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Hercules Capital
HTGC

Overview Fund Activity

163 hedge funds and large institutions have $448M invested in Hercules Capital in 2017 Q4 according to their latest regulatory filings, with 33 funds opening new positions, 52 increasing their positions, 55 reducing their positions, and 19 closing their positions.

Holders
163
Holders Change
+13
Holders Change %
+8.67%
% of All Funds
3.7%
Holding in Top 10
5
Holding in Top 10 Change
+4
Holding in Top 10 Change %
+400%
% of All Funds
0.11%
New
33
Increased
52
Reduced
55
Closed
19
Calls
$356K
Puts
$1.29M
Net Calls
-$931K
Net Calls Change
-$939K

Top Buyers

1
SIS
1
Sound Income Strategies
Florida
$10.3M
2
Millennium Management
2
Millennium Management
New York
$11.2M
3
MWNA
3
Marshall Wace North America
New York
$7.34M
4
NC
4
Northpointe Capital
Michigan
$15.8M
5
PI
5
Putnam Investments
Massachusetts
$3M

Top Sellers

1
Principal Financial Group
1
Principal Financial Group
Iowa
$32.4M
2
MC
2
Muzinich & Co
New York
$36.2M
3
CCMLC
3
Cardinal Capital Management LLC (Connecticut)
Connecticut
$0
4
AR
4
Advisory Research
Illinois
$6.85M
5
SMDAM
5
Sumitomo Mitsui DS Asset Management
Japan
$6.48M
Name Market Value Shares Shares
Change 		Shares
Change %
Capital Fund Management (CFM)
76
Capital Fund Management (CFM)
France
$478K 36,400 -21,900 -38%
NSIM
77
North Star Investment Management
Illinois
$466K 35,500 +1,200 +3%
Goldman Sachs
78
Goldman Sachs
New York
$457K 34,821 -81,367 -70%
Bank of New York Mellon
79
Bank of New York Mellon
New York
$444K 33,876 +33,876 New
BSG
80
Black Swift Group
Colorado
$433K 33,000 +6,500 +25%
Tudor Investment Corp
81
Tudor Investment Corp
Connecticut
$416K 31,692 – –
AIP
82
ARS Investment Partners
New York
$394K 30,000 +30,000 New
CIBC World Market
83
CIBC World Market
Ontario, Canada
$393K 29,957 -5,499 -16%
IR
84
Invictus RG
Bermuda
$368K 28,066 +28,066 New
HIM
85
Hillsdale Investment Management
Ontario, Canada
$363K 27,700 +27,700 New
Creative Planning
86
Creative Planning
Kansas
$356K 27,101 +3,650 +16%
SI
87
Stephens Inc
Arkansas
$336K 25,601 -482 -2%
SEI Investments
88
SEI Investments
Pennsylvania
$334K 25,465 -2,036 -7%
SIA
89
Sit Investment Associates
Minnesota
$323K 24,650 +24,650 New
State Street
90
State Street
Massachusetts
$303K 23,168 -110 -0.5%
TG
91
TCW Group
California
$292K 22,302 – –
TI
92
Trexquant Investment
Connecticut
$288K 21,983 +21,983 New
Citigroup
93
Citigroup
New York
$284K 21,682 -4,908 -18%
SM
94
Salzhauer Michael
$262K 20,000 +5,000 +33%
Neuberger Berman Group
95
Neuberger Berman Group
New York
$249K 18,958 +18,958 New
RJFSA
96
Raymond James Financial Services Advisors
Florida
$242K 18,476 -2,166 -10%
GXMC
97
Global X Management Company
New York
$242K 18,461 +3,923 +27%
Wolverine Trading
98
Wolverine Trading
Illinois
$232K 17,666 +5,985 +51%
BCM
99
Bayesian Capital Management
New York
$232K 17,700 +17,700 New
Comerica Bank
100
Comerica Bank
Texas
$226K 17,204 -398 -2%
2 3
4
5 6