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Hercules Capital
HTGC

Overview Fund Activity

144 hedge funds and large institutions have $294M invested in Hercules Capital in 2015 Q3 according to their latest regulatory filings, with 26 funds opening new positions, 43 increasing their positions, 47 reducing their positions, and 22 closing their positions.

Holders
144
Holders Change
+4
Holders Change %
+2.86%
% of All Funds
4.02%
Holding in Top 10
2
Holding in Top 10 Change
+2
Holding in Top 10 Change %
%
% of All Funds
0.06%
New
26
Increased
43
Reduced
47
Closed
22
Calls
$332K
Puts
$588K
Net Calls
-$256K
Net Calls Change
-$183K

Top Buyers

1
LI
1
LMCG Investments
Massachusetts
$11.4M
2
CS
2
Credit Suisse
Switzerland
$7.59M
3
AllianceBernstein
3
AllianceBernstein
Tennessee
$14.6M
4
Citadel Advisors
4
Citadel Advisors
Florida
$3.38M
5
BC
5
Brinker Capital
Pennsylvania
$3.03M

Top Sellers

1
Invesco
1
Invesco
Georgia
$10.6M
2
UBS Group
2
UBS Group
Switzerland
$13.4M
3
Goldman Sachs
3
Goldman Sachs
New York
$499K
4
Northern Trust
4
Northern Trust
Illinois
$0
5
ACM
5
Ashford Capital Management
Delaware
$1.37M
Name Market Value Shares Shares
Change 		Shares
Change %
BC
26
Brinker Capital
Pennsylvania
$3.03M 299,304 +299,304 New
Millennium Management
27
Millennium Management
New York
$2.86M 282,836 +29,895 +12%
AIU
28
Algebris Investments (UK)
United Kingdom
$2.86M 282,490 -101,400 -26%
BCA
29
Benchmark Capital Advisors
New York
$2.51M 247,923 +7,400 +3%
GC
30
Guggenheim Capital
Illinois
$2.48M 244,864 -25,858 -10%
Deutsche Bank
31
Deutsche Bank
Germany
$2.36M 233,882 +17,328 +8%
IG
32
ING Group
Netherlands
$2.23M 220,481 +220,481 New
CIP
33
Chartwell Investment Partners
Pennsylvania
$1.7M 168,315 – –
RFC
34
Russell Frank Company
Washington
$1.66M 164,009 -25,612 -14%
AAM
35
Advisors Asset Management
Colorado
$1.64M 162,632 -15,867 -9%
Two Sigma Investments
36
Two Sigma Investments
New York
$1.62M 159,705 -191,806 -55%
Stifel Financial
37
Stifel Financial
Missouri
$1.54M 152,542 -20,369 -12%
Royal Bank of Canada
38
Royal Bank of Canada
Ontario, Canada
$1.52M 150,015 -2,890 -2%
MCA
39
Mendon Capital Advisors
Florida
$1.52M 150,000 +100,000 +200%
AR
40
Advisory Research
Illinois
$1.48M 146,045 +11,239 +8%
SMDAM
41
Sumitomo Mitsui DS Asset Management
Japan
$1.4M 138,820 +4,750 +4%
NFA
42
Nationwide Fund Advisors
Ohio
$1.37M 135,319 – –
ACM
43
Ashford Capital Management
Delaware
$1.37M 135,220 -278,728 -67%
SAM
44
Shell Asset Management
Netherlands
$1.34M 92,929 +92,929 New
AIG
45
American International Group
New York
$1.31M 129,953 +1,422 +1%
PPA
46
Parametric Portfolio Associates
Washington
$1.2M 118,604 +82,582 +229%
D.E. Shaw & Co
47
D.E. Shaw & Co
New York
$1.15M 114,126 -82,519 -42%
ERSOT
48
Employees Retirement System of Texas
Texas
$1.13M 112,108 – –
NCCM
49
Nine Chapters Capital Management
New Jersey
$1.05M 103,400 +103,400 New
Two Sigma Advisers
50
Two Sigma Advisers
New York
$990K 95,630 +19,216 +25%
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