UBS O'Connor’s Hercules Capital HTGC Stock Holding History

UBS O'Connor’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
2013 Q3	–	Sell	-409,970	Closed	-$5.71M	–	498
2013 Q2	$5.71M	Buy	+409,970	New	+$5.34M	0.11%	225

Other funds holding HTGC

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

Comerica Bank Dallas, Texas $25.1B AUM 24.68% 1-Year Est. Return

BFA

BlackRock Fund Advisors San Francisco, California $542B AUM 18.13% 1-Year Est. Return

Northern Trust Chicago, Illinois $860B AUM 41.15% 1-Year Est. Return

State Street Boston, Massachusetts $3.37T AUM 44.26% 1-Year Est. Return

DRZID

DePrince Race & Zollo Inc (DRZ) Winter Park, Florida $5.96B AUM 38.5% 1-Year Est. Return

AAM

Advisors Asset Management Monument, Colorado $6.56B AUM 35.09% 1-Year Est. Return

ING Group Amsterdam, Netherlands $20.5B AUM 49.71% 1-Year Est. Return

UBS Zurich, Switzerland $136B AUM 16.36% 1-Year Est. Return

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

UBS O'Connor's HTGC Position: Q3 2013 in Review

UBS O'Connor sold out of Hercules Capital (HTGC) in Q3 2013, closing a stake of 409,970 shares — an estimated $5.71M sold.

UBS O'Connor first reported a position in HTGC in Q2 2013 and held it in 1 quarter. The position peaked at $5.71M in Q2 2013. 133 funds tracked by Wall St. Rank hold HTGC as of Q3 2013.

UBS O'Connor reported no remaining Hercules Capital position as of Q3 2013 after selling out during the quarter.
UBS O'Connor sold 409,970 Hercules Capital shares in Q3 2013, an estimated $5.71M.
UBS O'Connor first reported a position in Hercules Capital in Q2 2013 and held it in 1 quarter.
UBS O'Connor's Hercules Capital position peaked at $5.71M in Q2 2013.
133 funds tracked by Wall St. Rank held Hercules Capital as of Q3 2013.

Based on UBS O'Connor's 13F filing for Q3 2013, filed 14 Nov 2013.