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Hercules Capital
HTGC

213 hedge funds and large institutions have $510M invested in Hercules Capital in 2021 Q1 according to their latest regulatory filings, with 42 funds opening new positions, 75 increasing their positions, 60 reducing their positions, and 19 closing their positions.

New
Increased
Maintained
Reduced
Closed

121% more first-time investments, than exits

New positions opened: 42 | Existing positions closed: 19

25% more repeat investments, than reductions

Existing positions increased: 75 | Existing positions reduced: 60

10% more funds holding

Funds holding: 193 → 213 (+20)

5% more capital invested

Capital invested by funds: $486M → $510M (+$23.4M)

0% more funds holding in top 10

Funds holding in top 10: 5 → 5 (0)

1.87% less ownership

Funds ownership: 29.42% → 27.56% (-1.9%)

14% less call options, than puts

Call options by funds: $3.83M | Put options by funds: $4.44M

Holders
213
Holders Change
+20
Holders Change %
+10.36%
% of All Funds
3.74%
Holding in Top 10
5
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.09%
New
42
Increased
75
Reduced
60
Closed
19
Calls
$3.83M
Puts
$4.44M
Net Calls
-$611K
Net Calls Change
-$4.04M

Top Buyers

1
UBS Group
UBS Group
Switzerland
+$4.31M
2
VanEck Associates
VanEck Associates
New York
+$1.63M
3
Invesco
Invesco
Georgia
+$1.49M
4
CIBC Private Wealth Group
CIBC Private Wealth Group
Georgia
+$1.49M
5
Bank of New York Mellon
Bank of New York Mellon
New York
+$1.45M

Top Sellers

1
SAMH
Shanda Asset Management Holdings
British Virgin Islands
-$14M
2
MHI
Miller Howard Investments
New York
-$7.91M
3
JP Morgan Chase
JP Morgan Chase
New York
-$5.01M
4
MC
Muzinich & Co
New York
-$4.68M
5
Sumitomo Mitsui Trust Group
Sumitomo Mitsui Trust Group
Japan
-$4.59M
Name Holding Trade Value Shares
Change 		Change in
Stake
LSV Asset Management
26
LSV Asset Management
Illinois
$5.03M -$41.9K -2,700 -0.9%
AllianceBernstein
27
AllianceBernstein
Tennessee
$5.01M +$687K +44,331 +17%
N
28
Natixis
France
$4.9M +$833K +53,727 +21%
AAM
29
Advisors Asset Management
Colorado
$4.72M +$221K +14,270 +5%
Susquehanna International Group
30
Susquehanna International Group
Pennsylvania
$4.42M +$30.6K +1,975 +0.7%
CAGAS
31
Capital Advisory Group Advisory Services
Minnesota
$4.33M +$822K +52,987 +24%
PNC Financial Services Group
32
PNC Financial Services Group
Pennsylvania
$4.25M -$233 -15 -0%
GC
33
Guggenheim Capital
Illinois
$3.74M -$988K -63,683 -21%
California Public Employees Retirement System
34
California Public Employees Retirement System
California
$3.71M -$389K -25,100 -10%
PPA
35
Parametric Portfolio Associates
Washington
$3.43M +$1.52K +98 +0%
Neuberger Berman Group
36
Neuberger Berman Group
New York
$3.38M -$155K -9,991 -5%
ADBIC
37
A.D. Beadell Investment Counsel
Wisconsin
$3.12M -$93K -6,000 -3%
LPL Financial
38
LPL Financial
California
$3M +$353K +22,736 +14%
HWAM
39
Hennion & Walsh Asset Management
New Jersey
$2.94M +$2.84M +183,189 New
Voloridge Investment Management
40
Voloridge Investment Management
Florida
$2.86M +$160K +10,336 +6%
HighTower Advisors
41
HighTower Advisors
Illinois
$2.73M -$55.5K -3,578 -2%
Bank of New York Mellon
42
Bank of New York Mellon
New York
$2.69M +$1.45M +93,729 +127%
RJA
43
Raymond James & Associates
Florida
$2.62M -$1.56M -100,656 -38%
IAIM
44
International Assets Investment Management
Florida
$2.6M +$1.32M +84,866 +99%
Commonwealth Equity Services
45
Commonwealth Equity Services
Massachusetts
$2.56M -$201K -12,985 -8%
SPC
46
Sigma Planning Corp
Michigan
$2.54M -$177K -11,414 -7%
Osaic Holdings
47
Osaic Holdings
Arizona
$2.53M +$357 +23 +0%
SNB
48
Security National Bank
Nebraska
$2.45M +$34.9K +2,248 +1%
Arrowstreet Capital
49
Arrowstreet Capital
Massachusetts
$2.44M +$191K +12,302 +9%
BI
50
Bramshill Investments
Florida
$2.35M +$315K +20,334 +16%
1
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3 4 5

HTGC Hedge Fund Activity: Q1 2021 in Review

213 of the 5,695 institutional investors tracked by Wall St. Rank reported a position in Hercules Capital (HTGC) for Q1 2021, worth a combined $510M — up 4.8% from $486M a quarter earlier.

Buyers outnumbered sellers: 42 funds opened new HTGC positions and 19 closed out — a net gain of 23 holders — while 75 added to existing stakes and 60 trimmed.

The largest buyer was UBS Group, adding an estimated $4.31M. The largest seller was Shanda Asset Management Holdings, cutting an estimated $14M.

  • 213 institutional investors held Hercules Capital (HTGC) as of Q1 2021, up from 193 in Q4 2020.
  • Funds reported $510M of Hercules Capital stock for Q1 2021, up 4.8% quarter-over-quarter.
  • 42 funds opened new Hercules Capital positions in Q1 2021 and 19 closed out, a net change of +23 holders.
  • The largest Hercules Capital buyer in Q1 2021 was UBS Group, an estimated $4.31M added.
  • The largest Hercules Capital seller in Q1 2021 was Shanda Asset Management Holdings, an estimated $14M sold.

Based on aggregated 13F filings for Q1 2021.