West Family Investments’s Hercules Capital HTGC Stock Holding History

West Family Investments’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
2017 Q4	–	Sell	-20,000	Closed	-$258K	–	91
2017 Q3	$258K	Sell	20,000 -62,982	-76%	-$808K	0.03%	81
2017 Q2	$1.05M	Buy	82,982 +62,982	+315%	+$875K	0.23%	66
2017 Q1	$303K	Hold	20,000	–	–	0.06%	86
2016 Q4	$282K	Hold	20,000	–	–	0.05%	99
2016 Q3	$271K	Sell	20,000 -122,502	-86%	-$1.63M	0.05%	96
2016 Q2	$1.77M	Hold	142,502	–	–	0.32%	58
2016 Q1	$1.71M	Buy	142,502 +64,520	+83%	+$717K	0.28%	56
2015 Q4	$951K	Hold	77,982	–	–	0.24%	67
2015 Q3	$788K	Buy	+77,982	New	+$884K	0.16%	71

Other funds holding HTGC

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

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

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

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

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

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

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

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

Guggenheim Capital Chicago, Illinois $15.9B AUM 53.4% 1-Year Est. Return

Millennium Management New York $276B AUM 44.8% 1-Year Est. Return

West Family Investments's HTGC Position: Q4 2017 in Review

West Family Investments sold out of Hercules Capital (HTGC) in Q4 2017, closing a stake of 20,000 shares — an estimated $258K sold.

West Family Investments first reported a position in HTGC in Q3 2015 and held it in 9 quarters. The position peaked at $1.77M in Q2 2016. 163 funds tracked by Wall St. Rank hold HTGC as of Q4 2017.

West Family Investments reported no remaining Hercules Capital position as of Q4 2017 after selling out during the quarter.
West Family Investments sold 20,000 Hercules Capital shares in Q4 2017, an estimated $258K.
West Family Investments first reported a position in Hercules Capital in Q3 2015 and held it in 9 quarters.
West Family Investments's Hercules Capital position peaked at $1.77M in Q2 2016.
163 funds tracked by Wall St. Rank held Hercules Capital as of Q4 2017.

Based on West Family Investments's 13F filing for Q4 2017, filed 12 Feb 2018.