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Hercules Capital
HTGC

Overview Fund Activity

138 hedge funds and large institutions have $377M invested in Hercules Capital in 2014 Q3 according to their latest regulatory filings, with 17 funds opening new positions, 56 increasing their positions, 47 reducing their positions, and 31 closing their positions.

Holders
138
Holders Change
-14
Holders Change %
-9.21%
% of All Funds
4.01%
Holding in Top 10
3
Holding in Top 10 Change
-1
Holding in Top 10 Change %
-25%
% of All Funds
0.09%
New
17
Increased
56
Reduced
47
Closed
31
Calls
–
Puts
$1.27M
Net Calls
-$1.27M
Net Calls Change
+$271K

Top Buyers

1
EAM
1
Edge Asset Management
Washington
$22.9M
2
NIMC
2
NWQ Investment Management Company
California
$6.22M
3
LSV Asset Management
3
LSV Asset Management
Illinois
$15.1M
4
ZDA
4
Zweig-DiMenna Associates
New York
$1.34M
5
LTI
5
Laffer Tengler Investments
Tennessee
$11M

Top Sellers

1
DCM
1
Driehaus Capital Management
Illinois
$0
2
Northern Trust
2
Northern Trust
Illinois
$3.65M
3
Morgan Stanley
3
Morgan Stanley
New York
$9.39M
4
Deutsche Bank
4
Deutsche Bank
Germany
$2.74M
5
PP
5
Paloma Partners
Connecticut
$0
Name Market Value Shares Shares
Change 		Shares
Change %
DnB Asset Management
76
DnB Asset Management
Norway
$601K 41,539 +6,300 +18%
FAAS
77
First Allied Advisory Services
California
$583K 40,480 -850 -2%
ICAS
78
Investors Capital Advisory Services
Massachusetts
$579K 40,126 -36,235 -47%
SCM
79
Sterling Capital Management
North Carolina
$556K 38,471 -95,061 -71%
PPA
80
Parametric Portfolio Associates
Washington
$477K 32,977 -5,964 -15%
State Street
81
State Street
Massachusetts
$455K 31,443 -4,132 -12%
Citigroup
82
Citigroup
New York
$432K 29,879 +534 +2%
AW
83
Alpha Windward
Massachusetts
$407K 28,140 +28,140 New
TFA
84
Transamerica Financial Advisors
Florida
$395K 27,273 -3,035 -10%
YP
85
Yellowstone Partners
Idaho
$393K 27,186 +2,592 +11%
CA
86
Cetera Advisors
Colorado
$392K 27,265 -2,530 -8%
Natixis Advisors
87
Natixis Advisors
Massachusetts
$387K 26,743 +2,324 +10%
VFS
88
VSR Financial Services
Kansas
$383K 26,473 +26,473 New
GCP
89
GSA Capital Partners
United Kingdom
$331K 22,900 +22,900 New
Commonwealth Equity Services
90
Commonwealth Equity Services
Massachusetts
$325K 22,501 +2,265 +11%
MCM
91
McKinley Capital Management
Alaska
$320K 22,105 +22,105 New
DC
92
Deere & Company
Illinois
$315K 21,769 -5,286 -20%
Creative Planning
93
Creative Planning
Kansas
$293K 20,272 +330 +2%
SG Americas Securities
94
SG Americas Securities
New York
$290K 20,066 -6,334 -24%
PNC Financial Services Group
95
PNC Financial Services Group
Pennsylvania
$288K 19,889 +11,288 +131%
California Public Employees Retirement System
96
California Public Employees Retirement System
California
$285K 19,700 +700 +4%
CAN
97
Cetera Advisor Networks
California
$271K 18,678 +18,678 New
PI
98
Placemark Investments
Illinois
$248K 17,109 +1,013 +6%
AQR Capital Management
99
AQR Capital Management
Connecticut
$231K 15,970 +600 +4%
ACM
100
Ativo Capital Management
Illinois
$230K 15,907 +205 +1%
2 3
4
5 6