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Hercules Capital
HTGC

Overview Fund Activity

144 hedge funds and large institutions have $294M invested in Hercules Capital in 2015 Q3 according to their latest regulatory filings, with 26 funds opening new positions, 43 increasing their positions, 47 reducing their positions, and 22 closing their positions.

Holders
144
Holders Change
+4
Holders Change %
+2.86%
% of All Funds
4.02%
Holding in Top 10
2
Holding in Top 10 Change
+2
Holding in Top 10 Change %
%
% of All Funds
0.06%
New
26
Increased
43
Reduced
47
Closed
22
Calls
$332K
Puts
$588K
Net Calls
-$256K
Net Calls Change
-$183K

Top Buyers

1
LI
1
LMCG Investments
Massachusetts
$11.4M
2
CS
2
Credit Suisse
Switzerland
$7.59M
3
AllianceBernstein
3
AllianceBernstein
Tennessee
$14.6M
4
Citadel Advisors
4
Citadel Advisors
Florida
$3.38M
5
BC
5
Brinker Capital
Pennsylvania
$3.03M

Top Sellers

1
Invesco
1
Invesco
Georgia
$10.6M
2
UBS Group
2
UBS Group
Switzerland
$13.4M
3
Goldman Sachs
3
Goldman Sachs
New York
$499K
4
Northern Trust
4
Northern Trust
Illinois
$0
5
ACM
5
Ashford Capital Management
Delaware
$1.37M
Name Market Value Shares Shares
Change 		Shares
Change %
Legal & General Group
51
Legal & General Group
United Kingdom
$971K 95,903 +13,223 +16%
UCFA
52
United Capital Financial Advisors
Texas
$953K 94,284 +94,284 New
ZDA
53
Zweig-DiMenna Associates
New York
$937K 92,666 -310 -0.3%
CNFG
54
Creegan & Nassoura Financial Group
New Hampshire
$915K 90,545 -400 -0.4%
SI
55
Stephens Inc
Arkansas
$850K 84,047 -4,312 -5%
WFI
56
West Family Investments
California
$788K 77,982 +77,982 New
OIA
57
Optimum Investment Advisors
Illinois
$781K 77,265 +77,265 New
PCM
58
Polaris Capital Management
Massachusetts
$702K 69,483 +3,369 +5%
Cambridge Investment Research Advisors
59
Cambridge Investment Research Advisors
Iowa
$700K 69,280 -7,925 -10%
NGA
60
Naples Global Advisors
Florida
$689K 68,151 -7,045 -9%
Janney Montgomery Scott
61
Janney Montgomery Scott
Pennsylvania
$672K 66,485 -9,003 -12%
IAM
62
Impax Asset Management
New Hampshire
$667K 66,000 +66,000 New
SAMH
63
Shanda Asset Management Holdings
British Virgin Islands
$664K 65,707 +65,707 New
Citigroup
64
Citigroup
New York
$663K 65,596 -13,755 -17%
NSEDCP
65
NJ State Employees Deferred Compensation Plan
New Jersey
$657K 65,000 – –
TG
66
TCW Group
California
$631K 62,400 – –
HB
67
Homrich & Berg
Georgia
$623K 61,574 -3,080 -5%
TRSOTSOK
68
Teachers Retirement System of the State of Kentucky
Kentucky
$614K 60,743 – –
Wellington Management Group
69
Wellington Management Group
Massachusetts
$614K 60,743 – –
Bank of Montreal
70
Bank of Montreal
Ontario, Canada
$607K 60,073 -2,627 -4%
CA
71
Cetera Advisors
Colorado
$599K 59,398 +22,952 +63%
CIBC Private Wealth Group
72
CIBC Private Wealth Group
Georgia
$564K 55,808 +2,425 +5%
Bank of America
73
Bank of America
North Carolina
$556K 54,937 +2,268 +4%
MCM
74
Millie Capital Management
California
$528K 52,212 -1,600 -3%
HSBC Holdings
75
HSBC Holdings
United Kingdom
$526K 52,000 +52,000 New
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