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Hercules Capital
HTGC

Overview Fund Activity

143 hedge funds and large institutions have $346M invested in Hercules Capital in 2016 Q1 according to their latest regulatory filings, with 16 funds opening new positions, 49 increasing their positions, 48 reducing their positions, and 19 closing their positions.

Holders
143
Holders Change
-3
Holders Change %
-2.05%
% of All Funds
3.82%
Holding in Top 10
3
Holding in Top 10 Change
+1
Holding in Top 10 Change %
+50%
% of All Funds
0.08%
New
16
Increased
49
Reduced
48
Closed
19
Calls
$732K
Puts
$209K
Net Calls
+$523K
Net Calls Change
+$476K

Top Buyers

1
NC
1
Northpointe Capital
Michigan
$12.9M
2
Royal Bank of Canada
2
Royal Bank of Canada
Ontario, Canada
$20.1M
3
Wellington Management Group
3
Wellington Management Group
Massachusetts
$16.9M
4
Goldman Sachs
4
Goldman Sachs
New York
$2.08M
5
CCP
5
Clough Capital Partners
Massachusetts
$1.2M

Top Sellers

1
CS
1
Credit Suisse
Switzerland
$0
2
CCMLC
2
Cardinal Capital Management LLC (Connecticut)
Connecticut
$6.85M
3
NIMC
3
NWQ Investment Management Company
California
$3.68M
4
Invesco
4
Invesco
Georgia
$11.7M
5
AIU
5
Algebris Investments (UK)
United Kingdom
$386K
Name Market Value Shares Shares
Change 		Shares
Change %
ICAS
76
Investors Capital Advisory Services
Massachusetts
$391K 32,693 -6,152 -16%
AIU
77
Algebris Investments (UK)
United Kingdom
$386K 32,112 -150,719 -82%
Commonwealth Equity Services
78
Commonwealth Equity Services
Massachusetts
$360K 30,002 +709 +2%
D.E. Shaw & Co
79
D.E. Shaw & Co
New York
$358K 29,772 +19,200 +182%
State Street
80
State Street
Massachusetts
$340K 28,443 – –
SI
81
Stephens Inc
Arkansas
$326K 27,170 -198 -0.7%
Comerica Bank
82
Comerica Bank
Texas
$322K 26,420 -950 -3%
Citadel Advisors
83
Citadel Advisors
Florida
$318K 26,456 -3,434 -11%
WP
84
WealthSource Partners
California
$274K 22,853 +22,853 New
WRM
85
Westport Resources Management
Connecticut
$254K 21,164 -2,823 -12%
TAM
86
Trillium Asset Management
Massachusetts
$234K 19,500 +19,500 New
JPMorgan Chase & Co
87
JPMorgan Chase & Co
New York
$225K 18,721 -16,380 -47%
MCM
88
McKinley Capital Management
Alaska
$223K 18,576 -303 -2%
WA
89
WealthTrust Axiom
Pennsylvania
$222K 18,500 – –
GWM
90
Gupta Wealth Management
California
$214K 17,821 – –
SWP
91
Stratos Wealth Partners
Ohio
$200K 16,635 +5,925 +55%
SG Americas Securities
92
SG Americas Securities
New York
$188K 15,660 +6,202 +66%
Lido Advisors
93
Lido Advisors
California
$183K 15,222 +15,222 New
PI
94
PineBridge Investments
New York
$181K 15,068 +2,913 +24%
LTFS
95
Ladenburg Thalmann Financial Services
Florida
$180K 14,859 +1,645 +12%
1GA
96
1st Global Advisors
Texas
$177K 14,748 +3,757 +34%
KCM
97
Kempner Capital Management
Texas
$171K 14,200 – –
RCM
98
Radcliffe Capital Management
Pennsylvania
$161K 13,400 – –
BTS
99
BB&T Securities
Virginia
$154K 12,861 -500 -4%
CA
100
Cetera Advisors
Colorado
$148K 12,363 -54,066 -81%
2 3
4
5 6