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Hercules Capital
HTGC

Overview Fund Activity

133 hedge funds and large institutions have $7.68B invested in Hercules Capital in 2013 Q3 according to their latest regulatory filings, with 17 funds opening new positions, 51 increasing their positions, 42 reducing their positions, and 10 closing their positions.

Holders
133
Holders Change
+5
Holders Change %
+3.91%
% of All Funds
4.31%
Holding in Top 10
3
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.1%
New
17
Increased
51
Reduced
42
Closed
10
Calls
$920K
Puts
$522K
Net Calls
+$398K
Net Calls Change
-$217K

Top Buyers

1
EAM
1
Edge Asset Management
Washington
$20M
2
Robeco Institutional Asset Management
2
Robeco Institutional Asset Management
Netherlands
$8.33M
3
DCM
3
Driehaus Capital Management
Illinois
$6.07M
4
LSV Asset Management
4
LSV Asset Management
Illinois
$6.71M
5
BFA
5
BlackRock Fund Advisors
California
$24.5M

Top Sellers

1
DRZID
1
DePrince Race & Zollo Inc (DRZ)
Florida
$16M
2
MSA
2
Mason Street Advisors
Wisconsin
$0
3
UOC
3
UBS O'Connor
Illinois
$0
4
LTI
4
Laffer Tengler Investments
Tennessee
$7.17B
5
CCMLC
5
Cardinal Capital Management LLC (Connecticut)
Connecticut
$13.3M
Name Market Value Shares Shares
Change 		Shares
Change %
MLICM
76
Metropolitan Life Insurance Company (MetLife)
New York
$767K 50,324 – –
Natixis Advisors
77
Natixis Advisors
Massachusetts
$747K 48,988 +767 +2%
FAAS
78
First Allied Advisory Services
California
$716K 46,181 +6,130 +15%
State Board of Administration of Florida Retirement System
79
State Board of Administration of Florida Retirement System
Florida
$714K 46,815 +860 +2%
PPA
80
Parametric Portfolio Associates
Washington
$697K 45,706 -140 -0.3%
Cambridge Investment Research Advisors
81
Cambridge Investment Research Advisors
Iowa
$677K 44,365 +22,455 +102%
SG Americas Securities
82
SG Americas Securities
New York
$676K 44,314 +9,906 +29%
Bank of America
83
Bank of America
North Carolina
$674K 44,215 -26,570 -38%
ICAS
84
Investors Capital Advisory Services
Massachusetts
$672K 44,205 +5,233 +13%
Legal & General Group
85
Legal & General Group
United Kingdom
$664K 43,511 +3,025 +7%
Commonwealth Equity Services
86
Commonwealth Equity Services
Massachusetts
$625K 41,007 -6,133 -13%
ProShare Advisors
87
ProShare Advisors
Maryland
$596K 39,095 -243 -0.6%
Citigroup
88
Citigroup
New York
$593K 38,893 -18,988 -33%
VOYA Investment Management
89
VOYA Investment Management
Georgia
$583K 38,255 – –
Barclays
90
Barclays
United Kingdom
$575K 38,336 -51,321 -57%
VRS
91
Virginia Retirement Systems
Virginia
$553K 36,265 – –
TFA
92
Transamerica Financial Advisors
Florida
$550K 36,041 -10,347 -22%
WRM
93
Westport Resources Management
Connecticut
$535K 35,061 +3,250 +10%
VKH
94
Virtu KCG Holdings
New York
$516K 33,858 +33,858 New
DnB Asset Management
95
DnB Asset Management
Norway
$489K 32,039 +100 +0.3%
SCM
96
Sterling Capital Management
North Carolina
$482K 31,581 +31,581 New
Geode Capital Management
97
Geode Capital Management
Massachusetts
$463K 30,371 +8,249 +37%
Jane Street
98
Jane Street
New York
$458K 30,009 +30,009 New
UBS AM
99
UBS AM
Illinois
$388K 25,415 – –
CA
100
Cetera Advisors
Colorado
$361K 23,700 +23,700 New
2 3
4
5 6