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Hercules Capital
HTGC

Overview Fund Activity

146 hedge funds and large institutions have $352M invested in Hercules Capital in 2015 Q4 according to their latest regulatory filings, with 24 funds opening new positions, 46 increasing their positions, 57 reducing their positions, and 21 closing their positions.

Holders
146
Holders Change
+2
Holders Change %
+1.39%
% of All Funds
3.83%
Holding in Top 10
2
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.05%
New
24
Increased
46
Reduced
57
Closed
21
Calls
$366K
Puts
$319K
Net Calls
+$47K
Net Calls Change
+$303K

Top Buyers

1
Royal Bank of Canada
1
Royal Bank of Canada
Ontario, Canada
$17.4M
2
Wellington Management Group
2
Wellington Management Group
Massachusetts
$15.3M
3
Invesco
3
Invesco
Georgia
$14.5M
4
UBS Group
4
UBS Group
Switzerland
$17.6M
5
PTA
5
Pear Tree Advisors
Massachusetts
$1.46M

Top Sellers

1
Citadel Advisors
1
Citadel Advisors
Florida
$364K
2
Millennium Management
2
Millennium Management
New York
$875K
3
T. Rowe Price Associates
3
T. Rowe Price Associates
Maryland
$35.7M
4
PI
4
Putnam Investments
Massachusetts
$4.62M
5
MCA
5
Mendon Capital Advisors
Florida
$0
Name Market Value Shares Shares
Change 		Shares
Change %
Tudor Investment Corp
76
Tudor Investment Corp
Connecticut
$425K 34,867 -3,049 -8%
OA
77
Oxbow Advisors
Texas
$373K 30,690 -14,710 -32%
Citadel Advisors
78
Citadel Advisors
Florida
$364K 29,890 -304,057 -91%
Commonwealth Equity Services
79
Commonwealth Equity Services
Massachusetts
$357K 29,293 -1,429 -5%
State Street
80
State Street
Massachusetts
$347K 28,443 – –
SI
81
Stephens Inc
Arkansas
$334K 27,368 -56,679 -67%
Comerica Bank
82
Comerica Bank
Texas
$329K 27,370 -15,812 -37%
Goldman Sachs
83
Goldman Sachs
New York
$320K 26,223 -23,085 -47%
V
84
Veritable
Delaware
$305K 25,000 +25,000 New
WRM
85
Westport Resources Management
Connecticut
$292K 23,987 -5,386 -18%
OCG
86
Opus Capital Group
Ohio
$280K 23,002 +2,000 +10%
EAM
87
Eventide Asset Management
Massachusetts
$277K 22,700 +11,500 +103%
GCP
88
GSA Capital Partners
United Kingdom
$253K 20,790 +20,790 New
MCM
89
McKinley Capital Management
Alaska
$230K 18,879 +171 +0.9%
WA
90
WealthTrust Axiom
Pennsylvania
$225K 18,500 +18,500 New
GWM
91
Gupta Wealth Management
California
$217K 17,821 – –
PAM
92
Princeton Alpha Management
New Jersey
$209K 17,178 +1,967 +13%
California Public Employees Retirement System
93
California Public Employees Retirement System
California
$202K 16,600 +16,600 New
Nomura Holdings
94
Nomura Holdings
Japan
$195K 16,085 -5,486 -25%
HighTower Advisors
95
HighTower Advisors
Illinois
$177K 14,551 +4,333 +42%
KCM
96
Kempner Capital Management
Texas
$173K 14,200 – –
RCM
97
Radcliffe Capital Management
Pennsylvania
$163K 13,400 +13,400 New
BTS
98
BB&T Securities
Virginia
$162K 13,361 – –
Susquehanna International Group
99
Susquehanna International Group
Pennsylvania
$162K 13,305 +13,305 New
LTFS
100
Ladenburg Thalmann Financial Services
Florida
$161K 13,214 -401 -3%
2 3
4
5 6