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Hercules Capital
HTGC

Overview Fund Activity

150 hedge funds and large institutions have $422M invested in Hercules Capital in 2017 Q3 according to their latest regulatory filings, with 21 funds opening new positions, 52 increasing their positions, 52 reducing their positions, and 32 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
150
Holders Change
-15
Holders Change %
-9.09%
% of All Funds
3.75%
Holding in Top 10
1
Holding in Top 10 Change
-1
Holding in Top 10 Change %
-50%
% of All Funds
0.02%
New
21
Increased
52
Reduced
52
Closed
32
Calls
$927K
Puts
$919K
Net Calls
+$8K
Net Calls Change
+$225K

Top Buyers

1
AM
1
Ares Management
California
$14M
2
Two Sigma Investments
2
Two Sigma Investments
New York
$4.17M
3
Millennium Management
3
Millennium Management
New York
$4.42M
4
Morgan Stanley
4
Morgan Stanley
New York
$9.28M
5
NC
5
Northpointe Capital
Michigan
$10.7M

Top Sellers

1
MC
1
Muzinich & Co
New York
$40.7M
2
GIP
2
Granite Investment Partners
California
$0
3
LSV Asset Management
3
LSV Asset Management
Illinois
$6.04M
4
CCMLC
4
Cardinal Capital Management LLC (Connecticut)
Connecticut
$3.35M
5
AllianceBernstein
5
AllianceBernstein
Tennessee
$9.08M
Name Holding Trade Value Shares
Change 		Shares
Change %
CIBC World Market
76
CIBC World Market
Ontario, Canada
$457K -$27.6K -2,142 -6%
NSIM
77
North Star Investment Management
Illinois
$442K +$14.2K +1,100 +3%
CC
78
Cipher Capital
New York
$433K -$340K -26,323 -44%
Tudor Investment Corp
79
Tudor Investment Corp
Connecticut
$409K – – –
SEI Investments
80
SEI Investments
Pennsylvania
$354K +$108K +8,363 +44%
Citigroup
81
Citigroup
New York
$344K +$336 +26 +0.1%
BSG
82
Black Swift Group
Colorado
$342K – – –
SI
83
Stephens Inc
Arkansas
$336K -$24K -1,866 -7%
Creative Planning
84
Creative Planning
Kansas
$303K -$87.6K -6,780 -22%
CSS
85
Cubist Systematic Strategies
Connecticut
$302K +$302K +23,404 New
State Street
86
State Street
Massachusetts
$300K +$6.25K +485 +2%
NL
87
NWAM LLC
Washington
$296K +$296K +22,950 New
TG
88
TCW Group
California
$287K – – –
RJFSA
89
Raymond James Financial Services Advisors
Florida
$266K -$130K -10,091 -33%
LCM
90
Landscape Capital Management
New Jersey
$261K +$261K +20,218 New
PAG
91
Private Advisor Group
New Jersey
$240K – – –
Comerica Bank
92
Comerica Bank
Texas
$221K -$47.1K -3,755 -18%
SWP
93
Stratos Wealth Partners
Ohio
$217K +$16.8K +1,300 +8%
SG Americas Securities
94
SG Americas Securities
New York
$207K -$688K -53,415 -77%
AIMCA
95
Alberta Investment Management Corp (AIMCo)
Alberta, Canada
$207K -$649K -50,159 -76%
QIM
96
Quest Investment Management
Oregon
$205K – – –
MF
97
Magnetar Financial
Illinois
$204K -$5.87K -456 -3%
BC
98
Brinker Capital
Pennsylvania
$197K +$530 +41 +0.3%
LPL Financial
99
LPL Financial
California
$195K -$279K -21,629 -59%
Balyasny Asset Management
100
Balyasny Asset Management
Illinois
$195K +$195K +15,142 New
2 3
4
5 6