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NWAM LLC’s Hercules Capital HTGC Stock Holding History

NWAM LLC’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
Q1 		– Sell
-11,800
Closed -$155K – 347
2017
Q4 		$155K Sell
11,800
-11,150
-49% -$146K 0.04% 305
2017
Q3 		$296K Buy
+22,950
New +$294K 0.08% 238
2017
Q2 		– Sell
-18,800
Closed -$284K – 331
2017
Q1 		$284K Buy
+18,800
New +$276K 0.09% 224

Other funds holding HTGC

T. Rowe Price Associates
T. Rowe Price Associates Baltimore, Maryland $999B AUM 46.22% 1-Year Est. Return
Principal Financial Group
Principal Financial Group Des Moines, Iowa $204B AUM 27.99% 1-Year Est. Return
Wells Fargo
Wells Fargo San Francisco, California $617B AUM 30.33% 1-Year Est. Return
MC
Muzinich & Co New York $293M AUM 18.57% 1-Year Est. Return
UBS Group
UBS Group Zurich, Switzerland $786B AUM 40.34% 1-Year Est. Return
Royal Bank of Canada
Royal Bank of Canada Toronto, Ontario, Canada $672B AUM 33.48% 1-Year Est. Return
AM
Ares Management Los Angeles, California $2.29B AUM 0.27% 1-Year Est. Return
NC
Northpointe Capital Bloomfield Hills, Michigan $258M AUM 1.97% 1-Year Est. Return
SIS
Sound Income Strategies Ft Lauderdale, Florida $2.23B AUM 11.22% 1-Year Est. Return
AllianceBernstein
AllianceBernstein Nashville, Tennessee $302B AUM 26.44% 1-Year Est. Return

NWAM LLC's HTGC Position: Q1 2018 in Review

NWAM LLC sold out of Hercules Capital (HTGC) in Q1 2018, closing a stake of 11,800 shares — an estimated $155K sold.

NWAM LLC first reported a position in HTGC in Q1 2017 and held it in 3 quarters. The position peaked at $296K in Q3 2017. 161 funds tracked by Wall St. Rank hold HTGC as of Q1 2018.

  • NWAM LLC reported no remaining Hercules Capital position as of Q1 2018 after selling out during the quarter.
  • NWAM LLC sold 11,800 Hercules Capital shares in Q1 2018, an estimated $155K.
  • NWAM LLC first reported a position in Hercules Capital in Q1 2017 and held it in 3 quarters.
  • NWAM LLC's Hercules Capital position peaked at $296K in Q3 2017.
  • 161 funds tracked by Wall St. Rank held Hercules Capital as of Q1 2018.

Based on NWAM LLC's 13F filing for Q1 2018, filed 16 Apr 2018.