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Hercules Capital
HTGC

Overview Fund Activity

133 hedge funds and large institutions have $7.68B invested in Hercules Capital in 2013 Q3 according to their latest regulatory filings, with 17 funds opening new positions, 51 increasing their positions, 42 reducing their positions, and 10 closing their positions.

Holders
133
Holders Change
+5
Holders Change %
+3.91%
% of All Funds
4.31%
Holding in Top 10
3
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.1%
New
17
Increased
51
Reduced
42
Closed
10
Calls
$920K
Puts
$522K
Net Calls
+$398K
Net Calls Change
-$217K

Top Buyers

1
EAM
1
Edge Asset Management
Washington
$20M
2
Robeco Institutional Asset Management
2
Robeco Institutional Asset Management
Netherlands
$8.33M
3
DCM
3
Driehaus Capital Management
Illinois
$6.07M
4
LSV Asset Management
4
LSV Asset Management
Illinois
$6.71M
5
BFA
5
BlackRock Fund Advisors
California
$24.5M

Top Sellers

1
DRZID
1
DePrince Race & Zollo Inc (DRZ)
Florida
$16M
2
MSA
2
Mason Street Advisors
Wisconsin
$0
3
UOC
3
UBS O'Connor
Illinois
$0
4
LTI
4
Laffer Tengler Investments
Tennessee
$7.17B
5
CCMLC
5
Cardinal Capital Management LLC (Connecticut)
Connecticut
$13.3M
Name Holding Trade Value Shares
Change 		Shares
Change %
ACM
26
Ashford Capital Management
Delaware
$7.23M -$251K -16,451 -3%
Morgan Stanley
27
Morgan Stanley
New York
$7.17M -$1.16M -75,919 -14%
LSV Asset Management
28
LSV Asset Management
Illinois
$6.71M +$4.33M +283,878 +182%
BG
29
BlackRock Group
United Kingdom
$6.15M +$762K +49,950 +14%
BTS
30
BB&T Securities
Virginia
$6.1M +$708K +4,642 +13%
DCM
31
Driehaus Capital Management
Illinois
$6.07M +$4.44M +291,004 +272%
GC
32
Guggenheim Capital
Illinois
$5.45M +$1.28M +83,729 +31%
Deutsche Bank
33
Deutsche Bank
Germany
$5.35M +$1.19M +77,753 +28%
PI
34
Putnam Investments
Massachusetts
$5.06M -$995K -65,266 -16%
Principal Financial Group
35
Principal Financial Group
Iowa
$4.98M +$1.39M +91,438 +39%
NTCOC
36
Northern Trust Company of Connecticut
Connecticut
$4.67M -$1.87M -122,600 -29%
TCIM
37
TIAA CREF Investment Management
New York
$4.29M +$39.3K +2,575 +0.9%
BCA
38
Benchmark Capital Advisors
New York
$3.83M -$4.58K -300 -0.1%
SI
39
Scout Investments
Missouri
$3.65M – – –
GHAM
40
Gilman Hill Asset Management
Connecticut
$3.59M +$237K +15,523 +7%
BIM
41
BlackRock Investment Management
Delaware
$3.3M +$44.9K +2,944 +1%
Brown Advisory
42
Brown Advisory
Maryland
$3.01M -$86K -5,640 -3%
Goldman Sachs
43
Goldman Sachs
New York
$2.82M +$186K +12,182 +7%
SNC
44
Stifel Nicolaus & Co
Missouri
$2.81M -$37.6K -2,465 -1%
RJA
45
Raymond James & Associates
Florida
$2.77M +$457K +29,973 +20%
Fifth Third Bancorp
46
Fifth Third Bancorp
Ohio
$2.17M +$50.4K +3,307 +2%
Fuller & Thaler Asset Management
47
Fuller & Thaler Asset Management
California
$2.11M -$32K -2,100 -1%
NFA
48
Nationwide Fund Advisors
Ohio
$1.98M -$322K -21,103 -14%
BA
49
BlackRock Advisors
Delaware
$1.85M +$4.49K +294 +0.2%
Two Sigma Investments
50
Two Sigma Investments
New York
$1.8M -$632K -41,456 -26%
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