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Hercules Capital
HTGC

Overview Fund Activity

157 hedge funds and large institutions have $449M invested in Hercules Capital in 2014 Q1 according to their latest regulatory filings, with 25 funds opening new positions, 70 increasing their positions, 36 reducing their positions, and 15 closing their positions.

Holders
157
Holders Change
+8
Holders Change %
+5.37%
% of All Funds
4.54%
Holding in Top 10
1
Holding in Top 10 Change
-2
Holding in Top 10 Change %
-66.67%
% of All Funds
0.03%
New
25
Increased
70
Reduced
36
Closed
15
Calls
$266K
Puts
$795K
Net Calls
-$529K
Net Calls Change
-$370K

Top Buyers

1
EAM
1
Edge Asset Management
Washington
$15.6M
2
Robeco Institutional Asset Management
2
Robeco Institutional Asset Management
Netherlands
$14.3M
3
PCM
3
Penn Capital Management
Pennsylvania
$2.46M
4
Morgan Stanley
4
Morgan Stanley
New York
$14.8M
5
BTS
5
BB&T Securities
Virginia
$9.48M

Top Sellers

1
IG
1
ING Group
Netherlands
$0
2
Vanguard Group
2
Vanguard Group
Pennsylvania
$2.09M
3
DCM
3
Driehaus Capital Management
Illinois
$0
4
Susquehanna International Group
4
Susquehanna International Group
Pennsylvania
$280K
5
Fuller & Thaler Asset Management
5
Fuller & Thaler Asset Management
California
$0
Name Market Value Shares Shares
Change 		Shares
Change %
VanEck Associates
51
VanEck Associates
New York
$1.42M 100,721 +30,376 +43%
CIA
52
Capital Impact Advisors
Massachusetts
$1.36M 96,677 – –
AllianceBernstein
53
AllianceBernstein
Tennessee
$1.32M 93,901 +771 +0.8%
Charles Schwab
54
Charles Schwab
California
$1.32M 93,500 +6,300 +7%
ACM
55
Avalon Capital Management
California
$1.29M 91,503 +91,503 New
GC
56
Guggenheim Capital
Illinois
$1.27M 90,224 -76,291 -46%
TA
57
Teachers Advisors
New York
$1.26M 89,442 – –
IAM
58
Impax Asset Management
New Hampshire
$1.24M 87,893 +87,893 New
SAM
59
Shell Asset Management
Netherlands
$1.2M 85,237 -345 -0.4%
AIG
60
American International Group
New York
$1.19M 84,736 +3,880 +5%
ERSOT
61
Employees Retirement System of Texas
Texas
$1.16M 82,108 +1,659 +2%
Janney Montgomery Scott
62
Janney Montgomery Scott
Pennsylvania
$1.14M 80,694 +3,809 +5%
RhumbLine Advisers
63
RhumbLine Advisers
Massachusetts
$1.12M 79,395 -1,734 -2%
OIA
64
Optimum Investment Advisors
Illinois
$1.07M 76,065 +165 +0.2%
Cambridge Investment Research Advisors
65
Cambridge Investment Research Advisors
Iowa
$1.01M 72,086 +2,177 +3%
Goldman Sachs
66
Goldman Sachs
New York
$977K 69,473 -42,464 -38%
NIMC
67
NWQ Investment Management Company
California
$974K 69,200 +69,200 New
NSEDCP
68
NJ State Employees Deferred Compensation Plan
New Jersey
$915K 65,000 – –
SMDAM
69
Sumitomo Mitsui DS Asset Management
Japan
$910K 64,680 +12,000 +23%
AR
70
Advisory Research
Illinois
$910K 64,680 +12,000 +23%
Swiss National Bank
71
Swiss National Bank
Switzerland
$898K 63,800 +6,900 +12%
ProShare Advisors
72
ProShare Advisors
Maryland
$879K 62,462 +62,462 New
Jacobs Levy Equity Management
73
Jacobs Levy Equity Management
New Jersey
$878K 62,428 +62,428 New
Wellington Management Group
74
Wellington Management Group
Massachusetts
$855K 60,743 – –
TRSOTSOK
75
Teachers Retirement System of the State of Kentucky
Kentucky
$855K 60,743 – –
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