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Hercules Capital
HTGC

Overview Fund Activity

144 hedge funds and large institutions have $294M invested in Hercules Capital in 2015 Q3 according to their latest regulatory filings, with 26 funds opening new positions, 43 increasing their positions, 47 reducing their positions, and 22 closing their positions.

Holders
144
Holders Change
+4
Holders Change %
+2.86%
% of All Funds
4.02%
Holding in Top 10
2
Holding in Top 10 Change
+2
Holding in Top 10 Change %
%
% of All Funds
0.06%
New
26
Increased
43
Reduced
47
Closed
22
Calls
$332K
Puts
$588K
Net Calls
-$256K
Net Calls Change
-$183K

Top Buyers

1
LI
1
LMCG Investments
Massachusetts
$11.4M
2
CS
2
Credit Suisse
Switzerland
$7.59M
3
AllianceBernstein
3
AllianceBernstein
Tennessee
$14.6M
4
Citadel Advisors
4
Citadel Advisors
Florida
$3.38M
5
BC
5
Brinker Capital
Pennsylvania
$3.03M

Top Sellers

1
Invesco
1
Invesco
Georgia
$10.6M
2
UBS Group
2
UBS Group
Switzerland
$13.4M
3
Goldman Sachs
3
Goldman Sachs
New York
$499K
4
Northern Trust
4
Northern Trust
Illinois
$0
5
ACM
5
Ashford Capital Management
Delaware
$1.37M
Name Market Value Shares Shares
Change 		Shares
Change %
Brown Advisory
76
Brown Advisory
Maryland
$525K 51,937 -34,214 -40%
LPL Financial
77
LPL Financial
California
$515K 48,266 -8,602 -15%
Goldman Sachs
78
Goldman Sachs
New York
$499K 49,308 -291,127 -86%
RJFSA
79
Raymond James Financial Services Advisors
Florida
$499K 49,343 +24,552 +99%
TI
80
Trexquant Investment
Connecticut
$466K 46,167 +46,167 New
OA
81
Oxbow Advisors
Texas
$458K 45,400 +2,400 +6%
VFS
82
VSR Financial Services
Kansas
$455K 45,021 -10,452 -19%
Comerica Bank
83
Comerica Bank
Texas
$437K 43,182 -71,504 -62%
JPMorgan Chase & Co
84
JPMorgan Chase & Co
New York
$429K 42,442 -5,854 -12%
PG
85
PEAK6 Group
Illinois
$423K 41,798 +1,361 +3%
DnB Asset Management
86
DnB Asset Management
Norway
$422K 41,739 +1,700 +4%
ICAS
87
Investors Capital Advisory Services
Massachusetts
$395K 39,240 -3,632 -8%
Tudor Investment Corp
88
Tudor Investment Corp
Connecticut
$383K 37,916 +13,871 +58%
FAAS
89
First Allied Advisory Services
California
$362K 35,770 +264 +0.7%
CIBC World Market
90
CIBC World Market
Ontario, Canada
$350K 34,643 -9,328 -21%
NCMW
91
Northern Capital Management (Wisconsin)
Wisconsin
$345K 34,150 -54,365 -61%
Commonwealth Equity Services
92
Commonwealth Equity Services
Massachusetts
$311K 30,722 +2,513 +9%
WRM
93
Westport Resources Management
Connecticut
$297K 29,373 -323 -1%
State Street
94
State Street
Massachusetts
$289K 28,443 – –
VKH
95
Virtu KCG Holdings
New York
$289K 28,596 +14,769 +107%
US Bancorp
96
US Bancorp
Minnesota
$268K 26,528 +5,272 +25%
Nomura Holdings
97
Nomura Holdings
Japan
$221K 21,571 +21,571 New
OCG
98
Opus Capital Group
Ohio
$212K 21,002 +21,002 New
SG Americas Securities
99
SG Americas Securities
New York
$202K 19,960 +19,960 New
MCM
100
McKinley Capital Management
Alaska
$189K 18,708 -1,804 -9%
2 3
4
5 6