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Hercules Capital

148 hedge funds and large institutions have $430M invested in Hercules Capital in 2016 Q3 according to their latest regulatory filings, with 19 funds opening new positions, 67 increasing their positions, 39 reducing their positions, and 13 closing their positions.

New
Increased
Maintained
Reduced
Closed

72% more repeat investments, than reductions

Existing positions increased: 67 | Existing positions reduced: 39

66% more call options, than puts

Call options by funds: $509K | Put options by funds: $307K

46% more first-time investments, than exits

New positions opened: 19 | Existing positions closed: 13

14% more capital invested

Capital invested by funds: $377M → $430M (+$53.8M)

1.25% more ownership

Funds ownership: 41.16%42.41% (+1.3%)

1% more funds holding

Funds holding: 147148 (+1)

33% less funds holding in top 10

Funds holding in top 10: 32 (-1)

Holders
148
Holders Change
+1
Holders Change %
+0.68%
% of All Funds
3.95%
Holding in Top 10
2
Holding in Top 10 Change
-1
Holding in Top 10 Change %
-33.33%
% of All Funds
0.05%
New
19
Increased
67
Reduced
39
Closed
13
Calls
$509K
Puts
$307K
Net Calls
+$202K
Net Calls Change
-$1.05M
Name Holding Trade Value Shares
Change
Change in
Stake
PNC Financial Services Group
51
PNC Financial Services Group
Pennsylvania
$1.07M +$9.25K +694 +0.9%
EAM
52
Eventide Asset Management
Massachusetts
$1.07M +$200K +15,000 +23%
OIA
53
Optimum Investment Advisors
Illinois
$1.04M
CS
54
Credit Suisse
Switzerland
$1.04M +$628K +47,101 +160%
EA
55
Emerald Acquisition
Washington
$1.01M -$97.3K -7,300 -9%
HIM
56
Hillsdale Investment Management
Ontario, Canada
$1M +$723K +54,200 +277%
Janney Montgomery Scott
57
Janney Montgomery Scott
Pennsylvania
$1M -$774K -58,052 -44%
NGA
58
Naples Global Advisors
Florida
$950K +$56K +4,200 +6%
CIBC Private Wealth Group
59
CIBC Private Wealth Group
Georgia
$942K +$31K +2,325 +3%
HB
60
Homrich & Berg
Georgia
$922K +$19.4K +1,457 +2%
Cambridge Investment Research Advisors
61
Cambridge Investment Research Advisors
Iowa
$891K -$43.7K -3,281 -5%
NSEDCP
62
NJ State Employees Deferred Compensation Plan
New Jersey
$881K
WA
63
WESPAC Advisors
California
$854K +$840K +63,007 New
Citigroup
64
Citigroup
New York
$848K +$51.4K +3,859 +7%
TRSOTSOK
65
Teachers Retirement System of the State of Kentucky
Kentucky
$824K
NFA
66
Nationwide Fund Advisors
Ohio
$779K -$41.3K -3,100 -5%
RJFSA
67
Raymond James Financial Services Advisors
Florida
$733K +$48.3K +3,623 +7%
NFA
68
Nuveen Fund Advisors
Illinois
$727K +$363K +27,207 +103%
Goldman Sachs
69
Goldman Sachs
New York
$719K +$707K +53,050 New
BCM
70
Buckhead Capital Management
Georgia
$702K
DnB Asset Management
71
DnB Asset Management
Norway
$676K +$12K +900 +2%
TG
72
TCW Group
California
$641K -$74.7K -5,600 -11%
GA
73
Geneva Advisors
Illinois
$601K +$591K +44,345 New
Susquehanna International Group
74
Susquehanna International Group
Pennsylvania
$591K +$581K +43,600 New
LPL Financial
75
LPL Financial
California
$560K +$223K +16,725 +68%