| BADAVAS ROBERT P (0001207407) | 83 |
| BAY POND PARTNERS L P (0000936872) | 2 |
| BOX INC (0001372612) | 4 |
| BOX.NET INC | 4 |
| Baron Jessica T (0001522682) | 178 |
| Bhaumik Sam (0001395226) | 28 |
| BlackRock Inc. (0001364742) | 3 |
| Bluestein Scott (0001505910) | 159 |
| Butler Michael L (0001621398) | 2 |
| CHOW JOSEPH W (0001082334) | 34 |
| CROWELL GAYLE A (0001250893) | 3 |
| Crumpton James C (0001400726) | 2 |
| DEPRINCE RACE & ZOLLO INC (0001008894) | 13 |
| DEUTSCHE BANK AG\ (0000948046) | 2 |
| DIMENSIONAL FUND ADVISORS INC (0000354204) | 2 |
| DING CHUN R (0001250077) | 3 |
| DREMAN VALUE MANAGEMENT L L C (0001055282) | 2 |
| DUHAMEL WILLIAM F (0001245638) | 3 |
| Denomme Mark (0001481644) | 8 |
| ELLWEIN CHARLES E (0001275295) | 1 |
| FARALLON CAPITAL INSTITUTIONAL PARTNERS II LP(0001245628) | 2 |
| FARALLON CAPITAL INSTITUTIONAL PARTNERS III LP(0001245629) | 2 |
| FARALLON CAPITAL INSTITUTIONAL PARTNERS L P(0000886687) | 3 |
| FARALLON CAPITAL PARTNERS LP (0001175707) | 3 |
| FARALLON PARTNERS L L C/CA (0001040153) | 8 |
| FERGUSON RODNEY A (0001266130) | 4 |
| FRIED RICHARD B (0001245637) | 3 |
| Fallon Thomas J (0001399121) | 23 |
| Feuerstein Harry (0001613270) | 2 |
| Foster Carol L (0001765339) | 3 |
| GRUBER & MCBAINE CAPITAL MANAGEMENT LLC(0000909450) | 2 |
| GRUBER & MCBAINE CAPITAL MANAGEMENT/GRUBER JON D ET AL | 2 |
| Gable Scott (0001480272) | 3 |
| Grace Melanie (0001653448) | 38 |
| HERCULES TECHNOLOGY II LP (0001340129) | 4 |
| Harris Mark R (0001650221) | 16 |
| Harvest Capital Strategies LLC (0001226355) | 1 |
| Harvey H Scott (0001329391) | 42 |
| Henriquez Manuel A (0001329390) | 218 |
| Hercules Capital Funding Trust 2018-1 | 1 |
| Hercules Capital Funding Trust 2019-1 | 1 |
| Hercules Capital, Inc. (0001280784) | 467 |
| Hercules Clean Technology Capital, Inc. (0001521962) | 2 |
| Hercules Energy Technology & Resource Management, Inc. (0001521962) | 1 |
| Hercules Funding I LLC (0001392270) | 1 |
| Hercules Funding II LLC (0001529912) | 2 |
| Hercules Funding Trust I (0001392271) | 1 |
| Hercules Technology III, LP (0001529907) | 2 |
| Hercules Technology IV, L.P. (0001529908) | 2 |
| Hercules Technology Management Co II, Inc.(0001529913) | 2 |
| Hercules Technology Management Co III, Inc.(0001529914) | 2 |
| Hercules Technology Management Co IV, Inc.(0001529915) | 1 |
| Hercules Technology Management Co V, Inc.(0001529916) | 2 |
| Hercules Technology Management Co VI, Inc.(0001529917) | 1 |
| Hercules Technology SBIC Management LLC(0001392269) | 3 |
| Ho Doreen Woo (0001453474) | 9 |
| Hoffman Joseph F (0001638817) | 10 |
| Hydra Management Co., Inc. (0001529760) | 1 |
| Hydra Management LLC (0001529767) | 2 |
| Hydra Ventures LLC (0001529763) | 2 |
| InfoLogix Inc (0001315320) | 7 |
| JMP ASSET MANAGEMENT LLC (0001226355) | 6 |
| Jaquez-Fissori Todd (0001532547) | 25 |
| Jolson Joseph Andrew (0001362275) | 1 |
| Koenig Bradford C. (0001634656) | 6 |
| LANDRY MONICA R (0001245636) | 3 |
| Lake Robert C (0001643962) | 2 |
| Lund David Michael (0001336274) | 19 |
| Lyons Susanne D (0001397588) | 5 |
| MELLIN WILLIAM F (0001245634) | 3 |
| MILLHAM STEPHEN L (0001245633) | 2 |
| Meyer Seth H (0001768773) | 2 |
| Moment Jason E (0001348541) | 2 |
| NEW AGE TRANSLATION INC | 7 |
| NEW YORK STOCK EXCHANGE INC | 3 |
| NEW YORK STOCK EXCHANGE LLC (0000876661) | 3 |
| NeurogesX Inc (0001385830) | 1 |
| New BlackRock, Inc. | 3 |
| Olson Andrew (0001627218) | 16 |
| Olympus Advisers, LLC (0001529733) | 2 |
| PATEL RAJIV A (0001275110) | 2 |
| PRICE T ROWE ASSOCIATES INC /MD/ (0000080255) | 9 |
| PUTNAM INVESTMENTS INC | 2 |
| PUTNAM INVESTMENTS LLC | 2 |
| PUTNAM LLC (0000766524) | 2 |
| Penney Michael (0001582890) | 3 |
| RIVERNORTH CAPITAL MANAGEMENT, INC. | 1 |
| RIVERNORTH CAPITAL MANAGEMENT, LLC(0001447578) | 1 |
| SCHRIER DEREK C (0001250078) | 2 |
| STEYER THOMAS F (0000872574) | 2 |
| Shah Parag (0001395073) | 166 |
| Stettenbenz Shane (0001352456) | 10 |
| TCW GROUP INC (0000850401) | 2 |
| TINICUM PARTNERS LP FARALLON (0001245631) | 2 |
| Titinger Jorge (0001385162) | 5 |
| UNIFY CORP (0000880562) | 1 |
| VANGUARD GROUP INC (0000102909) | 4 |
| WEHRLY MARK C (0001245635) | 2 |
| WELLINGTON MANAGEMENT CO | 2 |
| WELLINGTON MANAGEMENT CO LLP (0000902219) | 2 |
| WOLF DENNIS P (0001227560) | 2 |
| WOODWARD ALLYN C JR (0001246094) | 60 |
| Waldt Gerard R Jr. (0001721942) | 5 |
| Woodward Allyn C (0001246094) | 9 |
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