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Hercules Capital
HTGC

Overview Fund Activity

133 hedge funds and large institutions have $7.68B invested in Hercules Capital in 2013 Q3 according to their latest regulatory filings, with 17 funds opening new positions, 51 increasing their positions, 42 reducing their positions, and 10 closing their positions.

Holders
133
Holders Change
+5
Holders Change %
+3.91%
% of All Funds
4.31%
Holding in Top 10
3
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.1%
New
17
Increased
51
Reduced
42
Closed
10
Calls
$920K
Puts
$522K
Net Calls
+$398K
Net Calls Change
-$217K

Top Buyers

1
EAM
1
Edge Asset Management
Washington
$20M
2
Robeco Institutional Asset Management
2
Robeco Institutional Asset Management
Netherlands
$8.33M
3
DCM
3
Driehaus Capital Management
Illinois
$6.07M
4
LSV Asset Management
4
LSV Asset Management
Illinois
$6.71M
5
BFA
5
BlackRock Fund Advisors
California
$24.5M

Top Sellers

1
DRZID
1
DePrince Race & Zollo Inc (DRZ)
Florida
$16M
2
MSA
2
Mason Street Advisors
Wisconsin
$0
3
UOC
3
UBS O'Connor
Illinois
$0
4
LTI
4
Laffer Tengler Investments
Tennessee
$7.17B
5
CCMLC
5
Cardinal Capital Management LLC (Connecticut)
Connecticut
$13.3M
Name Market Value Shares Shares
Change 		Shares
Change %
California State Teachers Retirement System (CalSTRS)
51
California State Teachers Retirement System (CalSTRS)
California
$1.69M 110,770 +3,507 +3%
PMAM
52
Picton Mahoney Asset Management
Ontario, Canada
$1.65M 108,111 +108,111 New
AllianceBernstein
53
AllianceBernstein
Tennessee
$1.47M 96,430 -2,199 -2%
CS
54
Credit Suisse
Switzerland
$1.46M 95,601 -773 -0.8%
RhumbLine Advisers
55
RhumbLine Advisers
Massachusetts
$1.34M 87,738 +670 +0.8%
Charles Schwab
56
Charles Schwab
California
$1.33M 87,200 – –
TA
57
Teachers Advisors
New York
$1.32M 86,482 -202 -0.2%
AIG
58
American International Group
New York
$1.25M 82,161 -16,721 -17%
SI
59
Stephens Inc
Arkansas
$1.22M 79,962 +2,569 +3%
ERSOT
60
Employees Retirement System of Texas
Texas
$1.21M 79,000 +79,000 New
OIA
61
Optimum Investment Advisors
Illinois
$1.18M 77,200 +77,200 New
KIA
62
King Investment Advisors
Texas
$1.15M 75,220 +46,840 +165%
Janney Montgomery Scott
63
Janney Montgomery Scott
Pennsylvania
$1.14M 74,974 +11,818 +19%
SAM
64
Shell Asset Management
Netherlands
$1.09M 71,754 +71,754 New
VanEck Associates
65
VanEck Associates
New York
$996K 65,311 +6,850 +12%
NSEDCP
66
NJ State Employees Deferred Compensation Plan
New Jersey
$991K 65,000 – –
TRSOTSOK
67
Teachers Retirement System of the State of Kentucky
Kentucky
$926K 60,743 – –
Wellington Management Group
68
Wellington Management Group
Massachusetts
$926K 60,743 – –
YMRC
69
Yorktown Management & Research Company
Virginia
$915K 60,000 – –
JPMorgan Chase & Co
70
JPMorgan Chase & Co
New York
$912K 59,760 -26,307 -31%
Royal Bank of Canada
71
Royal Bank of Canada
Ontario, Canada
$904K 59,277 -583 -1%
LPL Financial
72
LPL Financial
California
$898K 59,192 +15,491 +35%
Swiss National Bank
73
Swiss National Bank
Switzerland
$868K 56,900 -1,900 -3%
HB
74
Homrich & Berg
Georgia
$866K 56,801 +940 +2%
AQR Capital Management
75
AQR Capital Management
Connecticut
$804K 52,700 -119,024 -69%
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