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Hercules Capital
HTGC

Overview Fund Activity

181 hedge funds and large institutions have $481M invested in Hercules Capital in 2018 Q3 according to their latest regulatory filings, with 26 funds opening new positions, 59 increasing their positions, 57 reducing their positions, and 17 closing their positions.

Holders
181
Holders Change
+7
Holders Change %
+4.02%
% of All Funds
4.14%
Holding in Top 10
6
Holding in Top 10 Change
+1
Holding in Top 10 Change %
+20%
% of All Funds
0.14%
New
26
Increased
59
Reduced
57
Closed
17
Calls
$346K
Puts
$980K
Net Calls
-$634K
Net Calls Change
-$493K

Top Buyers

1
SAMH
1
Shanda Asset Management Holdings
British Virgin Islands
$21.5M
2
JPMorgan Chase & Co
2
JPMorgan Chase & Co
New York
$11.7M
3
UBS Group
3
UBS Group
Switzerland
$30.1M
4
Credit Agricole
4
Credit Agricole
France
$3.42M
5
SIS
5
Sound Income Strategies
Florida
$14.7M

Top Sellers

1
CF
1
Centaurus Financial
California
$8.01K
2
Two Sigma Investments
2
Two Sigma Investments
New York
$2.91M
3
NC
3
Northpointe Capital
Michigan
$10.6M
4
Two Sigma Advisers
4
Two Sigma Advisers
New York
$2.64M
5
Millennium Management
5
Millennium Management
New York
$4.09M
Name Market Value Shares Shares
Change 		Shares
Change %
HI
51
HBK Investments
Texas
$1.65M 125,600 +19,100 +18%
CPP
52
Crow Point Partners
Massachusetts
$1.65M 125,000 – –
Commonwealth Equity Services
53
Commonwealth Equity Services
Massachusetts
$1.64M 124,642 -457 -0.4%
TFCM
54
Taylor Frigon Capital Management
Arizona
$1.62M 122,801 +276 +0.2%
Bank of New York Mellon
55
Bank of New York Mellon
New York
$1.43M 108,624 -9,826 -8%
DM
56
Delphi Management
Massachusetts
$1.29M 98,097 +67,681 +223%
Ohio Public Employees Retirement System (OPERS)
57
Ohio Public Employees Retirement System (OPERS)
Ohio
$1.23M 93,750 -15,300 -14%
HighTower Advisors
58
HighTower Advisors
Illinois
$1.23M 93,328 -4,084 -4%
LPL Financial
59
LPL Financial
California
$1.2M 90,852 +75,413 +488%
LTFS
60
Ladenburg Thalmann Financial Services
Florida
$1.18M 89,817 -855 -0.9%
PNC Financial Services Group
61
PNC Financial Services Group
Pennsylvania
$1.16M 88,153 +8,989 +11%
SCM
62
Shelton Capital Management
Colorado
$1.15M 87,050 – –
New York State Common Retirement Fund
63
New York State Common Retirement Fund
New York
$1.14M 86,604 – –
SSP
64
Sapphire Star Partners
Washington
$1.13M 85,716 -3,509 -4%
ADBIC
65
A.D. Beadell Investment Counsel
Wisconsin
$1.1M 83,865 +83,865 New
AG
66
Advisor Group
Arizona
$1.09M 82,912 -42,815 -34%
OIA
67
Optimum Investment Advisors
Illinois
$1.01M 76,500 – –
AIM
68
Assured Investment Management
New York
$972K 73,845 -1,140 -2%
CA
69
Cetera Advisors
Colorado
$961K 73,111 +8,544 +13%
DnB Asset Management
70
DnB Asset Management
Norway
$897K 68,139 -2,800 -4%
NGA
71
Naples Global Advisors
Florida
$887K 67,415 -6,246 -8%
CIC
72
Carnegie Investment Counsel
Ohio
$803K 65,420 +65,420 New
PI
73
PineBridge Investments
New York
$774K 58,777 +9,796 +20%
TRSOTSOK
74
Teachers Retirement System of the State of Kentucky
Kentucky
$773K 58,770 -4,492 -7%
Wellington Management Group
75
Wellington Management Group
Massachusetts
$773K 58,770 -4,492 -7%
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