Nuveen Fund Advisors’s Hercules Capital HTGC Stock Holding History

Nuveen Fund Advisors’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
2018 Q4	–	Sell	-23,858	Closed	-$314K	–	73
2018 Q3	$314K	Sell	23,858 -26,163	-52%	-$349K	0.7%	58
2018 Q2	$633K	Sell	50,021 -24,184	-33%	-$299K	0.78%	38
2018 Q1	$898K	Sell	74,205 -6,072	-8%	-$76.1K	0.41%	67
2017 Q4	$1.05M	Sell	80,277 -7,613	-9%	-$99.5K	0.31%	86
2017 Q3	$1.13M	Sell	87,890 -8,837	-9%	-$113K	0.23%	140
2017 Q2	$1.28M	Sell	96,727 -1,492	-2%	-$20.7K	0.2%	154
2017 Q1	$1.49M	Buy	98,219 +10,726	+12%	+$157K	0.2%	165
2016 Q4	$1.24M	Buy	87,493 +33,916	+63%	+$462K	0.18%	167
2016 Q3	$727K	Buy	53,577 +27,207	+103%	+$363K	0.1%	237
2016 Q2	$328K	Buy	+26,370	New	+$320K	0.05%	327

Other funds holding HTGC

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

SAMH

Shanda Asset Management Holdings Tortola,, British Virgin Islands $2.09B AUM 39.34% 1-Year Est. Return

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

Ares Management Los Angeles, California $2.29B AUM 0.27% 1-Year Est. Return

Royal Bank of Canada Toronto, Ontario, Canada $672B AUM 33.48% 1-Year Est. Return

JP Morgan Chase New York $1.81T AUM 41.13% 1-Year Est. Return

Muzinich & Co New York $293M AUM 18.57% 1-Year Est. Return

SIS

Sound Income Strategies Ft Lauderdale, Florida $2.24B AUM 8.38% 1-Year Est. Return

GIP

Granite Investment Partners El Segundo, California $1.95B AUM 49.89% 1-Year Est. Return

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

Nuveen Fund Advisors's HTGC Position: Q4 2018 in Review

Nuveen Fund Advisors sold out of Hercules Capital (HTGC) in Q4 2018, closing a stake of 23,858 shares — an estimated $314K sold.

Nuveen Fund Advisors first reported a position in HTGC in Q2 2016 and held it in 10 quarters. The position peaked at $1.49M in Q1 2017. 171 funds tracked by Wall St. Rank hold HTGC as of Q4 2018.

Nuveen Fund Advisors reported no remaining Hercules Capital position as of Q4 2018 after selling out during the quarter.
Nuveen Fund Advisors sold 23,858 Hercules Capital shares in Q4 2018, an estimated $314K.
Nuveen Fund Advisors first reported a position in Hercules Capital in Q2 2016 and held it in 10 quarters.
Nuveen Fund Advisors's Hercules Capital position peaked at $1.49M in Q1 2017.
171 funds tracked by Wall St. Rank held Hercules Capital as of Q4 2018.

Based on Nuveen Fund Advisors's 13F filing for Q4 2018, filed 14 Feb 2019.