Alpha Windward’s Hercules Capital HTGC Stock Holding History

Alpha Windward’s Portfolio HTGC Stock Details HTGC Fund Activity

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2015 Q2	–	Sell	-30,720	Closed	-$414K	–	439
2015 Q1	$414K	Buy	+30,720	New	+$450K	0.27%	157
2014 Q4	–	Sell	-28,140	Closed	-$407K	–	437
2014 Q3	$407K	Buy	+28,140	New	+$445K	0.29%	146

Other funds holding HTGC

T. Rowe Price Associates Baltimore, Maryland $999B AUM 46.22% 1-Year Est. Return

EAM

Edge Asset Management Seattle, Washington $13.2B AUM 19.52% 1-Year Est. Return

UBS Group Zurich, Switzerland $786B AUM 40.34% 1-Year Est. Return

Invesco Atlanta, Georgia $1.26T AUM 61.52% 1-Year Est. Return

ACM

Advisors Capital Management Ridgewood, New Jersey $9.45B AUM 27.66% 1-Year Est. Return

AllianceBernstein Nashville, Tennessee $302B AUM 26.44% 1-Year Est. Return

CCMLC

Cardinal Capital Management LLC (Connecticut) Greenwich, Connecticut $365M AUM 18.32% 1-Year Est. Return

LSV Asset Management Chicago, Illinois $55.1B AUM 45.38% 1-Year Est. Return

Wells Fargo San Francisco, California $617B AUM 30.33% 1-Year Est. Return

Principal Financial Group Des Moines, Iowa $204B AUM 27.99% 1-Year Est. Return

Alpha Windward's HTGC Position: Q2 2015 in Review

Alpha Windward sold out of Hercules Capital (HTGC) in Q2 2015, closing a stake of 30,720 shares — an estimated $414K sold.

Alpha Windward first reported a position in HTGC in Q3 2014 and held it in 2 quarters. The position peaked at $414K in Q1 2015. 140 funds tracked by Wall St. Rank hold HTGC as of Q2 2015.

Alpha Windward reported no remaining Hercules Capital position as of Q2 2015 after selling out during the quarter.
Alpha Windward sold 30,720 Hercules Capital shares in Q2 2015, an estimated $414K.
Alpha Windward first reported a position in Hercules Capital in Q3 2014 and held it in 2 quarters.
Alpha Windward's Hercules Capital position peaked at $414K in Q1 2015.
140 funds tracked by Wall St. Rank held Hercules Capital as of Q2 2015.

Based on Alpha Windward's 13F filing for Q2 2015, filed 8 Jul 2015.