Yorktown Management & Research Company’s Hercules Capital HTGC Stock Holding History

Yorktown Management & Research 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
2017 Q3	–	Sell	-83,928	Closed	-$1.11M	–	393
2017 Q2	$1.11M	Sell	83,928 -106,072	-56%	-$1.47M	0.35%	57
2017 Q1	$2.88M	Sell	190,000 -260,000	-58%	-$3.81M	0.75%	28
2016 Q4	$6.35M	Sell	450,000 -120,000	-21%	-$1.63M	1.61%	12
2016 Q3	$7.73M	Sell	570,000 -100,000	-15%	-$1.33M	1.68%	14
2016 Q2	$8.32M	Sell	670,000 -10,000	-1%	-$121K	1.89%	10
2016 Q1	$8.17M	Hold	680,000	–	–	1.58%	10
2015 Q4	$8.29M	Sell	680,000 -65,000	-9%	-$731K	1.47%	8
2015 Q3	$7.53M	Buy	745,000 +195,000	+35%	+$2.21M	1.25%	3
2015 Q2	$6.35M	Buy	550,000 +25,000	+5%	+$325K	1.11%	21
2015 Q1	$7.08M	Buy	525,000 +325,000	+163%	+$4.76M	1.28%	22
2014 Q4	$2.98M	Buy	200,000 +70,000	+54%	+$1.06M	0.62%	46
2014 Q3	$1.88M	Hold	130,000	–	–	0.36%	55
2014 Q2	$2.1M	Buy	130,000 +100,000	+333%	+$1.46M	0.39%	52
2014 Q1	$422K	Hold	30,000	–	–	0.08%	126
2013 Q4	$492K	Sell	30,000 -30,000	-50%	-$484K	0.1%	117
2013 Q3	$915K	Hold	60,000	–	–	0.2%	98
2013 Q2	$836K	Buy	+60,000	New	+$781K	0.18%	102

Other funds holding HTGC

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

T. Rowe Price Associates Baltimore, Maryland $999B AUM 46.22% 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

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

ACM

Advisors Capital Management Ridgewood, New Jersey $9.45B AUM 27.66% 1-Year Est. Return

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

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

Yorktown Management & Research Company's HTGC Position: Q3 2017 in Review

Yorktown Management & Research Company sold out of Hercules Capital (HTGC) in Q3 2017, closing a stake of 83,928 shares — an estimated $1.11M sold.

Yorktown Management & Research Company first reported a position in HTGC in Q2 2013 and held it in 17 quarters. The position peaked at $8.32M in Q2 2016. 150 funds tracked by Wall St. Rank hold HTGC as of Q3 2017.

Yorktown Management & Research Company reported no remaining Hercules Capital position as of Q3 2017 after selling out during the quarter.
Yorktown Management & Research Company sold 83,928 Hercules Capital shares in Q3 2017, an estimated $1.11M.
Yorktown Management & Research Company first reported a position in Hercules Capital in Q2 2013 and held it in 17 quarters.
Yorktown Management & Research Company's Hercules Capital position peaked at $8.32M in Q2 2016.
150 funds tracked by Wall St. Rank held Hercules Capital as of Q3 2017.

Based on Yorktown Management & Research Company's 13F filing for Q3 2017, filed 8 Nov 2017.