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Hercules Capital
HTGC

Overview Fund Activity

138 hedge funds and large institutions have $377M invested in Hercules Capital in 2014 Q3 according to their latest regulatory filings, with 17 funds opening new positions, 56 increasing their positions, 47 reducing their positions, and 31 closing their positions.

Holders
138
Holders Change
-14
Holders Change %
-9.21%
% of All Funds
4.01%
Holding in Top 10
3
Holding in Top 10 Change
-1
Holding in Top 10 Change %
-25%
% of All Funds
0.09%
New
17
Increased
56
Reduced
47
Closed
31
Calls
–
Puts
$1.27M
Net Calls
-$1.27M
Net Calls Change
+$271K

Top Buyers

1
EAM
1
Edge Asset Management
Washington
$22.9M
2
NIMC
2
NWQ Investment Management Company
California
$6.22M
3
LSV Asset Management
3
LSV Asset Management
Illinois
$15.1M
4
ZDA
4
Zweig-DiMenna Associates
New York
$1.34M
5
LTI
5
Laffer Tengler Investments
Tennessee
$11M

Top Sellers

1
DCM
1
Driehaus Capital Management
Illinois
$0
2
Northern Trust
2
Northern Trust
Illinois
$3.65M
3
Morgan Stanley
3
Morgan Stanley
New York
$9.39M
4
Deutsche Bank
4
Deutsche Bank
Germany
$2.74M
5
PP
5
Paloma Partners
Connecticut
$0
Name Market Value Shares Shares
Change 		Shares
Change %
Northern Trust
26
Northern Trust
Illinois
$3.65M 252,723 -453,361 -64%
BCA
27
Benchmark Capital Advisors
New York
$3.55M 245,339 -5,897 -2%
SI
28
Scout Investments
Missouri
$3.49M 241,275 +1,150 +0.5%
GC
29
Guggenheim Capital
Illinois
$3.31M 228,700 -219,659 -49%
RJA
30
Raymond James & Associates
Florida
$3.26M 225,267 +14,823 +7%
Goldman Sachs
31
Goldman Sachs
New York
$3.24M 223,849 +42,014 +23%
Deutsche Bank
32
Deutsche Bank
Germany
$2.74M 189,834 -321,714 -63%
Two Sigma Investments
33
Two Sigma Investments
New York
$2.33M 161,415 -152,877 -49%
RFC
34
Russell Frank Company
Washington
$2.33M 161,097 +3,500 +2%
Fiera Capital (Canada)
35
Fiera Capital (Canada)
Quebec, Canada
$2.24M 154,700 +8,000 +5%
Susquehanna International Group
36
Susquehanna International Group
Pennsylvania
$2.17M 149,719 -86,092 -37%
Royal Bank of Canada
37
Royal Bank of Canada
Ontario, Canada
$2.04M 141,250 +27,377 +24%
VanEck Associates
38
VanEck Associates
New York
$2.04M 141,045 +6,850 +5%
Fifth Third Bancorp
39
Fifth Third Bancorp
Ohio
$2.04M 140,714 +935 +0.7%
CS
40
Credit Suisse
Switzerland
$2.01M 139,197 -230,639 -62%
AIU
41
Algebris Investments (UK)
United Kingdom
$1.97M 136,120 +57,420 +73%
Millennium Management
42
Millennium Management
New York
$1.91M 131,994 +18,013 +16%
YMRC
43
Yorktown Management & Research Company
Virginia
$1.88M 130,000 – –
BTS
44
BB&T Securities
Virginia
$1.88M 12,984 -2,676 -17%
SI
45
Stephens Inc
Arkansas
$1.82M 125,645 +3,588 +3%
AR
46
Advisory Research
Illinois
$1.78M 123,140 +14,300 +13%
SMDAM
47
Sumitomo Mitsui DS Asset Management
Japan
$1.78M 123,140 +14,300 +13%
Comerica Bank
48
Comerica Bank
Texas
$1.77M 122,655 -64,715 -35%
NFA
49
Nationwide Fund Advisors
Ohio
$1.74M 120,543 +6,235 +5%
AIG
50
American International Group
New York
$1.68M 115,938 +56,921 +96%
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