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Hercules Capital
HTGC

Overview Fund Activity

152 hedge funds and large institutions have $477M invested in Hercules Capital in 2014 Q2 according to their latest regulatory filings, with 28 funds opening new positions, 70 increasing their positions, 35 reducing their positions, and 33 closing their positions.

Holders
152
Holders Change
-5
Holders Change %
-3.18%
% of All Funds
4.37%
Holding in Top 10
4
Holding in Top 10 Change
+3
Holding in Top 10 Change %
+300%
% of All Funds
0.12%
New
28
Increased
70
Reduced
35
Closed
33
Calls
$281K
Puts
$1.82M
Net Calls
-$1.54M
Net Calls Change
-$1.01M

Top Buyers

1
AllianceBernstein
1
AllianceBernstein
Tennessee
$9.9M
2
DCM
2
Driehaus Capital Management
Illinois
$8.03M
3
LSV Asset Management
3
LSV Asset Management
Illinois
$14.7M
4
GC
4
Guggenheim Capital
Illinois
$7.25M
5
U
5
UBS
Switzerland
$23.6M

Top Sellers

1
Comerica Bank
1
Comerica Bank
Texas
$3.03M
2
BFA
2
BlackRock Fund Advisors
California
$0
3
State Street
3
State Street
Massachusetts
$576K
4
Northern Trust
4
Northern Trust
Illinois
$11.4M
5
BIT
5
BlackRock Institutional Trust
California
$0
Name Market Value Shares Shares
Change 		Shares
Change %
VanEck Associates
51
VanEck Associates
New York
$2.17M 134,195 +33,474 +33%
SCM
52
Sterling Capital Management
North Carolina
$2.16M 133,532 +3,181 +2%
YMRC
53
Yorktown Management & Research Company
Virginia
$2.1M 130,000 +100,000 +333%
SI
54
Stephens Inc
Arkansas
$1.97M 122,057 +6,547 +6%
NFA
55
Nationwide Fund Advisors
Ohio
$1.85M 114,308 +623 +0.5%
Millennium Management
56
Millennium Management
New York
$1.84M 113,981 -105,562 -48%
Royal Bank of Canada
57
Royal Bank of Canada
Ontario, Canada
$1.84M 113,873 +54,419 +92%
ERSOT
58
Employees Retirement System of Texas
Texas
$1.81M 112,108 +30,000 +37%
ACM
59
Avalon Capital Management
California
$1.81M 111,809 +20,306 +22%
AR
60
Advisory Research
Illinois
$1.76M 108,840 +44,160 +68%
SMDAM
61
Sumitomo Mitsui DS Asset Management
Japan
$1.76M 108,840 +44,160 +68%
LPL Financial
62
LPL Financial
California
$1.52M 93,795 +63,751 +212%
Janney Montgomery Scott
63
Janney Montgomery Scott
Pennsylvania
$1.37M 84,870 +4,176 +5%
SAM
64
Shell Asset Management
Netherlands
$1.36M 84,258 -979 -1%
Cambridge Investment Research Advisors
65
Cambridge Investment Research Advisors
Iowa
$1.28M 79,371 +7,285 +10%
NCMW
66
Northern Capital Management (Wisconsin)
Wisconsin
$1.28M 79,040 +79,040 New
AIU
67
Algebris Investments (UK)
United Kingdom
$1.27M 78,700 +78,700 New
OIA
68
Optimum Investment Advisors
Illinois
$1.25M 77,165 +1,100 +1%
PP
69
PDT Partners
New York
$1.24M 76,927 +28,098 +58%
Allianz Asset Management
70
Allianz Asset Management
Germany
$1.23M 76,341 +76,341 New
ICAS
71
Investors Capital Advisory Services
Massachusetts
$1.23M 76,361 +35,644 +88%
NSEDCP
72
NJ State Employees Deferred Compensation Plan
New Jersey
$1.05M 65,000 – –
TRSOTSOK
73
Teachers Retirement System of the State of Kentucky
Kentucky
$982K 60,743 – –
Wellington Management Group
74
Wellington Management Group
Massachusetts
$982K 60,743 – –
HB
75
Homrich & Berg
Georgia
$967K 59,822 +1,151 +2%
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