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Hercules Capital
HTGC

Overview Fund Activity

140 hedge funds and large institutions have $358M invested in Hercules Capital in 2015 Q1 according to their latest regulatory filings, with 17 funds opening new positions, 54 increasing their positions, 47 reducing their positions, and 19 closing their positions.

Holders
140
Holders Change
-4
Holders Change %
-2.78%
% of All Funds
3.73%
Holding in Top 10
–
Holding in Top 10 Change
-3
Holding in Top 10 Change %
-100%
% of All Funds
–
New
17
Increased
54
Reduced
47
Closed
19
Calls
$707K
Puts
$760K
Net Calls
-$53K
Net Calls Change
+$859K

Top Buyers

1
EAM
1
Edge Asset Management
Washington
$33.3M
2
YMRC
2
Yorktown Management & Research Company
Virginia
$7.08M
3
BC
3
Brinker Capital
Pennsylvania
$3.89M
4
UBS Group
4
UBS Group
Switzerland
$23M
5
GIP
5
Granite Investment Partners
California
$4.85M

Top Sellers

1
Principal Financial Group
1
Principal Financial Group
Iowa
$0
2
MSA
2
Mason Street Advisors
Wisconsin
$0
3
Fiera Capital (Canada)
3
Fiera Capital (Canada)
Quebec, Canada
$0
4
BF
4
BOK Financial
Oklahoma
$0
5
CPIM
5
Columbia Partners Investment Management
Virginia
$4.4M
Name Market Value Shares Shares
Change 		Shares
Change %
AIG
51
American International Group
New York
$1.07M 79,616 -16,437 -17%
NCMW
52
Northern Capital Management (Wisconsin)
Wisconsin
$1.07M 79,540 -200 -0.3%
OIA
53
Optimum Investment Advisors
Illinois
$1.06M 78,255 +1,000 +1%
Allianz Asset Management
54
Allianz Asset Management
Germany
$1.02M 75,708 -11,055 -13%
NGA
55
Naples Global Advisors
Florida
$978K 72,556 +5,515 +8%
AR
56
Advisory Research
Illinois
$973K 72,198 -18,562 -20%
SMDAM
57
Sumitomo Mitsui DS Asset Management
Japan
$968K 71,840 -15,110 -17%
Bank of New York Mellon
58
Bank of New York Mellon
New York
$927K 68,797 +8,880 +15%
LPL Financial
59
LPL Financial
California
$922K 67,774 -13,037 -16%
Legal & General Group
60
Legal & General Group
United Kingdom
$901K 66,793 -6,999 -9%
PCM
61
Polaris Capital Management
Massachusetts
$891K 66,114 +66,114 New
NSEDCP
62
NJ State Employees Deferred Compensation Plan
New Jersey
$876K 65,000 – –
CRC
63
Curi RMB Capital
Illinois
$863K 64,000 +64,000 New
HB
64
Homrich & Berg
Georgia
$853K 63,272 +1,257 +2%
Wellington Management Group
65
Wellington Management Group
Massachusetts
$819K 60,743 – –
TRSOTSOK
66
Teachers Retirement System of the State of Kentucky
Kentucky
$819K 60,743 – –
TG
67
TCW Group
California
$809K 60,000 +60,000 New
KIA
68
King Investment Advisors
Texas
$755K 56,220 +3,850 +7%
MCM
69
Millie Capital Management
California
$725K 53,811 -15,485 -22%
Bank of America
70
Bank of America
North Carolina
$681K 50,534 -860 -2%
New York State Common Retirement Fund
71
New York State Common Retirement Fund
New York
$627K 46,513 +46,513 New
CIBC World Market
72
CIBC World Market
Ontario, Canada
$621K 46,078 -4,722 -9%
ICAS
73
Investors Capital Advisory Services
Massachusetts
$564K 41,909 -876 -2%
DnB Asset Management
74
DnB Asset Management
Norway
$563K 41,739 -3,100 -7%
WRM
75
Westport Resources Management
Connecticut
$526K 39,018 -11,310 -22%
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