NWQ Investment Management Company’s Hercules Capital HTGC Stock Holding History

NWQ Investment Management Company’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
2016 Q3	–	Sell	-317,572	Closed	-$3.94M	–	194
2016 Q2	$3.94M	Buy	317,572 +11,500	+4%	+$140K	0.07%	127
2016 Q1	$3.68M	Sell	306,072 -271,300	-47%	-$3.02M	0.06%	128
2015 Q4	$7.04M	Buy	577,372 +59,072	+11%	+$665K	0.11%	115
2015 Q3	$5.24M	Hold	518,300	–	–	0.08%	127
2015 Q2	$5.99M	Buy	518,300 +113,600	+28%	+$1.48M	0.08%	122
2015 Q1	$5.46M	Buy	404,700 +69,990	+21%	+$1.03M	0.07%	120
2014 Q4	$4.98M	Sell	334,710 -95,690	-22%	-$1.44M	0.06%	123
2014 Q3	$6.22M	Buy	430,400 +147,375	+52%	+$2.33M	0.07%	123
2014 Q2	$4.57M	Buy	283,025 +213,825	+309%	+$3.13M	0.05%	133
2014 Q1	$974K	Buy	+69,200	New	+$1.08M	0.01%	153

Other funds holding HTGC

T. Rowe Price Associates Baltimore, Maryland $865B AUM 30.76% 1-Year Est. Return

Royal Bank of Canada Toronto, Ontario, Canada $570B AUM 27.57% 1-Year Est. Return

EAM

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

UBS Group Zurich, Switzerland $666B AUM 30.12% 1-Year Est. Return

Wellington Management Group Boston, Massachusetts $535B AUM 26.23% 1-Year Est. Return

Wells Fargo San Francisco, California $530B AUM 22.01% 1-Year Est. Return

Northpointe Capital Bloomfield Hills, Michigan $258M AUM 1.97% 1-Year Est. Return

Principal Financial Group Des Moines, Iowa $187B AUM 18.48% 1-Year Est. Return

AllianceBernstein Nashville, Tennessee $309B AUM 23.92% 1-Year Est. Return

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

NWQ Investment Management Company's HTGC Position: Q3 2016 in Review

NWQ Investment Management Company sold out of Hercules Capital (HTGC) in Q3 2016, closing a stake of 317,572 shares — an estimated $3.94M sold.

NWQ Investment Management Company first reported a position in HTGC in Q1 2014 and held it in 10 quarters. The position peaked at $7.04M in Q4 2015. 148 funds tracked by Wall St. Rank hold HTGC as of Q3 2016.

NWQ Investment Management Company reported no remaining Hercules Capital position as of Q3 2016 after selling out during the quarter.
NWQ Investment Management Company sold 317,572 Hercules Capital shares in Q3 2016, an estimated $3.94M.
NWQ Investment Management Company first reported a position in Hercules Capital in Q1 2014 and held it in 10 quarters.
NWQ Investment Management Company's Hercules Capital position peaked at $7.04M in Q4 2015.
148 funds tracked by Wall St. Rank held Hercules Capital as of Q3 2016.

Based on NWQ Investment Management Company's 13F filing for Q3 2016, filed 14 Nov 2016.