2020, Preferred Series D2022-12-310001280784Warrant Investments and Software and Tact.ai Technologies, Inc., Warrant, Acquisition Date 2/13/2020, Common Stock2022-01-012022-12-310001280784Warrant Investments and Software and Tact.ai Technologies, Inc., Warrant, Acquisition Date 2/13/2020, Common Stock2022-12-310001280784Warrant Investments and Software and The Faction Group LLC, Warrant, Acquisition Date 11/3/2014, Preferred Series AA2022-01-012022-12-310001280784Warrant Investments and Software and The Faction Group LLC, Warrant, Acquisition Date 11/3/2014, Preferred Series AA2022-12-310001280784Warrant Investments and Software and VideoAmp, Inc., Warrant, Acquisition Date 1/21/2022, Common Stock2022-01-012022-12-310001280784Warrant Investments and Software and VideoAmp, Inc., Warrant, Acquisition Date 1/21/2022, Common Stock2022-12-310001280784Warrant Investments and Software (0.59%)2022-12-310001280784Warrant Investments and Surgical Devices and Gynesonics, Inc., Warrant, Acquisition Date 1/16/2013, Preferred Series C2022-01-012022-12-310001280784Warrant Investments and Surgical Devices and Gynesonics, Inc., Warrant, Acquisition Date 1/16/2013, Preferred Series C2022-12-310001280784Warrant Investments and Surgical Devices and TransMedics Group, Inc., Warrant, Acquisition Date 9/11/2015, Common Stock2022-01-012022-12-310001280784Warrant Investments and Surgical Devices and TransMedics Group, Inc., Warrant, Acquisition Date 9/11/2015, Common Stock2022-12-310001280784Warrant Investments and Surgical Devices (0.04%)2022-12-310001280784Warrant Investments and Sustainable and Renewable Technology and Ampion, PBC, Warrant, Acquisition Date 4/15/2022, Common Stock2022-01-012022-12-310001280784Warrant Investments and Sustainable and Renewable Technology and Ampion, PBC, Warrant, Acquisition Date 4/15/2022, Common Stock2022-12-310001280784Warrant Investments and Sustainable and Renewable Technology and Fulcrum Bioenergy, Inc., Warrant, Acquisition Date 4/30/2013, Preferred Series C-12022-01-012022-12-310001280784Warrant Investments and Sustainable and Renewable Technology and Fulcrum Bioenergy, Inc., Warrant, Acquisition Date 4/30/2013, Preferred Series C-12022-12-310001280784Warrant Investments and Sustainable and Renewable Technology and Halio, Inc., Warrant, Acquisition Date 4/22/2014, Preferred Series A2022-01-012022-12-310001280784Warrant Investments and Sustainable and Renewable Technology and Halio, Inc., Warrant, Acquisition Date 4/22/2014, Preferred Series A2022-12-310001280784Warrant Investments and Sustainable and Renewable Technology and Halio, Inc., Warrant, Acquisition Date 4/7/2015, Preferred Series B2022-01-012022-12-310001280784Warrant Investments and Sustainable and Renewable Technology and Halio, Inc., Warrant, Acquisition Date 4/7/2015, Preferred Series B2022-12-310001280784Warrant Investments and Sustainable and Renewable Technology and Halio, Inc.2022-12-310001280784Warrant Investments and Sustainable and Renewable Technology and IngredientWerks Holdings, Inc. (p.k.a Agrivida, Inc.), Warrant, Acquisition Date 6/20/2013, Preferred Series D2022-01-012022-12-310001280784Warrant Investments and Sustainable and Renewable Technology and IngredientWerks Holdings, Inc. (p.k.a Agrivida, Inc.), Warrant, Acquisition Date 6/20/2013, Preferred Series D2022-12-310001280784Warrant Investments and Sustainable and Renewable Technology and Polyera Corporation, Warrant, Acquisition Date 3/24/2015, Preferred Series C2022-01-012022-12-310001280784Warrant Investments and Sustainable and Renewable Technology and Polyera Corporation, Warrant, Acquisition Date 3/24/2015, Preferred Series C2022-12-310001280784Warrant Investments and Sustainable and Renewable Technology (0.03%)2022-12-310001280784Warrant Investments (2.19%)2022-12-310001280784Investments in Securities (211.21%)2022-12-310001280784Investment Funds & Vehicles Investments and Drug Discovery & Development and Forbion Growth Opportunities Fund I C.V., Investment Funds & Vehicles, Acquisition Date 11/16/20202022-01-012022-12-310001280784Investment Funds & Vehicles Investments and Drug Discovery & Development and Forbion Growth Opportunities Fund I C.V., Investment Funds & Vehicles, Acquisition Date 11/16/20202022-12-310001280784Investment Funds & Vehicles Investments and Drug Discovery & Development and Forbion Growth Opportunities Fund II C.V., Investment Funds & Vehicles, Acquisition Date 6/23/20222022-01-012022-12-310001280784Investment Funds & Vehicles Investments and Drug Discovery & Development and Forbion Growth Opportunities Fund II C.V., Investment Funds & Vehicles, Acquisition Date 6/23/20222022-12-310001280784Investment Funds & Vehicles Investments and Drug Discovery & Development (0.25%)2022-12-310001280784nvestment Funds & Vehicles Investments and Software and Liberty Zim Co-Invest L.P., Investment Funds & Vehicles, Acquisition Date 7/21/20222022-01-012022-12-310001280784nvestment Funds & Vehicles Investments and Software and Liberty Zim Co-Invest L.P., Investment Funds & Vehicles, Acquisition Date 7/21/20222022-12-310001280784Investment Funds & Vehicles Investments and Software (0.03%)2022-12-310001280784Investment Funds & Vehicles Investments (0.28%)2022-12-310001280784Investments 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Table of Contents

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
_________________________________________________
FORM 10-Q
_________________________________________________
(Mark One)
x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
For The Quarterly Period Ended September 30, 2023
OR
o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
Commission File Number: 814-00702
_________________________________________________
HERCULES CAPITAL, INC.
(Exact Name of Registrant as Specified in its Charter)
_________________________________________________
Maryland74-3113410
(State or Jurisdiction of
Incorporation or Organization)
(IRS Employer
Identification Number)
400 Hamilton Ave., Suite 310
Palo Alto, California
(Address of Principal Executive Offices)
94301
(Zip Code)
(650) 289-3060
(Registrant’s Telephone Number, Including Area Code)
Securities registered pursuant to Section 12(b) of the Act:
Title of each classTrading Symbol(s)Name of each exchange on which registered
Common Shares, par value $0.001 per shareHTGCNew York Stock Exchange
6.25% Notes due 2033HCXYNew York Stock Exchange
Indicate by check mark whether the Registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter periods that the Registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days. Yes x No o
Indicate by check mark whether the registrant has submitted electronically every Interactive Data File required to be submitted pursuant to Rule 405 of Regulation S-T (§ 232.405 of this Chapter) during the preceding 12 months (or for such shorter period that the registrant was required to submit such files). Yes x No o
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, a smaller reporting company, or an emerging growth company. See the definitions of “large accelerated filer,” “accelerated filer”, “smaller reporting company,” and “emerging growth company” in Rule 12b-2 of the Exchange Act.
Large accelerated filer
xAccelerated filero
Non-accelerated fileroSmaller reporting companyo
Emerging growth companyo
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with a new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.
Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act). Yes o No x
On October 26, 2023, there were 151,139,477 shares outstanding of the Registrant’s common stock, $0.001 par value.


Table of Contents
HERCULES CAPITAL, INC.
FORM 10-Q TABLE OF CONTENTS


Table of Contents
PART I: FINANCIAL INFORMATION
In this Quarterly Report, the “Company,” “Hercules,” “we,” “us” and “our” refer to Hercules Capital, Inc., its wholly owned subsidiaries, and its affiliated securitization trust unless the context otherwise requires.
ITEM 1.    CONSOLIDATED FINANCIAL STATEMENTS

HERCULES CAPITAL, INC.
CONSOLIDATED STATEMENTS OF ASSETS AND LIABILITIES
(in thousands, except per share data)September 30, 2023December 31, 2022
(unaudited)
Assets
Investments, at fair value:
Non-control/Non-affiliate investments (cost of $3,207,251 and $2,918,425, respectively)
$3,158,241 $2,887,497 
Control investments (cost of $101,643 and $87,271, respectively)
103,150 76,458 
Total investments, at fair value (cost of $3,308,894 and $3,005,696, respectively; fair value amounts related to a VIE $265,647 and $236,585, respectively)
3,261,391 2,963,955 
Cash and cash equivalents31,979 15,797 
Restricted cash (amounts related to a VIE $5,252 and $10,079, respectively)
5,252 10,079 
Interest receivable32,053 31,682 
Right of use asset5,059 4,986 
Other assets668 2,356 
Total assets$3,336,402 $3,028,855 
Liabilities
Debt (net of debt issuance costs - Note 5; amounts related to a VIE $148,397 and $147,957, respectively)
$1,632,738 $1,574,351 
Accounts payable and accrued liabilities46,259 47,539 
Operating lease liability5,348 5,506 
Total liabilities$1,684,345 $1,627,396 
Net assets consist of:
Common stock, par value$152 $134 
Capital in excess of par value1,579,377 1,341,416 
Total distributable earnings72,528 59,909 
Total net assets$1,652,057 $1,401,459 
Total liabilities and net assets$3,336,402 $3,028,855 
Shares of common stock outstanding ($0.001 par value and 200,000 authorized)
151,179133,045
Net asset value per share$10.93 $10.53 
See notes to consolidated financial statements
3

Table of Contents
HERCULES CAPITAL, INC.
CONSOLIDATED STATEMENTS OF OPERATIONS
(unaudited)
(in thousands, except per share data)Three Months Ended September 30,Nine Months Ended September 30,
2023202220232022
Investment income:
Interest and dividend income:
Non-control/Non-affiliate investments$109,240 80,146 $315,952 207,747 
Control investments1,099 1,181 3,270 3,440 
Affiliate investments 81  1,204 
Total interest and dividend income110,339 81,408 319,222 212,391 
Fee income:
Non-control/Non-affiliate investments6,383 2,803 18,783 9,059 
Control investments22 18 60 51 
Total fee income6,405 2,821 18,843 9,110 
Total investment income116,744 84,229 338,065 221,501 
Operating expenses:
Interest16,428 14,499 50,237 38,844 
Loan fees2,524 2,183 7,317 5,517 
General and administrative4,591 4,364 13,868 12,504 
Tax expenses1,882 1,602 5,249 4,135 
Employee compensation:
Compensation and benefits13,604 10,968 41,062 30,357 
Stock-based compensation3,337 2,474 9,848 10,559 
Total employee compensation16,941 13,442 50,910 40,916 
Total gross operating expenses42,366 36,090 127,581 101,916 
Expenses allocated to the Adviser Subsidiary(2,416)(1,863)(7,509)(6,335)
Total net operating expenses39,950 34,227 120,072 95,581 
Net investment income76,794 50,002 217,993 125,920 
Net realized gain (loss) and net change in unrealized appreciation (depreciation):
Net realized gain (loss):
Non-control/Non-affiliate investments(2,587)7,303 5,590 2,703 
Affiliate investments (2,014) 1,758 
Loss on extinguishment of debt   (3,686)
Total net realized gain (loss)(2,587)5,289 5,590 775 
Net change in unrealized appreciation (depreciation):
Non-control/Non-affiliate investments(45,141)(4,149)(18,597)(94,847)
Control investments(1,099)(2,571)12,320 3,611 
Affiliate investments 4,631  4,089 
Total net change in unrealized appreciation (depreciation)(46,240)(2,089)(6,277)(87,147)
Total net realized gain (loss) and net change in unrealized appreciation (depreciation)(48,827)3,200 (687)(86,372)
Net increase (decrease) in net assets resulting from operations$27,967 $53,202 $217,306 $39,548 
Net investment income before gains and losses per common share:
Basic$0.52 $0.39 $1.53 $1.01 
Change in net assets resulting from operations per common share:
Basic$0.19 $0.41 $1.52 $0.31 
Diluted$0.19 $0.41 $1.51 $0.30 
Weighted average shares outstanding:        
Basic146,899127,484141,223123,379
Diluted147,110129,334142,126124,767
Distributions paid per common share:
Basic$0.48 $0.50 $1.42 $1.46 
See notes to consolidated financial statements
4

Table of Contents
HERCULES CAPITAL, INC.
CONSOLIDATED STATEMENTS OF CHANGES IN NET ASSETS
(unaudited)
(in thousands)Common StockCapital in
excess
of par value
Distributable
Earnings
(loss)
Net
Assets
For the Three Months Ended September 30, 2023Shares Par Value
Balance as of June 30, 2023144,641$145 $1,468,270 $117,095 $1,585,510 
Net increase (decrease) in net assets resulting from operations— — 27,967 27,967 
Public offering, net of offering expenses6,5007 107,555 — 107,562 
Issuance of common stock under equity-based award plans21— 163 — 163 
Shares retired on vesting of equity-based awards(48)— (675)— (675)
Distributions reinvested in common stock65— 1,057 — 1,057 
Distributions— — (72,534)(72,534)
Stock-based compensation (1)
— 3,007 — 3,007 
Balance as of September 30, 2023151,179$152 $1,579,377 $72,528 $1,652,057 
For the Nine Months Ended September 30, 2023
Balance as of December 31, 2022133,045$134 $1,341,416 $59,909 $1,401,459 
Net increase (decrease) in net assets resulting from operations— — 217,306 217,306 
Public offering, net of offering expenses16,22116 238,294 — 238,310 
Issuance of common stock under equity-based award plans1,9232 376 — 378 
Shares retired on vesting of equity-based awards(208)— (12,503)— (12,503)
Distributions reinvested in common stock198— 2,936 — 2,936 
Distributions— — (204,687)(204,687)
Stock-based compensation (1)
— 8,858 — 8,858 
Balance as of September 30, 2023151,179$152 $1,579,377 $72,528 $1,652,057 
(1)Stock-based compensation includes $31 thousand and $81 thousand of restricted stock and option expense related to director compensation for the three and nine months ended September 30, 2023, respectively.
(in thousands)Common StockCapital in
excess
of par value
Distributable
Earnings
(loss)
Net
Assets
For the Three Months Ended September 30, 2022Shares Par Value
Balance as of June 30, 2022127,285$128 $1,242,618 $84,994 $1,327,740 
Net increase (decrease) in net assets resulting from operations— — 53,202 53,202 
Public offering, net of offering expenses2,8663 42,851 — 42,854 
Issuance of common stock under equity-based award plans45— 266 — 266 
Shares retired on vesting of equity-based awards(68)— (838)— (838)
Distributions reinvested in common stock63— 949 — 949 
Distributions— — (63,950)(63,950)
Stock-based compensation (1)
— 2,495 — 2,495 
Balance as of September 30, 2022130,191$131 $1,288,341 $74,246 $1,362,718 
For the Nine Months Ended September 30, 2022
Balance as of December 31, 2021116,619$117 $1,091,907 $216,523 $1,308,547 
Net increase (decrease) in net assets resulting from operations— — 39,548 39,548 
Public offering, net of offering expenses11,78712 189,946 — 189,958 
Issuance of common stock under equity-based award plans8701 719 — 720 
Shares retired on vesting of equity-based awards(250)— (5,458)— (5,458)
Distributions reinvested in common stock184— 2,895 — 2,895 
Issuance of Convertible Notes9811 (1)—  
Distributions— — (181,825)(181,825)
Stock-based compensation (1)
— 8,333 — 8,333 
Balance as of September 30, 2022130,191$131 $1,288,341 $74,246 $1,362,718 
(1)Stock-based compensation includes $36 thousand and $113 thousand of restricted stock and option expense related to director compensation for the three and nine months ended September 30, 2022, respectively.
See notes to consolidated financial statements
5

Table of Contents
HERCULES CAPITAL, INC.
CONSOLIDATED STATEMENTS OF CASH FLOWS
(unaudited)
(in thousands)For the Nine Months Ended September 30,
20232022
Cash flows provided by (used in) operating activities:
Net increase (decrease) in net assets resulting from operations$217,306 $39,548 
Adjustments to reconcile net increase in net assets resulting from operations to net cash provided by (used in) operating activities:
Purchases of investments(1,291,627)(1,097,812)
Fundings assigned to Adviser Funds294,468 247,848 
Principal and fee repayments received and proceeds from the sale of debt investments685,103 378,109 
Proceeds from the sale of equity and warrant investments34,877 14,303 
Net change in unrealized (appreciation) depreciation6,277 87,147 
Net realized (gain) loss(5,590)(4,461)
Accretion of paid-in-kind principal(17,999)(14,888)
Accretion of loan discounts(5,344)(2,996)
Accretion of loan discount on convertible notes 112 
Accretion of loan exit fees(14,140)(18,398)
Change in loan income, net of collections15,349 19,412 
Unearned fees related to unfunded commitments(279)3,378 
Realized loss on extinguishment of debt 364 
Amortization of debt fees and issuance costs5,227 4,051 
Depreciation and amortization167 160 
Stock-based compensation and amortization of restricted stock grants (1)
8,858 8,333 
Change in operating assets and liabilities:
Interest receivable(366)(8,039)
Other assets6,533 (1,196)
Accrued liabilities(1,419)(14,856)
Net cash provided by (used in) operating activities(62,599)(359,881)
Cash flows provided by (used in) investing activities:
Purchases of capital equipment(390)(86)
Net cash provided by (used in) investing activities(390)(86)
Cash flows provided by (used in) financing activities:
Issuance of common stock243,609 192,011 
Offering expenses(5,299)(2,053)
Retirement of employee shares, net(12,125)(4,738)
Distributions paid(201,751)(178,930)
Issuance of debt533,000 1,169,237 
Repayment of debt(478,000)(878,198)
Debt issuance costs (6,581)
Fees paid for credit facilities and debentures(5,090)(1,635)
Net cash provided by (used in) financing activities74,344 289,113 
Net increase (decrease) in cash, cash equivalents, and restricted cash11,355 (70,854)
Cash, cash equivalents, and restricted cash at beginning of period25,876 136,265 
Cash, cash equivalents, and restricted cash at end of period$37,231 $65,411 
Supplemental disclosures of cash flow information and non-cash investing and financing activities:
Interest paid$57,410 $44,382 
Income tax, including excise tax, paid$5,205 $7,341 
Distributions reinvested$2,936 $2,895 
(1)Stock-based compensation includes $81 thousand and $113 thousand of restricted stock and option expense related to director compensation for the nine months ended September 30, 2023 and 2022, respectively.
The following table presents a reconciliation of cash, cash equivalents and restricted cash reported within the Consolidated Statements of Assets and Liabilities that sum to the total of the same such amounts in the Consolidated Statements of Cash Flows:
(in thousands)For the Nine Months Ended September 30,
20232022
Cash and cash equivalents$31,979 $57,065 
Restricted cash5,252 8,346 
Total cash, cash equivalents, and restricted cash presented in the Consolidated Statements of Cash Flows$37,231 $65,411 
See “Note 2 – Summary of Significant Accounting Policies” for a description of cash, cash equivalents, and restricted cash.
See notes to consolidated financial statements
6

Table of Contents
HERCULES CAPITAL, INC.
CONSOLIDATED SCHEDULE OF INVESTMENTS
September 30, 2023 (unaudited)
(dollars in thousands)
Portfolio CompanyType of
Investment
Maturity Date
Interest Rate and Floor (1)
Principal
Amount
Cost (2)
ValueFootnotes
Debt Investments
Biotechnology Tools
Alamar Biosciences, Inc.Senior SecuredJune 2026
Prime + 3.00%, Floor rate 6.50%, PIK Interest 1.00%, 5.95% Exit Fee
$5,036 $5,069 $5,135 (13)(14)(17)
PathAI, Inc.Senior SecuredJanuary 2027
Prime + 2.15%, Floor rate 9.15%, 11.21% Exit Fee
$28,000 27,858 28,314 (12)(17)
Subtotal: Biotechnology Tools (2.02%)*
  32,927 33,449 
Communications & Networking    
Aryaka Networks, Inc.Senior SecuredJuly 2026
Prime + 3.25%, Floor rate 6.75%, PIK Interest 1.05%, 3.55% Exit Fee
$15,113 15,009 15,536 (12)(14)(17)(19)
Cytracom Holdings LLCSenior SecuredFebruary 2025
3-month SOFR + 9.72%, Floor rate 10.62%
$3,275 3,242 3,274 (11)(17)(18)
Rocket Lab Global Services, LLCSenior SecuredJune 2024
Prime + 4.90%, Floor rate 8.15%, PIK Interest 1.25%, 3.25% Exit Fee
$85,375 87,142 87,142 (11)(12)(13)(14)(16)
Subtotal: Communications & Networking (6.41%)*
105,393 105,952 
Consumer & Business Services
AppDirect, Inc.Senior SecuredApril 2026
Prime + 5.50%, Floor rate 8.75%, 7.12% Exit Fee
$55,790 57,399 59,140 (12)
Carwow LTDSenior SecuredDecember 2024
Prime + 4.70%, Floor rate 7.95%, PIK Interest 1.45%, 4.95% Exit Fee
£19,493 26,624 24,132 (5)(10)(14)(17)
Houzz, Inc.Convertible DebtMay 2028
PIK Interest 7.00%
$22,897 22,897 23,491 (9)(14)
Jobandtalent USA, Inc.Senior SecuredFebruary 2025
1-month SOFR + 8.86%, Floor rate 9.75%, 3.00% Exit Fee
$14,000 14,030 14,180 (5)(10)
ProviSenior SecuredDecember 2026
Prime + 4.40%, Floor rate 10.65%, 2.95% Exit Fee
$15,000 14,860 14,938 (15)
Rhino Labs, Inc.Senior SecuredMarch 2024
Prime + 5.50%, Floor rate 8.75%, PIK Interest 2.25%
$9,069 9,039 9,039 (14)(15)
Riviera Partners LLCSenior SecuredApril 2027
3-month SOFR + 7.53%, Floor rate 8.53%
$25,922 25,438 25,060 (17)(18)
RVShare, LLCSenior SecuredDecember 2026
3-month SOFR + 5.50%, Floor rate 6.50%, PIK Interest 4.00%
$28,586 28,212 28,413 (13)(14)(15)(17)
SeatGeek, Inc.Senior SecuredMay 2026
Prime + 7.00%, Floor rate 10.50%, PIK Interest 0.50%, 1.00% Exit Fee
$25,167 25,067 25,282 (11)(14)(16)
Senior SecuredJuly 2025
Prime + 2.50%, Floor rate 10.75%, PIK Interest 0.50%
$77,551 77,019 77,019 (12)(14)(16)
Total SeatGeek, Inc.$102,718 102,086 102,301  
Skyword, Inc.Senior SecuredNovember 2026
Prime + 2.75%, Floor rate 9.25%, PIK Interest 1.75%, 3.00% Exit Fee
$9,128 9,120 9,222 (13)(14)
Tectura CorporationSenior SecuredJuly 2024
PIK Interest 5.00%
$23,703 13,263  (7)(8)(14)
Senior SecuredJuly 2024
FIXED 8.25%
$8,250 8,250 6,243 (7)
Total Tectura Corporation$31,953 21,513 6,243 
Thumbtack, Inc.Senior SecuredApril 2026
Prime + 4.95%, Floor rate 8.20%, PIK Interest 1.50%, 3.95% Exit Fee
$10,219 10,248 10,546 (12)(14)(17)
Udacity, Inc.Senior SecuredSeptember 2024
Prime + 4.50%, Floor rate 7.75%, PIK Interest 2.00%, 3.00% Exit Fee
$52,733 53,544 52,559 (12)(14)
Veem, Inc.Senior SecuredMarch 2025
Prime + 4.00%, Floor rate 7.25%, PIK Interest 1.25%, 4.50% Exit Fee
$5,091 5,130 5,193 (13)(14)
Senior SecuredMarch 2025
Prime + 4.70%, Floor rate 7.95%, PIK Interest 1.50%, 4.50% Exit Fee
$5,091 5,142 5,256 (12)(14)
Total Veem, Inc.$10,182 10,272 10,449 
Worldremit Group LimitedSenior SecuredFebruary 2025
3-month SOFR + 9.40%, Floor rate 10.25%, 3.20% Exit Fee
$88,250 88,965 89,162 (5)(10)(11)(12)(16)(19)
Senior SecuredFebruary 2025
1-month SOFR + 9.35%, Floor rate 10.25%, 3.20% Exit Fee
$6,250 6,279 6,304 (5)(10)(16)(19)
Total Worldremit Group Limited$94,500 95,244 95,466 
Subtotal: Consumer & Business Services (29.37%)*
500,526 485,179 
Diversified Financial Services
Gibraltar Acquisition, LLC (p.k.a. Gibraltar Business Capital, LLC)UnsecuredSeptember 2026
FIXED 11.50%
$25,000 24,638 24,638 (7)(20)
See notes to consolidated financial statements
7

Table of Contents
HERCULES CAPITAL, INC.
CONSOLIDATED SCHEDULE OF INVESTMENTS
September 30, 2023 (unaudited)
(dollars in thousands)
Portfolio CompanyType of
Investment
Maturity Date
Interest Rate and Floor (1)
Principal
Amount
Cost (2)
ValueFootnotes
UnsecuredSeptember 2026
FIXED 11.95%
$10,000 $9,801 $9,801 (7)(20)
Total Gibraltar Acquisition, LLC (p.k.a. Gibraltar Business Capital, LLC)$35,000 34,439 34,439 
Hercules Adviser LLCUnsecuredJune 2025
FIXED 5.00%
$12,000 12,000 12,000 (7)(23)
Next Insurance, Inc.Senior SecuredFebruary 2028
Prime -1.50%, Floor rate 4.75%, PIK Interest 5.50%
$10,325 10,134 10,433 (14)(17)(19)
Subtotal: Diversified Financial Services (3.44%)*
 56,573 56,872 
Drug Discovery & Development
Akero Therapeutics, Inc.Senior SecuredJanuary 2027
Prime + 3.65%, Floor rate 7.65%, 5.85% Exit Fee
$12,500 12,454 12,948 (10)(13)(17)
Aldeyra Therapeutics, Inc.Senior SecuredOctober 2024
Prime + 3.10%, Floor rate 8.60%, 8.90% Exit Fee
$15,000 16,137 16,296 (11)
Alladapt Immunotherapeutics Inc.Senior SecuredSeptember 2026
Prime + 3.65%, Floor rate 8.40%, Cap rate 10.90%, 5.30% Exit Fee
$35,000 35,002 35,016 (13)
AmplifyBio, LLCSenior SecuredJanuary 2027
Prime + 2.50%, Floor rate 9.50%, Cap rate 10.75%, 5.85% Exit Fee
$24,000 24,000 23,989 (15)
ATAI Life Sciences N.V.Senior SecuredAugust 2026
Prime + 4.55%, Floor rate 8.55%, 6.95% Exit Fee
$10,500 10,643 10,783 (5)(10)
Axsome Therapeutics, Inc.Senior SecuredJanuary 2028
Prime + 2.20%, Floor rate 9.95%, Cap rate 10.70%, 5.78% Exit Fee
$143,350 143,226 147,815 (10)(11)(12)(16)(17)
Bicycle Therapeutics PLCSenior SecuredJuly 2025
Prime + 4.55%, Floor rate 8.05%, Cap rate 9.05%, 5.00% Exit Fee
$11,500 11,849 11,654 (5)(10)(11)(12)
BiomX, INCSenior SecuredSeptember 2025
Prime + 5.70%, Floor rate 8.95%, 6.55% Exit Fee
$7,242 7,557 7,567 (5)(10)(11)
Braeburn, Inc.Senior SecuredOctober 2028
Prime + 2.45%, Floor rate 10.95%, PIK Interest 1.10%, 5.45% Exit Fee
$52,500 51,942 51,942 
BridgeBio Pharma, Inc.Senior SecuredNovember 2026
FIXED 9.00%, 2.00% Exit Fee
$38,167 38,064 34,821 (12)(13)(14)
Cellarity, Inc.Senior SecuredJune 2026
Prime + 5.70%, Floor rate 8.95%, 3.75% Exit Fee
$30,000 30,170 30,747 (13)(15)
COMPASS Pathways plcSenior SecuredJuly 2027
Prime + 1.50%, Floor rate 9.75%, PIK Interest 1.40%, 4.75% Exit Fee
$24,059 23,605 23,605 (5)(10)(14)
Corium, Inc.Senior SecuredSeptember 2026
Prime + 5.70%, Floor rate 8.95%, 7.75% Exit Fee
$132,675 135,071 137,809 (13)(16)
Curevo, Inc.Senior SecuredJune 2027
Prime + 1.70%, Floor rate 9.70%, 6.95% Exit Fee
$10,000 9,746 9,746 (15)
Eloxx Pharmaceuticals, Inc.Senior SecuredApril 2025
Prime + 6.25%, Floor rate 9.50%, 6.55% Exit Fee
$4,780 5,444 5,337 (15)
enGene, Inc.Senior SecuredJuly 2025
Prime + 5.00%, Floor rate 8.25%, 6.35% Exit Fee
$9,842 10,151 10,222 (5)(10)(12)(13)
G1 Therapeutics, Inc.Senior SecuredNovember 2026
Prime + 5.65%, Floor rate 9.15%, 11.41% Exit Fee
$38,750 39,530 40,014 (11)(12)(15)
Geron CorporationSenior SecuredApril 2025
Prime + 5.75%, Floor rate 9.00%, 6.55% Exit Fee
$18,500 19,314 19,603 (10)(12)(13)(17)
Gritstone Bio, Inc.Senior SecuredJuly 2027
Prime + 3.15%, Floor rate 7.15%, Cap rate 8.65%, PIK Interest 2.00%, 5.75% Exit Fee
$22,916 23,062 23,118 (13)(14)(17)
Heron Therapeutics, Inc.Senior SecuredFebruary 2026
Prime + 1.70%, Floor rate 9.95%, PIK Interest 1.50%, 3.00% Exit Fee
$20,019 19,624 19,624 (14)(15)
Hibercell, Inc.Senior SecuredMay 2025
Prime + 5.40%, Floor rate 8.65%, 4.95% Exit Fee
$14,495 15,014 15,047 (13)(15)
HilleVax, Inc.Senior SecuredMay 2027
Prime + 1.05%, Floor rate 4.55%, Cap rate 6.05%, PIK Interest 2.85%, 7.15% Exit Fee
$20,377 20,441 19,828 (14)(15)
Kura Oncology, Inc.Senior SecuredNovember 2027
Prime + 2.40%, Floor rate 8.65%, 15.13% Exit Fee
$5,500 5,510 5,687 (10)(15)
Locus Biosciences, Inc.Senior SecuredJuly 2025
Prime + 6.10%, Floor rate 9.35%, 4.95% Exit Fee
$6,140 6,361 6,394 (15)
Madrigal Pharmaceutical, Inc.Senior SecuredMay 2026
Prime + 2.45%, Floor rate 8.25%, 5.35% Exit Fee
$78,200 78,324 80,521 (10)
Phathom Pharmaceuticals, Inc.Senior SecuredOctober 2026
Prime + 2.25%, Floor rate 5.50%, PIK Interest 3.35%, 7.50% Exit Fee
$97,049 98,323 99,188 (10)(12)(14)(15)(16)(17)(22)
Redshift Bioanalytics, Inc.Senior SecuredJanuary 2026
Prime + 4.25%, Floor rate 7.50%, 3.80% Exit Fee
$5,000 5,024 5,080 (15)
Replimune Group, Inc.Senior SecuredOctober 2027
Prime + 1.75%, Floor rate 7.25%, Cap rate 9.00%, PIK Interest 1.50%, 4.95% Exit Fee
$20,986 21,035 21,536 (10)(12)(14)
Tarsus Pharmaceuticals, Inc.Senior SecuredFebruary 2027
Prime + 4.45%, Floor rate 8.45%, Cap rate 11.45%, 4.75% Exit Fee
$12,375 12,452 12,701 (10)(13)(17)
See notes to consolidated financial statements
8

Table of Contents
HERCULES CAPITAL, INC.
CONSOLIDATED SCHEDULE OF INVESTMENTS
September 30, 2023 (unaudited)
(dollars in thousands)
Portfolio CompanyType of
Investment
Maturity Date
Interest Rate and Floor (1)
Principal
Amount
Cost (2)
ValueFootnotes
TG Therapeutics, Inc.Senior SecuredJanuary 2026
Prime + 1.20%, Floor rate 8.95%, PIK Interest 2.25%, 5.69% Exit Fee
$65,398 $65,737 $66,736 (10)(11)(12)(14)
uniQure B.V.Senior SecuredJanuary 2027
Prime + 4.70%, Floor rate 7.95%, 6.10% Exit Fee
$70,000 70,915 73,203 (5)(10)(11)(12)
Valo Health, LLCSenior SecuredMay 2024
Prime + 6.45%, Floor rate 9.70%, 3.85% Exit Fee
$3,833 4,217 4,217 (11)(13)
Viridian Therapeutics, Inc.Senior SecuredOctober 2026
Prime + 4.20%, Floor rate 7.45%, Cap rate 8.95%, 6.00% Exit Fee
$8,000 8,015 7,854 (10)(13)(17)
X4 Pharmaceuticals, Inc.Senior SecuredOctober 2026
Prime + 3.15%, Floor rate 10.15%, 3.80% Exit Fee
$55,000 54,444 54,762 (11)(12)(13)
Subtotal: Drug Discovery & Development (69.33%)*
1,132,403 1,145,410 
Electronics & Computer Hardware
Locus Robotics Corp.Senior SecuredJune 2026
Prime + 4.50%, Floor rate 8.00%, 1.00% Exit Fee
$18,281 18,301 19,084 (17)(19)
Subtotal: Electronics & Computer Hardware (1.16%)*
18,301 19,084 
Healthcare Services, Other
Better Therapeutics, Inc.Senior SecuredAugust 2025
Prime + 5.70%, Floor rate 8.95%, 5.95% Exit Fee
$11,314 11,671 11,353 (15)
Blue Sprig Pediatrics, Inc.Senior SecuredNovember 2026
1-month SOFR + 5.11%, Floor rate 6.00%, PIK Interest 4.45%
$58,316 57,667 57,926 (11)(13)(14)
Carbon Health Technologies, Inc.Senior SecuredMarch 2025
Prime + 5.60%, Floor rate 8.85%, 4.61% Exit Fee
$46,125 47,023 47,342 (11)(13)
Equality Health, LLCSenior SecuredFebruary 2026
Prime + 6.25%, Floor rate 9.50%, PIK Interest 1.55%
$54,213 53,893 54,483 (11)(12)(14)
Main Street Rural, Inc.Senior SecuredJuly 2027
Prime + 1.95%, Floor rate 9.95%, 6.85% Exit Fee
$24,500 24,350 24,350 (15)(17)
Modern Life, Inc.Senior SecuredFebruary 2027
Prime + 2.75%, Floor rate 8.75%, 3.00% Exit Fee
$13,000 12,826 12,999 (13)(17)
Recover Together, Inc.Senior SecuredJuly 2027
Prime + 1.90%, Floor rate 10.15%, 7.50% Exit Fee
$35,000 34,495 34,495 
Strive Health Holdings, LLCSenior SecuredSeptember 2027
Prime + 0.70%, Floor rate 9.20%, 5.95% Exit Fee
$12,000 11,822 11,822 (15)
Vida Health, Inc.Senior SecuredMarch 2026
9.20% + Lower of (Prime -3.25%) or 1.00%, Floor rate 9.20%, Cap rate 10.20%, 4.95% Exit Fee
$22,000 21,885 21,532 (11)
Subtotal: Healthcare Services, Other (16.72%)*
275,632 276,302 
Information Services
Capella Space Corp.Senior SecuredNovember 2025
Prime + 5.00%, Floor rate 8.25%, PIK Interest 1.10%, 7.00% Exit Fee
$20,420 20,994 21,154 (14)(15)
Checkr Group, Inc.Senior SecuredAugust 2028
Prime + 1.45%, Floor rate 8.00%, PIK Interest 2.00%, 2.75% Exit Fee
$47,381 47,164 47,164 (14)(17)
Saama Technologies, LLCSenior SecuredJuly 2027
Prime + 0.70%, Floor rate 8.95%, PIK Interest 2.00%, 2.95% Exit Fee
$11,666 11,544 11,544 (14)(17)
Signal Media LimitedSenior SecuredJune 2025
Prime + 5.50%, Floor rate 9.00%, Cap rate 12.00%, 3.45% Exit Fee
$4,500 4,463 4,454 (5)(10)(17)
Yipit, LLCSenior SecuredSeptember 2026
1-month SOFR + 8.47%, Floor rate 9.37%
$31,875 31,452 31,757 (17)(18)
Subtotal: Information Services (7.03%)*
115,617 116,073 
Manufacturing Technology
Bright Machines, Inc.Senior SecuredApril 2025
Prime + 4.00%, Floor rate 9.50%, 5.00% Exit Fee
$8,748 8,884 8,920 (13)
Ouster, Inc.Senior SecuredMay 2026
Prime + 6.15%, Floor rate 9.40%, 7.45% Exit Fee
$14,000 14,185 14,796 (10)(13)
Subtotal: Manufacturing Technology (1.44%)*
23,069 23,716 
Media/Content/Info
Fever Labs, Inc.Senior SecuredSeptember 2026
Prime + 3.50%, Floor rate 9.00%, 1.00% Exit Fee
$6,667 6,645 6,726 (19)
Senior SecuredSeptember 2025
Prime + 3.50%, Floor rate 9.00%, 1.00% Exit Fee
$1,333 1,337 1,346 (19)
Senior SecuredDecember 2025
Prime + 3.50%, Floor rate 9.00%, 1.00% Exit Fee
$1,500 1,499 1,508 (19)
Senior SecuredMarch 2026
Prime + 3.50%, Floor rate 9.00%, 1.00% Exit Fee
$1,667 1,658 1,663 (19)
Senior SecuredJune 2026
Prime + 3.50%, Floor rate 9.00%, 1.00% Exit Fee
$1,667 1,635 1,638 (19)
Total Fever Labs, Inc.$12,834 12,774 12,881 
Subtotal: Media/Content/Info (0.78%)*
12,774 12,881 
See notes to consolidated financial statements
9

Table of Contents
HERCULES CAPITAL, INC.
CONSOLIDATED SCHEDULE OF INVESTMENTS
September 30, 2023 (unaudited)
(dollars in thousands)
Portfolio CompanyType of
Investment
Maturity Date
Interest Rate and Floor (1)
Principal
Amount
Cost (2)
ValueFootnotes
Medical Devices & Equipment
Senseonics Holdings, Inc.Senior SecuredSeptember 2027
Prime + 1.40%, Floor rate 9.90%, 6.95% Exit Fee
$21,875 $21,461 $21,461 
Subtotal: Medical Devices & Equipment (1.30%)*
21,461 21,461 
Software
3GTMS, LLCSenior SecuredFebruary 2025
6-month SOFR + 9.70%, Floor rate 10.60%
$12,605 12,508 12,548 (11)(17)(18)
Senior SecuredFebruary 2025
3-month SOFR + 6.88%, Floor rate 7.78%
$2,000 1,998 1,984 (17)(18)
Total 3GTMS, LLC$14,605 14,506 14,532 
Agilence, Inc.Senior SecuredOctober 2026
1-month BSBY + 9.00%, Floor rate 10.00%
$9,236 9,051 9,170 (12)(17)(18)
Alchemer LLCSenior SecuredMay 2028
1-month SOFR + 8.14%, Floor rate 9.14%
$20,908 20,491 21,126 (13)(17)(18)
Allvue Systems, LLCSenior SecuredSeptember 2029
6-month SOFR + 7.25%, Floor rate 8.25%
$36,410 35,505 35,505 (17)
Annex CloudSenior SecuredFebruary 2027
1-month BSBY + 8.99%, Floor rate 9.99%
$8,844 8,666 8,737 (13)
Automation Anywhere, Inc.Senior SecuredSeptember 2027
Prime + 4.25%, Floor rate 9.00%, 3.50% Exit Fee
$19,600 19,270 20,032 (11)(17)(19)
Babel StreetSenior SecuredDecember 2027
3-month SOFR + 7.89%, Floor rate 8.89%
$45,000 43,935 44,887 (15)(17)(18)
Brain CorporationSenior SecuredApril 2026
Prime + 3.70%, Floor rate 9.20%, PIK Interest 1.00%, 3.95% Exit Fee
$30,338 30,490 30,694 (13)(14)(15)(17)
Campaign Monitor LimitedSenior SecuredNovember 2025
3-month SOFR + 9.05%, Floor rate 9.90%
$33,000 32,672 33,000 (13)(19)
Catchpoint Systems, Inc.Senior SecuredNovember 2025
3-month SOFR + 9.41%, Floor rate 11.81%
$10,098 9,940 9,944 (18)
Ceros, Inc.Senior SecuredSeptember 2026
6-month LIBOR + 8.99%, Floor rate 9.89%
$21,298 20,923 21,492 (17)(18)
Senior SecuredSeptember 2026
6-month SOFR + 8.89%, Floor rate 9.89%
$1,622 1,599 1,614 (17)(18)
Total Ceros, Inc.$22,920 22,522 23,106 
Constructor.io CorporationSenior SecuredJuly 2027
1-month SOFR + 8.44%, Floor rate 9.44%
$4,688 4,587 4,758 (13)(17)(18)
Convoy, Inc.Senior SecuredMarch 2026
Prime + 3.20%, Floor rate 6.45%, PIK Interest 1.95%, 4.55% Exit Fee
$75,092 74,861 24,555 (8)(14)(19)
Copper CRM, IncSenior SecuredMarch 2025
Prime + 4.50%, Floor rate 8.25%, Cap rate 10.25%, PIK Interest 1.95%, 4.14% Exit Fee
$9,500 9,629 9,407 (11)(14)
Cutover, Inc.Senior SecuredOctober 2025
Prime + 5.20%, Floor rate 9.95%, 4.95% Exit Fee
$5,500 5,516 5,685 (5)(10)(12)(17)
Cybermaxx Intermediate Holdings, Inc.Senior SecuredAugust 2026
6-month SOFR + 8.63%, Floor rate 9.38%
$7,975 7,840 7,701 (13)(17)
Senior SecuredAugust 2026
6-month SOFR + 12.36%, Floor rate 13.11%
$2,553 2,497 2,604 (17)
Total Cybermaxx Intermediate Holdings, Inc.$10,528 10,337 10,305  
Dashlane, Inc.Senior SecuredJuly 2025
Prime + 3.05%, Floor rate 7.55%, PIK Interest 1.10%, 2.39% Exit Fee
$42,729 42,897 43,211 (11)(13)(14)(19)
Dispatch Technologies, Inc.Senior SecuredApril 2028
3-month SOFR + 8.01%, Floor rate 8.76%
$8,000 7,816 7,925 (17)(18)
DroneDeploy, Inc.Senior SecuredJuly 2026
Prime + 4.50%, Floor rate 8.75%, 4.00% Exit Fee
$6,250 6,043 6,092 (17)
Eigen Technologies Ltd.Senior SecuredApril 2025
Prime + 5.10%, Floor rate 8.35%, 2.95% Exit Fee
$3,750 3,786 3,749 (5)(10)
Elation Health, Inc.Senior SecuredMarch 2026
Prime + 4.25%, Floor rate 9.00%, PIK Interest 1.95%, 3.95% Exit Fee
$5,096 4,985 5,155 (14)(17)(19)
Enmark Systems, Inc.Senior SecuredSeptember 2026
3-month SOFR + 6.88%, Floor rate 7.73%, PIK Interest 2.14%
$8,338 8,195 8,338 (11)(14)(17)(18)
Flight Schedule Pro, LLCSenior SecuredOctober 2027
1-month SOFR + 7.80%, Floor rate 8.70%
$6,268 6,107 6,202 (17)(18)
Fortified Health SecuritySenior SecuredDecember 2027
6-month SOFR + 7.79%, Floor rate 8.54%
$7,000 6,844 6,845 (11)(17)(18)
Ikon Science LimitedSenior SecuredOctober 2024
3-month SOFR + 9.26%, Floor rate 10.00%
$6,300 6,215 6,300 (5)(10)(17)(18)
Imperva, Inc.Senior SecuredJanuary 2027
3-month SOFR + 8.01%, Floor rate 8.75%
$20,000 19,893 20,200 (19)
Khoros (p.k.a Lithium Technologies)Senior SecuredJanuary 2025
3-month SOFR + 4.50%, Floor rate 5.50%, PIK Interest 4.50%
$57,113 57,065 57,113 
See notes to consolidated financial statements
10

Table of Contents
HERCULES CAPITAL, INC.
CONSOLIDATED SCHEDULE OF INVESTMENTS
September 30, 2023 (unaudited)
(dollars in thousands)
Portfolio CompanyType of
Investment
Maturity Date
Interest Rate and Floor (1)
Principal
Amount
Cost (2)
ValueFootnotes
Kore.ai, Inc.Senior SecuredApril 2027
Prime + 1.50%, Floor rate 9.25%, PIK Interest 2.20%, 2.27% Exit Fee
$33,283 $32,886 $32,892 (14)
Leapwork ApSSenior SecuredFebruary 2026
Prime + 0.25%, Floor rate 7.25%, PIK Interest 1.95%, 2.70% Exit Fee
$3,795 3,780 3,867 (5)(10)(12)(14)(17)
LinenMaster, LLCSenior SecuredAugust 2028
1-month SOFR + 6.25%, Floor rate 7.25%, PIK Interest 2.15%
$15,000 14,706 14,706 (17)
Loftware, Inc.Senior SecuredMarch 2028
3-month SOFR + 7.88%, Floor rate 8.88%
$25,900 25,303 25,820 (17)(18)
LogicSourceSenior SecuredJuly 2027
3-month SOFR + 8.93%, Floor rate 9.93%
$13,300 13,062 13,485 (17)(18)
Mobile Solutions ServicesSenior SecuredDecember 2025
3-month SOFR + 9.21%, Floor rate 10.06%
$18,366 18,088 17,991 (18)
Nuvolo Technologies CorporationSenior SecuredJuly 2026
Prime + 5.25%, Floor rate 8.50%, 2.42% Exit Fee
$22,500 22,680 23,494 (12)(13)(17)(19)
Omeda Holdings, LLCSenior SecuredJuly 2027
3-month SOFR + 8.05%, Floor rate 9.05%
$7,613 7,403 7,551 (11)(17)(18)
Onna Technologies, Inc.Senior SecuredMarch 2026
Prime + 1.35%, Floor rate 8.85%, PIK Interest 1.75%, 4.45% Exit Fee
$3,836 3,764 3,769 (14)(17)
Salary.com, LLCSenior SecuredSeptember 2027
3-month SOFR + 8.00%, Floor rate 9.00%
$17,865 17,561 17,708 (18)
ShadowDragon, LLCSenior SecuredDecember 2026
6-month SOFR + 9.05%, Floor rate 9.95%
$6,000 5,875 5,776 (17)(18)
Simon Data, Inc.Senior SecuredMarch 2027
Prime + 1.00%, Floor rate 8.75%, PIK Interest 1.95%, 2.92% Exit Fee
$14,991 14,871 15,097 (12)(14)
Sisense Ltd.Senior SecuredJuly 2027
Prime + 1.50%, Floor rate 9.50%, PIK Interest 1.95%, 2.55% Exit Fee
$34,659 34,275 34,363 (5)(10)(14)
Streamline Healthcare SolutionsSenior SecuredMarch 2028
1-month SOFR + 7.25%, Floor rate 8.25%
$13,200 12,942 13,270 (17)(18)
Sumo Logic, Inc.Senior SecuredMay 2030
3-month SOFR + 6.50%, Floor rate 7.50%
$23,000 22,446 22,852 (17)
Suzy, Inc.Senior SecuredAugust 2027
Prime + 1.75%, Floor rate 10.00%, PIK Interest 1.95%, 3.45% Exit Fee
$12,005 11,745 11,745 (14)(15)(17)
Tact.ai Technologies, Inc.Senior SecuredFebruary 2024
Prime + 4.00%, Floor rate 8.75%, PIK Interest 2.00%, 5.50% Exit Fee
$1,838 1,832 1,832 (14)
ThreatConnect, Inc.Senior SecuredMay 2026
6-month SOFR + 9.25%, Floor rate 10.00%
$10,948 10,741 10,797 (17)(18)
Tipalti Solutions Ltd.Senior SecuredApril 2027
Prime + 0.45%, Floor rate 7.95%, PIK Interest 2.00%, 3.75% Exit Fee
$10,595 10,497 10,692 (5)(10)(14)(17)
Zappi, Inc.Senior SecuredDecember 2027
3-month SOFR + 8.03%, Floor rate 9.03%
$9,000 8,806 8,912 (5)(10)(13)(17)(18)
Zimperium, Inc.Senior SecuredMay 2027
3-month SOFR + 8.31%, Floor rate 9.31%
$16,313 16,042 16,394 (17)(18)
Subtotal: Software (47.79%)*
831,129 789,586 
Sustainable and Renewable Technology
Ampion, PBCSenior SecuredMay 2025
Prime + 4.70%, Floor rate 7.95%, PIK Interest 1.45%, 3.95% Exit Fee
$4,082 4,088 4,147 (13)(14)
Pineapple Energy LLCSenior SecuredJune 2027
FIXED 10.00%
$1,780 1,780 1,768 (19)
Subtotal: Sustainable and Renewable Technology (0.36%)*
5,868 5,915 
Total: Debt Investments (187.15%)*
$3,131,673 $3,091,880 
Portfolio CompanyType of
Investment
Acquisition Date(6)
Series (3)
Shares
Cost (2)
ValueFootnotes
Equity Investments
Consumer & Business Products
Fabletics, Inc. Equity4/30/2010Common Stock42,989$128 $75 
Equity7/16/2013Preferred Series B130,1911,101 553 
Total Fabletics, Inc. 173,1801,229 628 
Grove Collaborative, Inc.Equity4/30/2021Common Stock12,260433 33 (4)
Savage X Holding, LLCEquity4/30/2010Class A Units172,32813 770 
See notes to consolidated financial statements
11

Table of Contents
HERCULES CAPITAL, INC.
CONSOLIDATED SCHEDULE OF INVESTMENTS
September 30, 2023 (unaudited)
(dollars in thousands)
Portfolio CompanyType of
Investment
Acquisition Date(6)
Series (3)
Shares
Cost (2)
ValueFootnotes
TFG Holding, Inc.Equity4/30/2010Common Stock173,180$89 $503 
Subtotal: Consumer & Business Products (0.12%)*
1,764 1,934 
Consumer & Business Services
Carwow LTDEquity12/15/2021Preferred Series D-4199,7421,151 531 (5)(10)
DoorDash, Inc.Equity12/20/2018Common Stock81,996945 6,516 (4)
Lyft, Inc.Equity12/26/2018Common Stock100,7385,263 1,062 (4)
Nerdy Inc.Equity9/17/2021Common Stock100,0001,000 370 (4)
OfferUp, Inc.Equity10/25/2016Preferred Series A286,0801,663 372 
Equity10/25/2016Preferred Series A-1108,710632 141 
Total OfferUp, Inc.   394,7902,295 513 
OportunEquity6/28/2013Common Stock48,365577 349 (4)
Reischling Press, Inc.Equity7/31/2020Common Stock3,09539  
Rhino Labs, Inc.Equity1/24/2022Preferred Series B-27,0631,001 417 
Tectura CorporationEquity5/23/2018Common Stock414,994,863900  (7)
Equity6/6/2016Preferred Series BB1,000,000  (7)
Total Tectura Corporation415,994,863900  
Subtotal: Consumer & Business Services (0.59%)*
13,171 9,758 
Diversified Financial Services
Gibraltar Acquisition, LLC (p.k.a. Gibraltar Business Capital, LLC)Equity3/1/2018Member Units132,506 21,553 (7)(20)
Hercules Adviser LLCEquity3/26/2021Member Units135 28,668 (7)(23)
Newfront Insurance Holdings, Inc.Equity9/30/2021Preferred Series D-2210,282403 312 
Subtotal: Diversified Financial Services (3.06%)*
32,944 50,533 
Drug Delivery
AcelRx Pharmaceuticals, Inc.Equity12/10/2018Common Stock8,8361,329 5 (4)
Aytu BioScience, Inc.Equity3/28/2014Common Stock6801,500 2 (4)
BioQ Pharma IncorporatedEquity12/8/2015Preferred Series D165,000500  
PDS Biotechnology CorporationEquity4/6/2015Common Stock2,498309 13 (4)
Subtotal: Drug Delivery (0.00%)*
3,638 20 
Drug Discovery & Development
Applied Molecular TransportEquity4/6/2021Common Stock1,00042  (4)(10)
Avalo Therapeutics, Inc.Equity8/19/2014Common Stock9,9231,000 1 (4)
Axsome Therapeutics, Inc.Equity5/9/2022Common Stock127,0214,165 8,878 (4)(10)(16)
Bicycle Therapeutics PLCEquity10/5/2020Common Stock98,1001,871 1,971 (4)(5)(10)
BridgeBio Pharma, Inc.Equity6/21/2018Common Stock231,3292,255 6,100 (4)
Dare Biosciences, Inc.Equity1/8/2015Common Stock13,5501,000 6 (4)
Dynavax TechnologiesEquity7/22/2015Common Stock20,000550 295 (4)(10)
Gritstone Bio, Inc.Equity10/26/2022Common Stock442,4771,000 761 (4)
See notes to consolidated financial statements
12

Table of Contents
HERCULES CAPITAL, INC.
CONSOLIDATED SCHEDULE OF INVESTMENTS
September 30, 2023 (unaudited)
(dollars in thousands)
Portfolio CompanyType of
Investment
Acquisition Date(6)
Series (3)
Shares
Cost (2)
ValueFootnotes
Heron Therapeutics, Inc.Equity7/25/2023Common Stock364,963$500 $376 (4)
Hibercell, Inc.Equity5/7/2021Preferred Series B3,466,8404,250 1,420 (15)
HilleVax, Inc.Equity5/3/2022Common Stock235,2954,000 3,165 (4)
Humanigen, Inc.Equity3/31/2021Common Stock43,243800 1 (4)(10)
Kura Oncology, Inc.Equity6/16/2023Common Stock47,826550 436 (4)(10)
Madrigal Pharmaceutical, Inc.Equity9/29/2023Common Stock5,100773 745 (4)(10)
NorthSea TherapeuticsEquity12/15/2021Preferred Series C9832,000 587 (5)(10)
Phathom Pharmaceuticals, Inc.Equity6/9/2023Common Stock147,2331,730 1,527 (4)(10)(16)
Rocket Pharmaceuticals, Ltd.Equity8/22/2007Common Stock9441,500 19 (4)
Savara, Inc.Equity8/11/2015Common Stock11,119203 42 (4)
Sio Gene Therapies, Inc.Equity2/2/2017Common Stock16,2281,269 6 (4)
Tarsus Pharmaceuticals, Inc.Equity5/5/2022Common Stock155,5552,100 2,764 (4)(10)
uniQure B.V.Equity1/31/2019Common Stock17,175332 115 (4)(5)(10)
Valo Health, LLCEquity12/11/2020Preferred Series B510,3083,000 2,001  
 Equity10/31/2022Preferred Series C170,1021,000 1,006  
Total Valo Health, LLC   680,4104,000 3,007  
Verge Analytics, Inc.Equity9/6/2023Preferred Series C208,5881,500 1,500 
X4 Pharmaceuticals, Inc.Equity11/26/2019Common Stock1,566,0642,945 1,707 (4)
Subtotal: Drug Discovery & Development (2.14%)*
40,335 35,429  
Electronics & Computer Hardware    
Locus Robotics Corp.Equity11/17/2022Preferred Series F15,116650 408  
Skydio, Inc.Equity3/8/2022Preferred Series E248,9001,500 447  
Subtotal: Electronics & Computer Hardware (0.05%)*
2,150 855  
Healthcare Services, Other    
23andMe, Inc.Equity3/11/2019Common Stock825,7325,094 807 (4)
Carbon Health Technologies, Inc.Equity3/30/2021Preferred Series C217,8801,687 564  
Subtotal: Healthcare Services, Other (0.08%)*
6,781 1,371  
Information Services      
Planet Labs, Inc.Equity6/21/2019Common Stock547,880615 1,424 (4)
Yipit, LLCEquity12/30/2021Preferred Series E41,0213,825 4,540  
Subtotal: Information Services (0.36%)*
4,440 5,964  
Medical Devices & Equipment     
Coronado Aesthetics, LLCEquity10/15/2021Common Units180,000 2 (7)
 Equity10/15/2021Preferred Series A-25,000,000250 245 (7)
Total Coronado Aesthetics, LLC   5,180,000250 247  
Gelesis, Inc.Equity11/30/2009Common Stock1,490,700871 72 (4)
ViewRay, Inc.Equity12/16/2013Common Stock36,457332  (4)
Subtotal: Medical Devices & Equipment (0.02%)*
1,453 319  
See notes to consolidated financial statements
13

Table of Contents
HERCULES CAPITAL, INC.
CONSOLIDATED SCHEDULE OF INVESTMENTS
September 30, 2023 (unaudited)
(dollars in thousands)
Portfolio CompanyType of
Investment
Acquisition Date(6)
Series (3)
Shares
Cost (2)
ValueFootnotes
Semiconductors     
Achronix Semiconductor CorporationEquity7/1/2011Preferred Series C277,995$160 $377  
Subtotal: Semiconductors (0.02%)*
160 377  
Software    
3GTMS, LLCEquity8/9/2021Common Stock1,000,0001,000 896  
Black Crow AI, Inc. affiliatesEquity3/24/2021Preferred Note32,406 2,406 (21)
CapLinked, Inc.Equity10/26/2012Preferred Series A-353,61451   
Contentful Global, Inc.Equity12/22/2020Preferred Series C41,000138 281 (5)(10)
 Equity11/20/2018Preferred Series D108,500500 788 (5)(10)
Total Contentful Global, Inc.   149,500638 1,069  
Docker, Inc.Equity11/29/2018Common Stock20,0004,284 568  
Druva Holdings, Inc.Equity10/22/2015Preferred Series 2458,8411,000 2,381  
 Equity8/24/2017Preferred Series 393,620300 513  
Total Druva Holdings, Inc.   552,4611,300 2,894  
HighRoads, Inc.Equity1/18/2013Common Stock190307   
Leapwork ApSEquity8/25/2023Preferred Series B2183,073250 230 (5)(10)
Lightbend, Inc.Equity12/4/2020Common Stock38,461265 23  
Nextdoor.com, Inc.Equity8/1/2018Common Stock1,019,2554,854 1,855 (4)
Palantir TechnologiesEquity9/23/2020Common Stock818,3375,002 13,093 (4)
SingleStore, Inc.Equity11/25/2020Preferred Series E580,9832,000 1,923  
 Equity8/12/2021Preferred Series F52,956280 219  
Total SingleStore, Inc.   633,9392,280 2,142  
Verana Health, Inc.Equity7/8/2021Preferred Series E952,5622,000 471  
ZeroFox, Inc.Equity5/7/2020Common Stock289,992101 255 (4)
Subtotal: Software (1.57%)*
24,738 25,902  
Sustainable and Renewable Technology     
Fulcrum Bioenergy, Inc.Equity9/13/2012Preferred Series C-1187,265711 1,142  
Impossible Foods, Inc.Equity5/10/2019Preferred Series E-1188,6112,000 766  
Modumetal, Inc.Equity6/1/2015Common Stock1,035500   
NantEnergy, LLCEquity8/31/2013Common Units59,665102   
Pineapple Energy LLCEquity12/10/2020Common Stock304,4873,153 259 (4)
Pivot Bio, Inc.Equity6/28/2021Preferred Series D593,0804,500 2,341  
Proterra, Inc.Equity5/28/2015Common Stock457,841542 25 (4)
Subtotal: Sustainable and Renewable Technology (0.27%)*
11,508 4,533  
Total: Equity Investments (8.29%)*
$143,082 $136,995  
Warrant Investments
Biotechnology Tools
Alamar Biosciences, Inc.Warrant6/21/2022Preferred Series B15,399$24 $7  
See notes to consolidated financial statements
14

Table of Contents
HERCULES CAPITAL, INC.
CONSOLIDATED SCHEDULE OF INVESTMENTS
September 30, 2023 (unaudited)
(dollars in thousands)
Portfolio CompanyType of
Investment
Acquisition Date(6)
Series (3)
Shares
Cost (2)
ValueFootnotes
PathAI, Inc.Warrant12/23/2022Common Stock53,418$461 $307 (12)
Subtotal: Biotechnology Tools (0.02%)*
485 314  
Communications & Networking    
Aryaka Networks, Inc.Warrant6/28/2022Common Stock229,611123 80 (12)
Subtotal: Communications & Networking (0.00%)*
123 80  
Consumer & Business Products    
Gadget Guard, LLCWarrant6/3/2014Common Stock1,662,441228   
The Neat CompanyWarrant8/13/2014Common Stock54,054365   
Whoop, Inc.Warrant6/27/2018Preferred Series C686,27018 225  
Subtotal: Consumer & Business Products (0.01%)*
611 225  
Consumer & Business Services    
Carwow LTDWarrant12/14/2021Common Stock174,163164 58 (5)(10)
Houzz, Inc.Warrant10/29/2019Common Stock529,66120   
Landing Holdings Inc.Warrant3/12/2021Common Stock11,806116 184 (15)
Lendio, Inc.Warrant3/29/2019Preferred Series D127,03239 16  
ProviWarrant12/22/2022Common Stock117,042166 103 (15)
Rhino Labs, Inc.Warrant3/12/2021Common Stock13,106471 1 (15)
RumbleON, Inc.Warrant10/30/2018Common Stock1,04815  (4)
SeatGeek, Inc.Warrant6/12/2019Common Stock1,379,761842 1,863 (16)
Skyword, Inc.Warrant11/14/2022Common Stock1,607,14357 66  
 Warrant8/23/2019Preferred Series B444,44483 5  
Total Skyword, Inc.   2,051,587140 71  
Snagajob.com, Inc.Warrant4/20/2020Common Stock600,00016   
 Warrant6/30/2016Preferred Series A1,800,000782   
 Warrant8/1/2018Preferred Series B1,211,53762   
Total Snagajob.com, Inc.   3,611,537860   
Thumbtack, Inc.Warrant5/1/2018Common Stock267,225844 403 (12)
Udacity, Inc.Warrant9/25/2020Common Stock486,359218  (12)
Veem, Inc.Warrant3/31/2022Common Stock98,428126 10 (12)
Worldremit Group LimitedWarrant2/11/2021Preferred Series D77,215129 18 (5)(10)(12)(16)
 Warrant8/27/2021Preferred Series E1,86826  (5)(10)(16)
Total Worldremit Group Limited   79,083155 18  
Subtotal: Consumer & Business Services (0.17%)*
4,176 2,727  
Diversified Financial Services    
Next Insurance, Inc.Warrant2/3/2023Common Stock522,930214 149  
Subtotal: Diversified Financial Services (0.01%)*
214 149  
Drug Delivery     
Aerami Therapeutics Holdings, Inc.Warrant9/30/2015Common Stock110,88274   
See notes to consolidated financial statements
15

Table of Contents
HERCULES CAPITAL, INC.
CONSOLIDATED SCHEDULE OF INVESTMENTS
September 30, 2023 (unaudited)
(dollars in thousands)
Portfolio CompanyType of
Investment
Acquisition Date(6)
Series (3)
Shares
Cost (2)
ValueFootnotes
BioQ Pharma IncorporatedWarrant10/27/2014Common Stock459,183$1 $  
PDS Biotechnology CorporationWarrant8/28/2014Common Stock3,929390  (4)
Subtotal: Drug Delivery (0.00%)*
465   
Drug Discovery & Development      
ADMA Biologics, Inc.Warrant2/24/2014Common Stock58,000166 5 (4)
Akero Therapeutics, Inc.Warrant6/15/2022Common Stock22,949175 764 (4)(10)
AmplifyBio, LLCWarrant12/27/2022Class A Units69,239238 172 (15)
Axsome Therapeutics, Inc.Warrant9/25/2020Common Stock61,0041,290 1,338 (4)(10)(12)(16)
Cellarity, Inc.Warrant12/8/2021Preferred Series B100,000286 173 (15)
Century Therapeutics, Inc.Warrant9/14/2020Common Stock16,11237  (4)
COMPASS Pathways plcWarrant6/30/2023Ordinary Shares75,376278 237 (4)(5)(10)
Curevo, Inc.Warrant6/9/2023Common Stock95,221233 190 (15)
Dermavant Sciences Ltd.Warrant5/31/2019Common Stock223,642101 56 (5)(10)
enGene, Inc.Warrant12/30/2021Preferred Series 3133,69272  (5)(10)(12)
Evofem Biosciences, Inc.Warrant6/11/2014Common Stock3266  (4)
Fresh Tracks Therapeutics, Inc. (p.k.a. Brickell Biotech, Inc.)Warrant2/18/2016Common Stock201119  (4)
Heron Therapeutics, Inc.Warrant8/9/2023Common Stock238,095228 111 (4)(15)
Kineta, Inc.Warrant12/20/2019Common Stock2,202110  (4)
Kura Oncology, Inc.Warrant11/2/2022Common Stock14,34288 30 (4)(10)(15)
Madrigal Pharmaceutical, Inc.Warrant5/9/2022Common Stock13,229570 1,102 (4)(10)
Phathom Pharmaceuticals, Inc.Warrant9/17/2021Common Stock64,687848 109 (4)(10)(12)(15)(16)
Redshift Bioanalytics, Inc.Warrant3/23/2022Preferred Series E475,51020 12 (15)
Scynexis, Inc.Warrant5/14/2021Common Stock106,035296 38 (4)
TG Therapeutics, Inc.Warrant2/28/2019Common Stock264,2261,284 1,101 (4)(10)(12)
Valo Health, LLCWarrant6/15/2020Common Units102,216256 121  
X4 Pharmaceuticals, Inc.Warrant3/18/2019Common Stock1,392,787510 365 (4)
Subtotal: Drug Discovery & Development (0.36%)*
7,471 5,924  
Electronics & Computer Hardware     
908 Devices, Inc.Warrant3/15/2017Common Stock49,078101 57 (4)
Locus Robotics Corp.Warrant6/21/2022Common Stock8,50334 119  
Skydio, Inc.Warrant11/8/2021Common Stock622,255557 170  
Subtotal: Electronics & Computer Hardware (0.02%)*
692 346  
Healthcare Services, Other    
Modern Life, Inc.Warrant3/30/2023Common Stock37,618164 153  
Recover Together, Inc.Warrant7/3/2023Common Stock194,830382 309 
Strive Health Holdings, LLCWarrant9/28/2023Common Units51,76083 82 (15)
See notes to consolidated financial statements
16

Table of Contents
HERCULES CAPITAL, INC.
CONSOLIDATED SCHEDULE OF INVESTMENTS
September 30, 2023 (unaudited)
(dollars in thousands)
Portfolio CompanyType of
Investment
Acquisition Date(6)
Series (3)
Shares
Cost (2)
ValueFootnotes
Vida Health, Inc.Warrant3/28/2022Common Stock155,957$120 $4  
Subtotal: Healthcare Services, Other (0.03%)*
749 548  
Information Services     
Capella Space Corp.Warrant10/21/2021Common Stock176,200207 56 (15)
INMOBI Inc.Warrant11/19/2014Common Stock65,58782  (5)(10)
NetBase Solutions, Inc.Warrant8/22/2017Preferred Series 160,000356 351  
Signal Media LimitedWarrant6/29/2022Common Stock94,85735 41 (5)(10)
Subtotal: Information Services (0.03%)*
680 448  
Manufacturing Technology     
Bright Machines, Inc.Warrant3/31/2022Common Stock392,308537 442  
MacroFab, Inc.Warrant3/23/2022Common Stock1,111,111528 912  
Xometry, Inc.Warrant5/9/2018Common Stock87,78447 809 (4)
Subtotal: Manufacturing Technology (0.13%)*
1,112 2,163  
Media/Content/Info   
Fever Labs, Inc.Warrant12/30/2022Preferred Series E-1369,37067 236  
Subtotal: Media/Content/Info (0.01%)*
67 236  
Medical Devices & Equipment   
Intuity Medical, Inc.Warrant12/29/2017Preferred Series B-13,076,323294   
Outset Medical, Inc.Warrant9/27/2013Common Stock62,794401 205 (4)
Senseonics Holdings, Inc.Warrant9/8/2023Common Stock728,317200 206 (4)
Tela Bio, Inc.Warrant3/31/2017Common Stock15,71261  (4)
Subtotal: Medical Devices & Equipment (0.02%)*
956 411  
Semiconductors
Achronix Semiconductor CorporationWarrant6/26/2015Preferred Series D-2750,00099 802  
Subtotal: Semiconductors (0.05%)*
99 802  
Software
Aria Systems, Inc.Warrant5/22/2015Preferred Series G231,53574  
Automation Anywhere, Inc.Warrant9/23/2022Common Stock254,778449 401 
Bitsight Technologies, Inc.Warrant11/18/2020Common Stock29,691284 508 
Brain CorporationWarrant10/4/2021Common Stock194,629165 53 (15)
CloudBolt Software, Inc.Warrant9/30/2020Common Stock211,342117 5 
Cloudian, Inc.Warrant11/6/2018Common Stock477,45471 25 
Cloudpay, Inc.Warrant4/10/2018Preferred Series B6,76354 805 (5)(10)
Convoy, Inc.Warrant3/30/2022Common Stock165,456974  
Couchbase, Inc.Warrant4/25/2019Common Stock105,350462 821 (4)
Cutover, Inc.Warrant9/21/2022Common Stock102,89826 50 (5)(10)(12)
Dashlane, Inc.Warrant3/11/2019Common Stock453,641353 109 
Delphix Corp.Warrant10/8/2019Common Stock718,8981,594 3,752 
See notes to consolidated financial statements
17

Table of Contents
HERCULES CAPITAL, INC.
CONSOLIDATED SCHEDULE OF INVESTMENTS
September 30, 2023 (unaudited)
(dollars in thousands)
Portfolio CompanyType of
Investment
Acquisition Date(6)
Series (3)
Shares
Cost (2)
ValueFootnotes
Demandbase, Inc.Warrant8/2/2021Common Stock727,047$545 $248 
DNAnexus, Inc.Warrant3/21/2014Preferred Series C909,09197 146 
Dragos, Inc.Warrant6/28/2023Common Stock49,3091,452 1,167 
DroneDeploy, Inc.Warrant6/30/2022Common Stock95,911278 379 
Eigen Technologies Ltd.Warrant4/13/2022Common Stock5228 3 (5)(10)
Elation Health, Inc.Warrant9/12/2022Common Stock362,837583 188 
First Insight, Inc.Warrant5/10/2018Preferred Series B75,91796 45 
Fulfil Solutions, Inc.Warrant7/29/2022Common Stock84,995325 394 
Kore.ai, Inc.Warrant3/31/2023Preferred Series C64,293208 256 
Leapwork ApSWarrant1/23/2023Common Stock39,94816 38 (5)(10)(12)
Lightbend, Inc.Warrant2/14/2018Preferred Series D89,685131 54 
Mixpanel, Inc.Warrant9/30/2020Common Stock82,362252 236 
Nuvolo Technologies CorporationWarrant3/29/2019Common Stock70,000172 640 (12)
Onna Technologies, Inc.Warrant7/5/2023Common Stock172,86760 33 
Poplicus, Inc.Warrant5/28/2014Common Stock132,168  
Reltio, Inc.Warrant6/30/2020Common Stock69,120215 386 
Simon Data, Inc.Warrant3/22/2023Common Stock77,93496 61 (12)
SingleStore, Inc.Warrant4/28/2020Preferred Series D312,596103 416 
Sisense Ltd.Warrant6/8/2023Ordinary Shares321,956174 142 (5)(10)
Suzy, Inc.Warrant8/24/2023Common Stock292,936367 334 (15)
Tact.ai Technologies, Inc.Warrant2/13/2020Common Stock1,041,667206  
The Faction Group LLCWarrant11/3/2014Preferred Series AA8,076234 958 
Tipalti Solutions Ltd.Warrant3/22/2023Ordinary Shares254,877174 203 (5)(10)
VideoAmp, Inc.Warrant1/21/2022Common Stock152,0481,275 120 (15)
Subtotal: Software (0.79%)*
11,690 12,976 
Surgical Devices
TransMedics Group, Inc.Warrant9/11/2015Common Stock14,44039 418 (4)
Subtotal: Surgical Devices (0.03%)*
39 418 
Sustainable and Renewable Technology  
Ampion, PBCWarrant4/15/2022Common Stock18,47252 37 
Halio, Inc.Warrant4/22/2014Preferred Series A325,000155 22 
Warrant4/7/2015Preferred Series B131,88363 7 
Total Halio, Inc. 456,883218 29 
Polyera CorporationWarrant3/24/2015Preferred Series C150,036269  
Subtotal: Sustainable and Renewable Technology (0.00%)*
539 66 
Total: Warrant Investments (1.68%)*
$30,168 $27,833 
Total Investments in Securities (197.13%)*
$3,304,923 $3,256,708 
See notes to consolidated financial statements
18

Table of Contents
HERCULES CAPITAL, INC.
CONSOLIDATED SCHEDULE OF INVESTMENTS
September 30, 2023 (unaudited)
(dollars in thousands)
Portfolio CompanyType of
Investment
Acquisition Date(6)
Series (3)
Shares
Cost (2)
ValueFootnotes
Investment Funds & Vehicles Investments
Drug Discovery & Development
Forbion Growth Opportunities Fund I C.V.Investment Funds & Vehicles11/16/2020 $3,271 $3,311 (5)(10)(17)
Forbion Growth Opportunities Fund II C.V.Investment Funds & Vehicles6/23/2022 319 987 (5)(10)(17)
Subtotal: Drug Discovery & Development (0.26%)*
3,590 4,298  
Software
Liberty Zim Co-Invest L.P.Investment Funds & Vehicles7/21/2022381 385 (5)(10)
Subtotal: Software (0.02%)*
381 385 
Total: Investment Funds & Vehicles Investments (0.28%)*
$3,971 $4,683 
Total Investments (197.41%)*
$3,308,894 $3,261,391 
Foreign Currency Forward Contracts
Foreign CurrencySettlement DateCounterpartyAmountTransactionUS $ Value at Settlement DateValue
Great British Pound (GBP)6/3/2024Goldman Sachs Bank USA£19,288 Sold$23,810 $230 
Total Foreign Currency Forward (0.01%*)
  $23,810 $230 

*Value as a percent of net assets. All amounts are stated in U.S. Dollars unless otherwise noted. The Company uses the Standard Industrial Code for classifying the industry grouping of its portfolio companies.
(1)Interest rate PRIME represents 8.50% as of September 30, 2023. 1-month LIBOR, 3-month LIBOR and 6-month LIBOR represent 5.43%, 5.66%, and 5.90%, respectively, as of September 30, 2023. 1-month SOFR, 3-month SOFR and 6-month SOFR represent 5.32%, 5.27%, and 5.17%, respectively, as of September 30, 2023.
(2)Gross unrealized appreciation, gross unrealized depreciation, and net unrealized appreciation for federal income tax purposes totaled $97.2 million, $143.1 million and $45.9 million, respectively. The tax cost of investments is $3.3 billion.
(3)Preferred and common stock, warrants, and equity interest are generally non-income producing.
(4)Denotes an investment in common stock or warrants of a publicly traded company. None of the publicly traded company securities are restricted securities as defined under the Securities Act of 1933 ("Securities Act") as of September 30, 2023.
(5)Non-U.S. company or the company’s principal place of business is outside the United States.
(6)Unless otherwise noted, all securities are restricted as of September 30, 2023 and were valued at fair value using Level 3 significant unobservable inputs as determined in good faith by the Company’s valuation committee (the “Valuation Committee”) and approved by the board of directors (the “Board”).
(7)Control investment as defined under the 1940 Act in which Hercules owns at least 25% of the company’s voting securities or has greater than 50% representation on its board.
(8)Debt is on non-accrual status as of September 30, 2023, and is therefore considered non-income producing. Note that as of September 30, 2023, only the PIK, or payment-in-kind, portion is on non-accrual for the Company’s debt investment in Tectura Corporation.
(9)Denotes that all or a portion of the debt investment is convertible debt.
(10)Indicates assets that the Company deems not “qualifying assets” under section 55(a) of 1940 Act. Qualifying assets must represent at least 70% of the Company’s total assets at the time of acquisition of any additional non-qualifying assets.
(11)Denotes that all or a portion of the debt investment is pledged as collateral under the SMBC Facility (as defined in “Note 5 — Debt”).
(12)Denotes that all or a portion of the investment is pledged as collateral under the MUFG Bank Facility (as defined in “Note 5 — Debt”).
(13)Denotes that all or a portion of the debt investment secures the 2031 Asset-Backed Notes (as defined in “Note 5 — Debt”).
(14)Denotes that all or a portion of the debt investment principal includes accumulated PIK interest and is net of repayments.
(15)Denotes that all or a portion of the investment in this portfolio company is held by Hercules Capital IV, L.P., the Company’s wholly owned small business investment company.
(16)Denotes that the fair value of the Company’s total investments in this portfolio company represent greater than 5% of the Company’s total net assets as of September 30, 2023.
See notes to consolidated financial statements
19

Table of Contents
HERCULES CAPITAL, INC.
CONSOLIDATED SCHEDULE OF INVESTMENTS
September 30, 2023 (unaudited)
(dollars in thousands)
(17)Denotes that there is an unfunded contractual commitment available at the request of this portfolio company as of September 30, 2023 (Refer to “Note 11 - Commitments and Contingencies”).
(18)Denotes unitranche debt with first lien “last-out” senior secured position and security interest in all assets of the portfolio company whereby the “last-out” portion will be subordinated to the “first-out” portion in a liquidation, sale or other disposition.
(19)Denotes second lien senior secured debt.
(20)Gibraltar Acquisition LLC is a wholly-owned subsidiary, which is the holding company for their wholly-owned affiliated portfolio companies, Gibraltar Business Capital, LLC and Gibraltar Equipment Finance, LLC.
(21)Denotes investment in a non-voting security in the form of a promissory note. The terms of the notes provide the Company with a lien on the issuers' shares of Common Stock for Black Crow AI, Inc., subject to release upon repayment of the outstanding balance of the notes. As of September 30, 2023, the Black Crow AI, Inc. affiliates promissory notes had an outstanding balance of $2.4 million.
(22)Denotes the security holds rights to royalty fee income associated with certain products of the portfolio company. The approximate cost and fair value of the royalty contract are $4.6 million and $3.2 million, respectively.
(23)Hercules Adviser LLC is owned by Hercules Capital Management LLC and presented with Hercules Partner Holdings, LLC which are both wholly owned by the Company. Please refer to “Note 1” for additional disclosure.
See notes to consolidated financial statements
20

Table of Contents
HERCULES CAPITAL, INC.
CONSOLIDATED SCHEDULE OF INVESTMENTS
December 31, 2022
(dollars in thousands)
Portfolio CompanyType of
Investment
Maturity Date
Interest Rate and Floor (1)
Principal
Amount
Cost (2)
ValueFootnotes
Debt Investments
Biotechnology Tools
Alamar Biosciences, Inc.Senior SecuredJune 2026
Prime + 3.00%, Floor rate 6.50%, PIK Interest 1.00%, 5.95% Exit Fee
$5,000 $4,951 $4,951 
(17)
PathAI, Inc.Senior SecuredJanuary 2027
Prime + 2.15%, Floor rate 9.15%, 11.21% Exit Fee
$28,000 27,388 27,388 
(17)
Subtotal: Biotechnology Tools (2.31%)*
 32,339 32,339 
Communications & Networking   
Aryaka Networks, Inc.Senior SecuredJuly 2026
Prime + 3.25%, Floor rate 6.75%, PIK Interest 1.05%, 3.55% Exit Fee
$5,023 4,969 5,053 
(14)(17)(19)
Cytracom Holdings LLCSenior SecuredFebruary 2025
3-month LIBOR + 9.31%, Floor rate 10.31%
$8,910 8,768 8,748 
(11)(17)(18)
Rocket Lab Global Services, LLCSenior SecuredJune 2024
Prime + 4.90%, Floor rate 8.15%, PIK Interest 1.25%, 3.25% Exit Fee
$84,581 85,430 87,933 
(11)(12)(13)(14)(16)
Subtotal: Communications & Networking (7.26%)*
 99,167 101,734 
Consumer & Business Services   
AppDirect, Inc.Senior SecuredApril 2026
Prime + 5.50%, Floor rate 8.75%, 8.29% Exit Fee
$40,790 41,856 42,426 
(12)(17)
Carwow LTDSenior SecuredDecember 2024
Prime +4.70%, Floor rate 7.95%, PIK Interest 1.45%, 4.95% Exit Fee
£18,890 26,024 22,971 
(5)(10)(14)
Houzz, Inc.Convertible DebtMay 2028
PIK Interest 5.50%
$21,853 21,853 20,356 
(9)(14)
Jobandtalent USA, Inc.Senior SecuredFebruary 2025
1-month SOFR + 8.86%, Floor rate 9.75%, 3.00% Exit Fee
$14,000 13,853 13,904 
(5)(10)
ProviSenior SecuredDecember 2026
Prime + 4.40%, Floor rate 10.65%, 2.95% Exit Fee
$15,000 14,739 14,739 
(15)
Rhino Labs, Inc.Senior SecuredMarch 2024
Prime + 5.50%, Floor rate 8.75%, PIK Interest 2.25%
$16,500 16,328 16,496 
(14)(15)
RVShare, LLCSenior SecuredDecember 2026
3-month LIBOR + 5.50%, Floor rate 6.50%, PIK Interest 4.00%
$27,730 27,265 27,256 
(13)(14)(15)(17)
SeatGeek, Inc.Senior SecuredJune 2023
Prime + 5.00%, Floor rate 10.50%, PIK Interest 0.50%
$60,915 60,721 60,721 
(12)(13)(14)(16)
Senior SecuredMay 2026
Prime + 7.00%, Floor rate 10.50%, PIK Interest 0.50%
$25,071 24,912 25,823 
(11)(14)(16)
Total SeatGeek, Inc.$85,986 85,633 86,544  
Skyword, Inc.Senior SecuredNovember 2026
Prime + 2.75%, Floor rate 9.25%, PIK Interest 1.75%, 3.00% Exit Fee
$9,007 8,918 8,870 
(13)(14)
Tectura CorporationSenior SecuredJuly 2024
PIK Interest 5.00%
$10,680 240  
(7)(8)(14)
Senior SecuredJuly 2024
FIXED 8.25%
$8,250 8,250 8,042 
(7)(8)(14)
Senior SecuredJuly 2024
PIK Interest 5.00%
$13,023 13,023  
(7)(8)(14)
Total Tectura Corporation$31,953 21,513 8,042  
Thumbtack, Inc.Senior SecuredApril 2026
Prime + 4.95%, Floor rate 8.20%, PIK Interest 1.50%, 3.95% Exit Fee
$10,103 10,050 10,167 
(12)(14)(17)
Udacity, Inc.Senior SecuredSeptember 2024
Prime + 4.50%, Floor rate 7.75%, PIK Interest 2.00%, 3.00% Exit Fee
$51,937 52,265 52,976 
(12)(14)
Veem, Inc.Senior SecuredMarch 2025
Prime + 4.00%, Floor rate 7.25%, PIK Interest 1.25%, 4.50% Exit Fee
$5,043 5,000 5,042 
(13)(14)
Senior SecuredMarch 2025
Prime + 4.70%, Floor rate 7.95%, PIK Interest 1.50%, 4.50% Exit Fee
$5,033 4,988 5,124 
(14)
Total Veem, Inc.$10,076 9,988 10,166  
Worldremit Group LimitedSenior SecuredFebruary 2025
3-month LIBOR + 9.25%, Floor rate 10.25%, 3.00% Exit Fee
$94,500 94,418 93,837 
(5)(10)(11)(12)(16)(19)
Subtotal: Consumer & Business Services (30.59%)*
 444,703 428,750  
Diversified Financial Services    
Gibraltar Business Capital, LLCUnsecuredSeptember 2026
FIXED 14.50%
$15,000 14,715 12,802 
(7)
 UnsecuredSeptember 2026
FIXED 11.50%
$10,000 9,852 8,898 
(7)
Total Gibraltar Business Capital, LLC$25,000 24,567 21,700  
See notes to consolidated financial statements
21

Table of Contents
HERCULES CAPITAL, INC.
CONSOLIDATED SCHEDULE OF INVESTMENTS
December 31, 2022
(dollars in thousands)
Portfolio CompanyType of
Investment
Maturity Date
Interest Rate and Floor (1)
Principal
Amount
Cost (2)
ValueFootnotes
Hercules Adviser LLCUnsecuredJune 2025
FIXED 5.00%
$12,000 $12,000 $12,000 
(7)
Subtotal: Diversified Financial Services (2.40%)*
  36,567 33,700  
Drug Discovery & Development
Akero Therapeutics, Inc.Senior SecuredJanuary 2027
Prime + 3.65%, Floor rate 7.65%, 5.85% Exit Fee
$5,000 4,986 5,039 
(10)(13)(17)
Aldeyra Therapeutics, Inc.Senior SecuredOctober 2024
Prime + 3.10%, Floor rate 8.60%, 8.90% Exit Fee
$15,000 15,879 15,974 
(11)
Alladapt Immunotherapeutics Inc.Senior SecuredSeptember 2026
Prime + 3.65%, Floor rate 8.40%, Cap rate 10.90%, 10.60% Exit Fee
$15,000 14,920 14,920 
(13)(17)
AmplifyBio, LLCSenior SecuredJanuary 2027
Prime + 2.50%, Floor rate 9.50%, Cap rate 10.75%, 5.85% Exit Fee
$24,000 23,663 23,663 
(15)
ATAI Life Sciences N.V.Senior SecuredAugust 2026
Prime + 4.55%, Floor rate 8.55%, 6.95% Exit Fee
$10,500 10,513 10,513 
(5)(10)
Aveo Pharmaceuticals, Inc.Senior SecuredSeptember 2024
Prime + 6.40%, Floor rate 9.65%, Cap rate 15.00%, 6.95% Exit Fee
$40,000 41,644 43,183 
(11)(15)
Axsome Therapeutics, Inc.Senior SecuredOctober 2026
Prime + 5.70%, Floor rate 8.95%, Cap rate 10.70%, 5.31% Exit Fee
$81,725 81,631 78,074 
(10)(11)(12)(16)(17)
Bicycle Therapeutics PLCSenior SecuredJuly 2025
Prime + 4.55%, Floor rate 8.05%, Cap rate 9.05%, 5.00% Exit Fee
$11,500 11,757 11,435 
(5)(10)(11)(12)
BiomX, INCSenior SecuredSeptember 2025
Prime + 5.70%, Floor rate 8.95%, 6.55% Exit Fee
$9,000 9,174 9,052 
(5)(10)(11)
BridgeBio Pharma, Inc.Senior SecuredNovember 2026
FIXED 9.00%, 2.00% Exit Fee
$37,312 37,039 33,344 
(12)(13)(14)
Cellarity, Inc.Senior SecuredJune 2026
Prime + 5.70%, Floor rate 8.95%, 3.75% Exit Fee
$30,000 29,841 30,097 
(13)(15)
Century Therapeutics, Inc.Senior SecuredApril 2024
Prime + 6.30%, Floor rate 9.55%, 3.95% Exit Fee
$10,000 10,235 10,292 
(11)
Codiak Biosciences, Inc.Senior SecuredOctober 2025
Prime + 5.00%, Floor rate 8.25%, 5.50% Exit Fee
$25,000 25,759 25,177 
(11)
Corium, Inc.Senior SecuredSeptember 2026
Prime + 5.70%, Floor rate 8.95%, 7.75% Exit Fee
$132,675 133,557 135,619 
(13)(16)
Eloxx Pharmaceuticals, Inc.Senior SecuredApril 2025
Prime + 6.25%, Floor rate 9.50%, 6.55% Exit Fee
$12,500 12,753 12,535 
(15)
enGene, Inc.Senior SecuredJuly 2025
Prime + 5.00%, Floor rate 8.25%, 6.35% Exit Fee
$11,000 11,072 11,067 
(5)(10)(12)(13)
Finch Therapeutics Group, Inc.Senior SecuredNovember 2026
Prime + 4.05%, Floor rate 7.55%, Cap rate 8.80%, 5.50% Exit Fee
$15,000 15,012 13,940  
G1 Therapeutics, Inc.Senior SecuredNovember 2026
Prime + 5.90%, Floor rate 9.15%, 9.86% Exit Fee
$58,125 58,674 58,407 
(11)(12)(15)(17)
Geron CorporationSenior SecuredOctober 2024
Prime + 5.75%, Floor rate 9.00%, 6.55% Exit Fee
$18,500 19,109 19,174 
(10)(12)(13)
Gritstone Bio, Inc.Senior SecuredJuly 2027
Prime + 3.15%, Floor rate 7.15%, Cap rate 8.65%, PIK Interest 2.00%, 5.75% Exit Fee
$15,113 15,109 15,109 
(14)(17)
Hibercell, Inc.Senior SecuredMay 2025
Prime + 5.40%, Floor rate 8.65%, 4.95% Exit Fee
$17,000 17,313 17,265 
(13)(15)
HilleVax, Inc.Senior SecuredMay 2027
Prime + 1.05%, Floor rate 4.55%, Cap rate 6.05%, PIK Interest 2.85%, 7.15% Exit Fee
$12,072 12,043 11,333 
(14)(15)(17)
Iveric Bio, Inc.Senior SecuredAugust 2027
Prime + 4.00%, Floor rate 8.75%, Cap rate 10.25%, 4.25% Exit Fee
$49,500 49,090 49,090 
(10)(12)
Kura Oncology, Inc.Senior SecuredNovember 2027
Prime + 2.40%, Floor rate 8.65%, 15.13% Exit Fee
$5,500 5,448 5,448 
(10)(15)(17)
Locus Biosciences, Inc.Senior SecuredJuly 2025
Prime + 6.10%, Floor rate 9.35%, 4.95% Exit Fee
$8,000 8,120 8,085 
(15)
Madrigal Pharmaceutical, Inc.Senior SecuredMay 2026
Prime + 3.95%, Floor rate 7.45%, 5.35% Exit Fee
$34,000 33,945 33,987 
(10)(17)
Nabriva TherapeuticsSenior SecuredJune 2023
Prime + 4.30%, Floor rate 9.80%, 9.95% Exit Fee
$2,079 2,734 2,804 
(5)(10)(13)
Phathom Pharmaceuticals, Inc.Senior SecuredOctober 2026
Prime + 2.25%, Floor rate 5.50%, PIK Interest 3.35%, 7.50% Exit Fee
$94,737 95,032 93,916 
(10)(12)(14)(15)(16) (17)(22)
Provention Bio, Inc.Senior SecuredSeptember 2027
Prime + 2.70%, Floor rate 8.20%, 6.60% Exit Fee
$25,000 24,670 24,670 
(17)
Redshift Bioanalytics, Inc.Senior SecuredJanuary 2026
Prime + 4.25%, Floor rate 7.50% 3.80% Exit Fee
$5,000 4,957 4,946 
(15)
Replimune Group, Inc.Senior SecuredOctober 2027
Prime + 1.75%, Floor rate 7.25%, Cap rate 9.00%, PIK Interest 1.50%, 4.95% Exit Fee
$20,754 20,656 20,656 
(10)(14)(17)
Scynexis, Inc.Senior SecuredMarch 2025
Prime + 5.80%, Floor rate 9.05%, 3.95% Exit Fee
$18,667 18,675 18,698 
(12)(13)
See notes to consolidated financial statements
22

Table of Contents
HERCULES CAPITAL, INC.
CONSOLIDATED SCHEDULE OF INVESTMENTS
December 31, 2022
(dollars in thousands)
Portfolio CompanyType of
Investment
Maturity Date
Interest Rate and Floor (1)
Principal
Amount
Cost (2)
ValueFootnotes
Seres Therapeutics, Inc.Senior SecuredOctober 2024
Prime + 6.40%, Floor rate 9.65%, 4.98% Exit Fee
$37,500 $38,638 $38,816 
(12)(13)
Tarsus Pharmaceuticals, Inc.Senior SecuredFebruary 2027
Prime + 5.20%, Floor rate 8.45%, 4.75% Exit Fee
$8,250 8,274 8,423 
(10)(13)(17)
TG Therapeutics, Inc.Senior SecuredJanuary 2026
Prime + 2.15%, Floor rate 5.40%, PIK Interest 3.45%, 5.95% Exit Fee
$47,983 47,889 48,649 
(10)(11)(12)(14)
uniQure B.V.Senior SecuredDecember 2025
Prime + 4.70%, Floor rate 7.95%, 7.28% Exit Fee
$70,000 72,329 73,019 
(5)(10)(11)(12)(16)
Unity Biotechnology, Inc.Senior SecuredAugust 2024
Prime + 6.10%, Floor rate 9.35%, 6.25% Exit Fee
$20,000 21,079 20,967 
(13)
Valo Health, LLCSenior SecuredMay 2024
Prime + 6.45%, Floor rate 9.70%, 3.85% Exit Fee
$8,146 8,416 8,410 
(11)(13)
Viridian Therapeutics, Inc.Senior SecuredOctober 2026
Prime + 4.20%, Floor rate 7.45%, Cap rate 8.95%, 4.76% Exit Fee
$2,000 2,012 1,934 
(10)(13)(17)
X4 Pharmaceuticals, Inc.Senior SecuredJuly 2024
Prime + 3.75%, Floor rate 8.75%, 8.80% Exit Fee
$32,500 33,705 33,700 
(11)(12)(13)
Subtotal: Drug Discovery & Development (78.59%)*
 1,107,352 1,101,430  
Electronics & Computer Hardware    
Locus Robotics Corp.Senior SecuredJune 2026
Prime + 4.50%, Floor rate 8.00%, 1.00% Exit Fee
$18,281 18,171 18,723 
(19)
Subtotal: Electronics & Computer Hardware (1.34%)*
 18,171 18,723  
Healthcare Services, Other    
Better Therapeutics, Inc.Senior SecuredAugust 2025
Prime + 5.70%, Floor rate 8.95%, 5.95% Exit Fee
$12,000 12,162 12,053 
(15)
Blue Sprig Pediatrics, Inc.Senior SecuredNovember 2026
1-month LIBOR + 5.00%, Floor rate 6.00%, PIK Interest 4.45%
$51,480 50,813 49,732 
(11)(13)(14)
Carbon Health Technologies, Inc.Senior SecuredMarch 2025
Prime + 5.60%, Floor rate 8.85%, 4.61% Exit Fee
$46,125 46,552 46,548 
(11)(13)(19)
Equality Health, LLCSenior SecuredFebruary 2026
Prime + 6.25%, Floor rate 9.50%, PIK Interest 1.55%
$53,587 53,164 53,871 
(12)(14)
Oak Street Health, Inc.Senior SecuredOctober 2027
Prime + 2.45%, Floor rate 7.95%, Cap rate 9.45%, PIK Interest 1.00%, 4.95% Exit Fee
$33,808 33,651 33,651 
(10)(14)(17)
Subtotal: Healthcare Services, Other (13.98%)*
 196,342 195,855  
Information Services    
Capella Space Corp.Senior SecuredNovember 2025
Prime + 5.00%, Floor rate 8.25%, PIK Interest 1.10%, 7.00% Exit Fee
$20,250 20,506 20,574 
(14)(15)(19)
Signal Media LimitedSenior SecuredJune 2025
Prime + 5.50%, Floor rate 9.00%, Cap rate 12.00%, 3.45% Exit Fee
$750 742 738 
(5)(10)(17)
Yipit, LLCSenior SecuredSeptember 2026
1-month SOFR + 9.08%, Floor rate 10.08%
$31,875 31,371 30,763 
(17)(18)
Subtotal: Information Services (3.72%)*
 52,619 52,075  
Manufacturing Technology    
Bright Machines, Inc.Senior SecuredApril 2025
Prime + 4.00%, Floor rate 9.50%, 5.00% Exit Fee
$11,050 10,832 10,832 
(13)
MacroFab, Inc.Senior SecuredMarch 2026
Prime +4.35%, Floor rate 7.60%, PIK Interest 1.25%, 4.50% Exit Fee
$17,137 16,766 16,917 
(14)(17)
Ouster, Inc.Senior SecuredMay 2026
Prime + 6.15%, Floor rate 9.40%, 7.45% Exit Fee
$14,000 13,970 14,204 
(10)(13)
Subtotal: Manufacturing Technology (2.99%)*
 41,568 41,953 
Semiconductors   
Fungible, Inc.Senior SecuredDecember 2024
Prime + 5.00%, Floor rate 8.25%, 4.95% Exit Fee
$20,000 19,639 21,192 
(15)(19)
Subtotal: Semiconductors (1.51%)*
 19,639 21,192 
Software   
3GTMS, LLCSenior SecuredFebruary 2025
3-month LIBOR + 9.28%, Floor rate 10.28%
$10,426 10,291 10,317 
(11)(18)
Senior SecuredFebruary 2025
3-month LIBOR + 6.57%, Floor rate 7.57%
$2,750 2,744 2,681 
(18)
Total 3GTMS, LLC$13,176 13,035 12,998  
See notes to consolidated financial statements
23

Table of Contents
HERCULES CAPITAL, INC.
CONSOLIDATED SCHEDULE OF INVESTMENTS
December 31, 2022
(dollars in thousands)
Portfolio CompanyType of
Investment
Maturity Date
Interest Rate and Floor (1)
Principal
Amount
Cost (2)
ValueFootnotes
Agilence, Inc.Senior SecuredOctober 2026
1-month BSBY + 9.00%, Floor rate 10.00%
$9,306 $9,088 $8,977 
(12)(17)(18)
Alchemer LLCSenior SecuredMay 2028
1-month SOFR + 7.89%, Floor rate 8.89%
$20,463 19,999 20,123 
(17)(18)
Annex CloudSenior SecuredFebruary 2027
1-month BSBY + 8.99%, Floor rate 10.00%
$8,500 8,292 8,176 
(13)(17)
Automation Anywhere, Inc.Senior SecuredSeptember 2027
Prime + 4.25%, Floor rate 9.00%, 2.50% Exit Fee
$19,600 19,059 19,059 
(11)(17)(19)
Babel StreetSenior SecuredDecember 2027
3-month SOFR + 7.89%, Floor rate 8.89%
$45,000 43,801 43,801 
(15)(17)(18)
Brain CorporationSenior SecuredApril 2025
Prime + 3.70%, Floor rate 6.95%, PIK Interest 1.00%, 3.95% Exit Fee
$20,166 20,242 20,138 
(13)(14)(15)(17)
Campaign Monitor LimitedSenior SecuredNovember 2025
6-month SOFR + 8.90%, Floor rate 9.90%
$33,000 32,578 33,000 
(13)(19)
Catchpoint Systems, Inc.Senior SecuredJune 2026
3-month SOFR + 8.86%, Floor rate 9.76%
$10,175 9,980 9,996 
(18)
Ceros, Inc.Senior SecuredSeptember 2026
6-month LIBOR + 9.67%, Floor rate 10.67%
$21,445 21,003 21,050 
(17)(18)
CloudBolt Software, Inc.Senior SecuredOctober 2024
Prime + 6.70%, Floor rate 9.95%, 3.45% Exit Fee
$10,000 10,069 10,498 
(11)(19)
Constructor.io CorporationSenior SecuredJuly 2027
1-month SOFR + 8.44%, Floor rate 9.44%
$4,688 4,573 4,573 
(17)(18)
Convoy, Inc.Senior SecuredMarch 2026
Prime + 3.20%, Floor rate 6.45%, PIK Interest 1.95%, 4.55% Exit Fee
$73,987 73,060 73,498 
(14)(16)(19)
Copper CRM, IncSenior SecuredMarch 2025
Prime + 4.50%, Floor rate 8.25%, Cap rate 10.25%, PIK Interest 1.95%, 4.50% Exit Fee
$10,144 10,150 9,820 
(11)(14)
Cutover, Inc.Senior SecuredOctober 2025
Prime + 5.20%, Floor rate 9.95%, 4.95% Exit Fee
$5,000 4,949 4,949 
(5)(10)(12)(17)
Cybermaxx Intermediate Holdings, Inc.Senior SecuredAugust 2026
6-month SOFR + 9.53%, Floor rate 10.28%
$10,528 10,298 10,114 
(13)(17)
Dashlane, Inc.Senior SecuredJuly 2025
Prime + 3.05%, Floor rate 7.55%, PIK Interest 1.10%,4.95% Exit Fee
$31,930 32,346 32,012 
(11)(13)(14)(17)(19)
Demandbase, Inc.Senior SecuredAugust 2025
Prime + 2.25%, Floor rate 5.50%, PIK Interest 3.00%, 5.00% Exit Fee
$28,503 28,442 28,664 
(13)(14)(17)(19)
Dispatch Technologies, Inc.Senior SecuredApril 2028
3-month SOFR + 8.01%, Floor rate 8.76%
$7,500 7,295 7,339 
(17)(18)
Eigen Technologies Ltd.Senior SecuredApril 2025
Prime + 5.10%, Floor rate 8.35%, 2.95% Exit Fee
$3,750 3,744 3,746 
(5)(10)
Elation Health, Inc.Senior SecuredMarch 2026
Prime + 4.25%, Floor rate 9.00%, PIK Interest 1.95%, 3.95% Exit Fee
$5,021 4,839 4,839 
(14)(17)(19)
Enmark Systems, Inc.Senior SecuredSeptember 2026
3-month LIBOR + 6.77%, Floor rate 7.77%, PIK Interest 2.16%
$8,223 8,054 8,043 
(11)(14)(17)(18)
Esentire, Inc.Senior SecuredMay 2024
3-month LIBOR + 9.96%, Floor rate 10.96%
$8,436 8,361 8,376 
(5)(10)(11)(18)
Esme Learning Solutions, Inc.Senior SecuredFebruary 2025
Prime + 5.50%, Floor rate 8.75%, PIK Interest 1.50%, 3.00% Exit Fee
$4,892 4,737 1,671 
(8)(14)
Fortified Health SecuritySenior SecuredDecember 2027
6-month SOFR + 7.79%, Floor rate 8.54%
$7,000 6,824 6,824 
(17)(18)
Flight Schedule Pro, LLCSenior SecuredOctober 2027
1-month SOFR + 7.79%, Floor rate 8.70%
$5,948 5,771 5,771 
(17)(18)
Ikon Science LimitedSenior SecuredOctober 2024
3-month Eurodollar + 9.00%, Floor rate 10.00%
$6,563 6,422 6,484 
(5)(10)(17)(18)
Imperva, Inc.Senior SecuredJanuary 2027
3-month LIBOR + 7.75%, Floor rate 8.75%
$20,000 19,875 20,200 
(19)
Kazoo, Inc. (p.k.a. YouEarnedIt, Inc.)Senior SecuredJuly 2023
3-month SOFR + 10.14%, Floor rate 11.14%
$10,681 10,593 10,593 
(18)
Khoros (p.k.a Lithium Technologies)Senior SecuredJanuary 2024
3-month SOFR + 8.00%, Floor rate 9.00%
$56,208 56,062 55,520 
(17)
LogicSourceSenior SecuredJuly 2027
3-month SOFR + 8.93%, Floor rate 9.93%
$13,300 13,028 13,028 
(17)
LogicworksSenior SecuredJanuary 2024
Prime + 7.50%, Floor rate 10.75%
$14,500 14,398 14,473 
(12)
Mobile Solutions ServicesSenior SecuredDecember 2025
3-month LIBOR + 9.06%, Floor rate 10.06%
$17,915 17,556 17,474 
(17)(18)
Nextroll, Inc.Senior SecuredJuly 2023
Prime + 3.75%, Floor rate 7.75%, PIK Interest 2.95%, 1.95% Exit Fee
$22,211 22,284 22,284 
(12)(14)
Nuvolo Technologies CorporationSenior SecuredJuly 2025
Prime + 5.25% ,Floor rate 8.50%, 2.42% Exit Fee
$22,500 22,508 22,817 
(12)(13)(17)(19)
Omeda Holdings, LLCSenior SecuredJuly 2027
3-month SOFR + 8.05%, Floor rate 9.05%
$7,500 7,261 7,261 
(17)(18)
Riviera Partners LLCSenior SecuredApril 2027
6-month SOFR + 7.53%, Floor rate 8.53%
$26,184 25,622 25,487 
(17)(18)
Salary.com, LLCSenior SecuredSeptember 2027
6-month SOFR + 8.00%, Floor rate 9.00%
$18,000 17,654 17,654 
(18)
See notes to consolidated financial statements
24

Table of Contents
HERCULES CAPITAL, INC.
CONSOLIDATED SCHEDULE OF INVESTMENTS
December 31, 2022
(dollars in thousands)
Portfolio CompanyType of
Investment
Maturity Date
Interest Rate and Floor (1)
Principal
Amount
Cost (2)
ValueFootnotes
ShadowDragon, LLCSenior SecuredDecember 2026
3-month LIBOR + 9.00%, Floor rate 10.00%
$5,985 $5,841 $5,830 
(17)(18)
Tact.ai Technologies, Inc.Senior SecuredFebruary 2024
Prime + 4.00%, Floor rate 8.75%, PIK Interest 2.00%, 5.50% Exit Fee
$4,250 4,481 4,446 
(14)
ThreatConnect, Inc.Senior SecuredMay 2026
6-month LIBOR + 9.00%, Floor rate 10.00%
$11,032 10,778 10,793 
(17)(18)
VideoAmp, Inc.Senior SecuredFebruary 2025
Prime + 3.70%, Floor rate 6.95%, PIK Interest 1.25%, 5.25% Exit Fee
$63,187 62,640 63,429 
(14)(15)(19)
Zappi, Inc.Senior SecuredDecember 2027
3-month SOFR + 8.03%, Floor rate 9.03%
$9,000 8,779 8,779 
(5)(10)(17)(18)
Zimperium, Inc.Senior SecuredMay 2027
3-month SOFR + 8.31%, Floor rate 9.31%
$16,313 16,000 16,072 
(17)(18)
Subtotal: Software (54.28%)*
 762,371 760,679  
Sustainable and Renewable Technology    
Ampion, PBCSenior SecuredMay 2025
Prime + 4.70%, Floor rate 7.95%, PIK Interest 1.45%, 3.95% Exit Fee
$4,037 3,985 4,008 
(13)(14)
Pineapple Energy LLCSenior SecuredDecember 2024
PIK Interest 10.00%
$3,237 3,237 3,006 
(14)
Subtotal: Sustainable and Renewable Technology (0.50%)*
 7,222 7,014  
Total: Debt Investments (199.47%)*
 $2,818,060 $2,795,444  
Portfolio CompanyType of
Investment
Acquisition Date(4)
Series (3)
Shares
Cost (2)
ValueFootnotes
Equity Investments
Consumer & Business Products
Grove Collaborative, Inc.Equity4/30/2021Common Stock61,300$433 $24 
(4)
Savage X Holding, LLCEquity4/30/2010Class A Units42,13713 226  
TechStyle, Inc.Equity4/30/2010Common Stock42,989128 132  
TFG Holding, Inc.Equity4/30/2010Common Stock42,98989 116  
Subtotal: Consumer & Business Products (0.04%)*
663 498  
Consumer & Business Services
Carwow LTDEquity12/15/2021Preferred Series D-4199,7421,151 257 
(5)(10)
DoorDash, Inc.Equity12/20/2018Common Stock81,996945 4,003 
(4)
Lyft, Inc.Equity12/26/2018Common Stock100,7385,263 1,110 
(4)
Nerdy Inc.Equity9/17/2021Common Stock100,0001,000 225 
(4)
OfferUp, Inc.Equity10/25/2016Preferred Series A286,0801,663 372  
Equity10/25/2016Preferred Series A-1108,710632 141  
Total OfferUp, Inc. 394,7902,295 513  
OportunEquity6/28/2013Common Stock48,365577 266 
(4)
Reischling Press, Inc.Equity7/31/2020Common Stock3,09539   
Rhino Labs, Inc.Equity1/24/2022Preferred Series B-27,0631,000 805  
Tectura CorporationEquity5/23/2018Common Stock414,994,863900  
(7)
Equity6/6/2016Preferred Series BB1,000,000  
(7)
Total Tectura Corporation 415,994,863900   
Uber Technologies, Inc.Equity12/1/2020Common Stock32,991318 816 
(4)
Subtotal: Consumer & Business Services (0.57%)*
13,488 7,995  
See notes to consolidated financial statements
25

Table of Contents
HERCULES CAPITAL, INC.
CONSOLIDATED SCHEDULE OF INVESTMENTS
December 31, 2022
(dollars in thousands)
Portfolio CompanyType of
Investment
Acquisition Date(4)
Series (3)
Shares
Cost (2)
ValueFootnotes
Diversified Financial Services      
Gibraltar Business Capital, LLCEquity3/1/2018Common Stock830,000$1,884 $1,107 
(7)
 Equity3/1/2018Preferred Series A10,602,75226,122 14,137 
(7)
Total Gibraltar Business Capital, LLC   11,432,75228,006 15,244  
Hercules Adviser LLCEquity3/26/2021Member Units135 19,153 
(7)
Newfront Insurance Holdings, Inc.Equity9/30/2021Preferred Series D-2210,282403 472  
Subtotal: Diversified Financial Services (2.49%)*
28,444 34,869  
Drug Delivery   
AcelRx Pharmaceuticals, Inc.Equity12/10/2018Common Stock8,8361,329 20 
(4)
Aytu BioScience, Inc.Equity3/28/2014Common Stock13,6001,500 3 
(4)
BioQ Pharma IncorporatedEquity12/8/2015Preferred Series D165,000500 33  
PDS Biotechnology CorporationEquity4/6/2015Common Stock2,498309 33 
(4)
Subtotal: Drug Delivery (0.01%)*
3,638 89  
Drug Discovery & Development     
Akero Therapeutics, Inc.Equity9/19/2022Common Stock38,4611,000 2,108 
(4)(10)
Albireo Pharma, Inc.Equity9/14/2020Common Stock25,0001,000 540 
(4)(10)
Applied Molecular TransportEquity4/6/2021Common Stock1,00042  
(4)(10)
Avalo Therapeutics, Inc.Equity8/19/2014Common Stock9,9241,000 50 
(4)
Aveo Pharmaceuticals, Inc.Equity7/31/2011Common Stock190,1791,715 2,843 
(4)
Axsome Therapeutics, Inc.Equity5/9/2022Common Stock127,0214,165 9,797 
(4)(10)(16)
Bicycle Therapeutics PLCEquity10/5/2020Common Stock98,1001,871 2,904 
(4)(5)(10)
BridgeBio Pharma, Inc.Equity6/21/2018Common Stock231,3292,255 1,763 
(4)
Concert Pharmaceuticals, Inc.Equity2/13/2019Common Stock70,7961,367 413 
(4)(10)
Dare Biosciences, Inc.Equity1/8/2015Common Stock13,5501,000 11 
(4)
Dynavax TechnologiesEquity7/22/2015Common Stock20,000550 213 
(4)(10)
Gritstone Bio, Inc.Equity10/26/2022Common Stock442,4771,000 1,527 
(4)
Hibercell, Inc.Equity5/7/2021