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Hercules Capital
HTGC

Overview Fund Activity

146 hedge funds and large institutions have $352M invested in Hercules Capital in 2015 Q4 according to their latest regulatory filings, with 24 funds opening new positions, 46 increasing their positions, 57 reducing their positions, and 21 closing their positions.

Holders
146
Holders Change
+2
Holders Change %
+1.39%
% of All Funds
3.83%
Holding in Top 10
2
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.05%
New
24
Increased
46
Reduced
57
Closed
21
Calls
$366K
Puts
$319K
Net Calls
+$47K
Net Calls Change
+$303K

Top Buyers

1
Royal Bank of Canada
1
Royal Bank of Canada
Ontario, Canada
$17.4M
2
Wellington Management Group
2
Wellington Management Group
Massachusetts
$15.3M
3
Invesco
3
Invesco
Georgia
$14.5M
4
UBS Group
4
UBS Group
Switzerland
$17.6M
5
PTA
5
Pear Tree Advisors
Massachusetts
$1.46M

Top Sellers

1
Citadel Advisors
1
Citadel Advisors
Florida
$364K
2
Millennium Management
2
Millennium Management
New York
$875K
3
T. Rowe Price Associates
3
T. Rowe Price Associates
Maryland
$35.7M
4
PI
4
Putnam Investments
Massachusetts
$4.62M
5
MCA
5
Mendon Capital Advisors
Florida
$0
Name Market Value Shares Shares
Change 		Shares
Change %
Two Sigma Advisers
51
Two Sigma Advisers
New York
$911K 74,754 -20,876 -22%
Millennium Management
52
Millennium Management
New York
$875K 71,749 -211,087 -75%
Cambridge Investment Research Advisors
53
Cambridge Investment Research Advisors
Iowa
$862K 70,715 +1,435 +2%
Janney Montgomery Scott
54
Janney Montgomery Scott
Pennsylvania
$858K 70,350 +3,865 +6%
CA
55
Cetera Advisors
Colorado
$811K 66,429 +7,031 +12%
NGA
56
Naples Global Advisors
Florida
$801K 65,716 -2,435 -4%
NSEDCP
57
NJ State Employees Deferred Compensation Plan
New Jersey
$792K 65,000 – –
HB
58
Homrich & Berg
Georgia
$771K 63,249 +1,675 +3%
TRSOTSOK
59
Teachers Retirement System of the State of Kentucky
Kentucky
$740K 60,743 – –
Citigroup
60
Citigroup
New York
$724K 59,321 -6,275 -10%
Bank of America
61
Bank of America
North Carolina
$706K 57,855 +2,918 +5%
NFA
62
Nationwide Fund Advisors
Ohio
$700K 57,455 -77,864 -58%
CIBC Private Wealth Group
63
CIBC Private Wealth Group
Georgia
$680K 55,808 – –
TG
64
TCW Group
California
$645K 52,900 -9,500 -15%
DnB Asset Management
65
DnB Asset Management
Norway
$616K 50,539 +8,800 +21%
RJFSA
66
Raymond James Financial Services Advisors
Florida
$545K 44,738 -4,605 -9%
VFS
67
VSR Financial Services
Kansas
$540K 44,321 -700 -2%
BCM
68
Buckhead Capital Management
Georgia
$485K 39,800 +39,800 New
AAM
69
Advisors Asset Management
Colorado
$477K 39,107 -123,525 -76%
ICAS
70
Investors Capital Advisory Services
Massachusetts
$472K 38,845 -395 -1%
NPC
71
National Planning Corporation
California
$465K 43,121 +43,121 New
US Bancorp
72
US Bancorp
Minnesota
$454K 37,232 +10,704 +40%
CIBC World Market
73
CIBC World Market
Ontario, Canada
$443K 36,368 +1,725 +5%
FAAS
74
First Allied Advisory Services
California
$440K 36,093 +323 +0.9%
JPMorgan Chase & Co
75
JPMorgan Chase & Co
New York
$428K 35,101 -7,341 -17%
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