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Hercules Capital
HTGC

213 hedge funds and large institutions have $510M invested in Hercules Capital in 2021 Q1 according to their latest regulatory filings, with 42 funds opening new positions, 75 increasing their positions, 60 reducing their positions, and 19 closing their positions.

New
Increased
Maintained
Reduced
Closed

121% more first-time investments, than exits

New positions opened: 42 | Existing positions closed: 19

25% more repeat investments, than reductions

Existing positions increased: 75 | Existing positions reduced: 60

10% more funds holding

Funds holding: 193 → 213 (+20)

5% more capital invested

Capital invested by funds: $486M → $510M (+$23.4M)

0% more funds holding in top 10

Funds holding in top 10: 5 → 5 (0)

1.87% less ownership

Funds ownership: 29.42% → 27.56% (-1.9%)

14% less call options, than puts

Call options by funds: $3.83M | Put options by funds: $4.44M

Holders
213
Holders Change
+20
Holders Change %
+10.36%
% of All Funds
3.74%
Holding in Top 10
5
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.09%
New
42
Increased
75
Reduced
60
Closed
19
Calls
$3.83M
Puts
$4.44M
Net Calls
-$611K
Net Calls Change
-$4.04M

Top Buyers

1
UBS Group
UBS Group
Switzerland
+$4.31M
2
VanEck Associates
VanEck Associates
New York
+$1.63M
3
Invesco
Invesco
Georgia
+$1.49M
4
CIBC Private Wealth Group
CIBC Private Wealth Group
Georgia
+$1.49M
5
Bank of New York Mellon
Bank of New York Mellon
New York
+$1.45M

Top Sellers

1
SAMH
Shanda Asset Management Holdings
British Virgin Islands
-$14M
2
MHI
Miller Howard Investments
New York
-$7.91M
3
JP Morgan Chase
JP Morgan Chase
New York
-$5.01M
4
MC
Muzinich & Co
New York
-$4.68M
5
Sumitomo Mitsui Trust Group
Sumitomo Mitsui Trust Group
Japan
-$4.59M
Name Holding Trade Value Shares
Change 		Change in
Stake
Tudor Investment Corp
51
Tudor Investment Corp
Connecticut
$2.28M +$275K +17,715 +14%
PCM
52
Polaris Capital Management
Massachusetts
$2.24M -$349K -22,500 -15%
AR
53
Advisory Research
Illinois
$1.97M -$472K -30,436 -20%
Rockefeller Capital Management
54
Rockefeller Capital Management
New York
$1.96M -$892K -57,530 -32%
Janney Montgomery Scott
55
Janney Montgomery Scott
Pennsylvania
$1.96M +$49.3K +3,180 +3%
SW
56
SVB Wealth
Massachusetts
$1.8M +$312K +20,113 +22%
FF
57
FourThought Financial
Florida
$1.64M +$28.5K +1,839 +2%
TFCM
58
Taylor Frigon Capital Management
Arizona
$1.61M +$21.9K +1,410 +1%
CIBC Private Wealth Group
59
CIBC Private Wealth Group
Georgia
$1.54M +$1.49M +95,800 New
TC
60
Telemus Capital
Michigan
$1.49M – – –
CNFG
61
Creegan & Nassoura Financial Group
New Hampshire
$1.39M -$80.6K -5,200 -6%
DM
62
Delphi Management
Massachusetts
$1.33M +$1.28M +82,833 New
New York State Common Retirement Fund
63
New York State Common Retirement Fund
New York
$1.33M – – –
Cambridge Investment Research Advisors
64
Cambridge Investment Research Advisors
Iowa
$1.24M +$64.8K +4,179 +6%
Fidelity International
65
Fidelity International
Bermuda
$1.21M +$1.16M +74,539 New
Deutsche Bank
66
Deutsche Bank
Germany
$1.21M -$285K -18,411 -20%
LCWP
67
Legacy Capital Wealth Partners
Arkansas
$1.2M +$7.26K +468 +0.6%
Baird Financial Group
68
Baird Financial Group
Wisconsin
$1.16M +$70.9K +4,569 +7%
Assenagon Asset Management
69
Assenagon Asset Management
Luxembourg
$1.16M +$1.12M +72,261 New
FWP
70
FAS Wealth Partners
Kansas
$1.05M +$556K +35,874 +120%
DnB Asset Management
71
DnB Asset Management
Norway
$1.03M – – –
Truist Financial
72
Truist Financial
North Carolina
$1.02M -$27.2K -1,752 -3%
AAS
73
Avantax Advisory Services
Texas
$1.01M +$11.9K +770 +1%
Goldman Sachs
74
Goldman Sachs
New York
$972K +$657K +42,372 +232%
JCM
75
Jag Capital Management
Missouri
$933K -$17.2K -1,109 -2%
1 2
3
4 5

HTGC Hedge Fund Activity: Q1 2021 in Review

213 of the 5,695 institutional investors tracked by Wall St. Rank reported a position in Hercules Capital (HTGC) for Q1 2021, worth a combined $510M — up 4.8% from $486M a quarter earlier.

Buyers outnumbered sellers: 42 funds opened new HTGC positions and 19 closed out — a net gain of 23 holders — while 75 added to existing stakes and 60 trimmed.

The largest buyer was UBS Group, adding an estimated $4.31M. The largest seller was Shanda Asset Management Holdings, cutting an estimated $14M.

  • 213 institutional investors held Hercules Capital (HTGC) as of Q1 2021, up from 193 in Q4 2020.
  • Funds reported $510M of Hercules Capital stock for Q1 2021, up 4.8% quarter-over-quarter.
  • 42 funds opened new Hercules Capital positions in Q1 2021 and 19 closed out, a net change of +23 holders.
  • The largest Hercules Capital buyer in Q1 2021 was UBS Group, an estimated $4.31M added.
  • The largest Hercules Capital seller in Q1 2021 was Shanda Asset Management Holdings, an estimated $14M sold.

Based on aggregated 13F filings for Q1 2021.