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Hercules Capital
HTGC

Overview Fund Activity

146 hedge funds and large institutions have $352M invested in Hercules Capital in 2015 Q4 according to their latest regulatory filings, with 24 funds opening new positions, 46 increasing their positions, 57 reducing their positions, and 21 closing their positions.

Holders
146
Holders Change
+2
Holders Change %
+1.39%
% of All Funds
3.83%
Holding in Top 10
2
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.05%
New
24
Increased
46
Reduced
57
Closed
21
Calls
$366K
Puts
$319K
Net Calls
+$47K
Net Calls Change
+$303K

Top Buyers

1
Royal Bank of Canada
1
Royal Bank of Canada
Ontario, Canada
$17.4M
2
Wellington Management Group
2
Wellington Management Group
Massachusetts
$15.3M
3
Invesco
3
Invesco
Georgia
$14.5M
4
UBS Group
4
UBS Group
Switzerland
$17.6M
5
PTA
5
Pear Tree Advisors
Massachusetts
$1.46M

Top Sellers

1
Citadel Advisors
1
Citadel Advisors
Florida
$364K
2
Millennium Management
2
Millennium Management
New York
$875K
3
T. Rowe Price Associates
3
T. Rowe Price Associates
Maryland
$35.7M
4
PI
4
Putnam Investments
Massachusetts
$4.62M
5
MCA
5
Mendon Capital Advisors
Florida
$0
Name Market Value Shares Shares
Change 		Shares
Change %
GHAM
26
Gilman Hill Asset Management
Connecticut
$3.74M 306,673 -18,950 -6%
VanEck Associates
27
VanEck Associates
New York
$3.6M 295,589 -18,760 -6%
BC
28
Brinker Capital
Pennsylvania
$3.43M 281,577 -17,727 -6%
CIP
29
Chartwell Investment Partners
Pennsylvania
$3.39M 277,812 +109,497 +65%
BCA
30
Benchmark Capital Advisors
New York
$3.01M 246,707 -1,216 -0.5%
Deutsche Bank
31
Deutsche Bank
Germany
$2.41M 197,834 -36,048 -15%
AIU
32
Algebris Investments (UK)
United Kingdom
$2.23M 182,831 -99,659 -35%
Stifel Financial
33
Stifel Financial
Missouri
$1.84M 150,617 -1,925 -1%
PPA
34
Parametric Portfolio Associates
Washington
$1.83M 150,012 +31,408 +26%
RFC
35
Russell Frank Company
Washington
$1.72M 140,085 -23,924 -15%
Two Sigma Investments
36
Two Sigma Investments
New York
$1.67M 136,900 -22,805 -14%
ACM
37
Ashford Capital Management
Delaware
$1.59M 130,700 -4,520 -3%
AR
38
Advisory Research
Illinois
$1.5M 122,714 -23,331 -16%
PCM
39
Polaris Capital Management
Massachusetts
$1.46M 119,420 +49,937 +72%
PTA
40
Pear Tree Advisors
Massachusetts
$1.46M 119,420 +119,420 New
ERSOT
41
Employees Retirement System of Texas
Texas
$1.37M 112,108 – –
Legal & General Group
42
Legal & General Group
United Kingdom
$1.34M 109,650 +13,747 +14%
SMDAM
43
Sumitomo Mitsui DS Asset Management
Japan
$1.33M 108,860 -29,960 -22%
AIG
44
American International Group
New York
$1.23M 101,180 -28,773 -22%
LPL Financial
45
LPL Financial
California
$1.14M 92,365 +44,099 +91%
CNFG
46
Creegan & Nassoura Financial Group
New Hampshire
$1.09M 89,245 -1,300 -1%
IAM
47
Impax Asset Management
New Hampshire
$1.05M 86,000 +20,000 +30%
WFI
48
West Family Investments
California
$951K 77,982 – –
PNC Financial Services Group
49
PNC Financial Services Group
Pennsylvania
$951K 78,070 +68,070 +681%
OIA
50
Optimum Investment Advisors
Illinois
$933K 76,500 -765 -1%
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