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Hercules Capital
HTGC

Overview Fund Activity

143 hedge funds and large institutions have $346M invested in Hercules Capital in 2016 Q1 according to their latest regulatory filings, with 16 funds opening new positions, 49 increasing their positions, 48 reducing their positions, and 19 closing their positions.

Holders
143
Holders Change
-3
Holders Change %
-2.05%
% of All Funds
3.82%
Holding in Top 10
3
Holding in Top 10 Change
+1
Holding in Top 10 Change %
+50%
% of All Funds
0.08%
New
16
Increased
49
Reduced
48
Closed
19
Calls
$732K
Puts
$209K
Net Calls
+$523K
Net Calls Change
+$476K

Top Buyers

1
NC
1
Northpointe Capital
Michigan
$12.9M
2
Royal Bank of Canada
2
Royal Bank of Canada
Ontario, Canada
$20.1M
3
Wellington Management Group
3
Wellington Management Group
Massachusetts
$16.9M
4
Goldman Sachs
4
Goldman Sachs
New York
$2.08M
5
CCP
5
Clough Capital Partners
Massachusetts
$1.2M

Top Sellers

1
CS
1
Credit Suisse
Switzerland
$0
2
CCMLC
2
Cardinal Capital Management LLC (Connecticut)
Connecticut
$6.85M
3
NIMC
3
NWQ Investment Management Company
California
$3.68M
4
Invesco
4
Invesco
Georgia
$11.7M
5
AIU
5
Algebris Investments (UK)
United Kingdom
$386K
Name Market Value Shares Shares
Change 		Shares
Change %
NIMC
26
NWQ Investment Management Company
California
$3.68M 306,072 -271,300 -47%
VanEck Associates
27
VanEck Associates
New York
$3.57M 296,896 +1,307 +0.4%
CIP
28
Chartwell Investment Partners
Pennsylvania
$3.42M 285,062 +7,250 +3%
BC
29
Brinker Capital
Pennsylvania
$3.22M 267,725 -13,852 -5%
BCA
30
Benchmark Capital Advisors
New York
$2.85M 237,107 -9,600 -4%
Goldman Sachs
31
Goldman Sachs
New York
$2.08M 173,064 +146,841 +560%
Stifel Financial
32
Stifel Financial
Missouri
$1.98M 164,542 +13,925 +9%
Legal & General Group
33
Legal & General Group
United Kingdom
$1.72M 143,464 +33,814 +31%
WFI
34
West Family Investments
California
$1.71M 142,502 +64,520 +83%
Deutsche Bank
35
Deutsche Bank
Germany
$1.65M 137,067 -60,767 -31%
PPA
36
Parametric Portfolio Associates
Washington
$1.59M 132,051 -17,961 -12%
PCM
37
Polaris Capital Management
Massachusetts
$1.51M 122,636 +3,216 +3%
AR
38
Advisory Research
Illinois
$1.48M 123,427 +713 +0.6%
PTA
39
Pear Tree Advisors
Massachusetts
$1.47M 122,636 +3,216 +3%
ERSOT
40
Employees Retirement System of Texas
Texas
$1.35M 112,108 – –
ACM
41
Ashford Capital Management
Delaware
$1.33M 111,000 -19,700 -15%
SMDAM
42
Sumitomo Mitsui DS Asset Management
Japan
$1.31M 108,860 – –
CCP
43
Clough Capital Partners
Massachusetts
$1.2M 99,800 +99,800 New
AIG
44
American International Group
New York
$1.19M 98,871 -2,309 -2%
RFC
45
Russell Frank Company
Washington
$1.17M 97,745 -42,340 -30%
Northern Trust
46
Northern Trust
Illinois
$1.08M 106,693 +106,693 New
CNFG
47
Creegan & Nassoura Financial Group
New Hampshire
$1.05M 87,745 -1,500 -2%
IAM
48
Impax Asset Management
New Hampshire
$1.03M 86,000 – –
PNC Financial Services Group
49
PNC Financial Services Group
Pennsylvania
$938K 78,088 +18 +0%
OIA
50
Optimum Investment Advisors
Illinois
$919K 76,500 – –
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