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Hercules Capital
HTGC

Overview Fund Activity

264 hedge funds and large institutions have $479M invested in Hercules Capital in 2023 Q3 according to their latest regulatory filings, with 36 funds opening new positions, 94 increasing their positions, 68 reducing their positions, and 18 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
264
Holders Change
+17
Holders Change %
+6.88%
% of All Funds
4.21%
Holding in Top 10
6
Holding in Top 10 Change
+1
Holding in Top 10 Change %
+20%
% of All Funds
0.1%
New
36
Increased
94
Reduced
68
Closed
18
Calls
$22M
Puts
$12.7M
Net Calls
+$9.3M
Net Calls Change
+$6.21M

Top Buyers

1
Marshall Wace
1
Marshall Wace
United Kingdom
$20M
2
MCM
2
McKinley Capital Management
Alaska
$5.73M
3
GL
3
Graypoint LLC
New York
$2.07M
4
Royal Bank of Canada
4
Royal Bank of Canada
Ontario, Canada
$8.72M
5
VanEck Associates
5
VanEck Associates
New York
$33.4M

Top Sellers

1
Connor, Clark & Lunn Investment Management (CC&L)
1
Connor, Clark & Lunn Investment Management (CC&L)
British Columbia, Canada
$0
2
Citadel Advisors
2
Citadel Advisors
Florida
$1.14M
3
BlackRock
3
BlackRock
New York
$10.5M
4
BTCPP
4
Border to Coast Pensions Partnership
United Kingdom
$6.2M
5
SSA
5
Schonfeld Strategic Advisors
New York
$544K
Name Holding Trade Value Shares
Change 		Shares
Change %
RCM
251
Raleigh Capital Management
North Carolina
$10.5K – – –
TAM
252
Tucker Asset Management
Colorado
$9.26K – – –
WOC
253
West Oak Capital
California
$8K – – –
GWMIA
254
Global Wealth Management Investment Advisory
Florida
$7.26K +$821 +50 +13%
PP
255
PFS Partners
New Jersey
$6.78K – – –
SWM
256
Spire Wealth Management
Virginia
$5.5K +$66 +4 +1%
Legacy Financial Group (Iowa)
257
Legacy Financial Group (Iowa)
Iowa
$3.28K +$3.28K +200 New
ADL
258
Asset Dedication LLC
California
$3K – – –
EWM
259
Evermay Wealth Management
Virginia
$2.96K +$2.96K +180 New
VNA
260
Valley National Advisers
Pennsylvania
$2K – – –
GEA
261
Glen Eagle Advisors
New Jersey
$1.64K – – –
SIC
262
Salem Investment Counselors
North Carolina
$1.64K – – –
HGERS
263
Householder Group Estate & Retirement Specialist
Arizona
$558 +$558 +34 New
Fidelity Investments
264
Fidelity Investments
Massachusetts
$33 +$33 +2 New
Connor, Clark & Lunn Investment Management (CC&L)
265
Connor, Clark & Lunn Investment Management (CC&L)
British Columbia, Canada
– -$5.54M -374,324 Closed
GEM
266
Global Endowment Management
North Carolina
– -$740K -50,000 Closed
EMFAT
267
Emerald Mutual Fund Advisers Trust
Pennsylvania
– -$415K -28,020 Closed
PIWA
268
Prevail Innovative Wealth Advisors
Kansas
– -$398K -26,877 Closed
Bank of New York Mellon
269
Bank of New York Mellon
New York
– -$325K -21,937 Closed
E
270
Ergoteles
New York
– -$241K -16,299 Closed
VAS
271
Vestmark Advisory Solutions
Massachusetts
– -$236K -15,916 Closed
PA
272
Prossimo Advisors
California
– -$195K -13,194 Closed
SB
273
Strategic Blueprint
Georgia
– -$180K -12,177 Closed
AI
274
AXS Investments
New York
– -$88.8K -6,000 Closed
TFA
275
Toth Financial Advisory
Virginia
– -$31.1K -2,100 Closed
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