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Hercules Capital
HTGC

Overview Fund Activity

133 hedge funds and large institutions have $7.68B invested in Hercules Capital in 2013 Q3 according to their latest regulatory filings, with 17 funds opening new positions, 51 increasing their positions, 42 reducing their positions, and 10 closing their positions.

Holders
133
Holders Change
+5
Holders Change %
+3.91%
% of All Funds
4.31%
Holding in Top 10
3
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.1%
New
17
Increased
51
Reduced
42
Closed
10
Calls
$920K
Puts
$522K
Net Calls
+$398K
Net Calls Change
-$217K

Top Buyers

1
EAM
1
Edge Asset Management
Washington
$20M
2
Robeco Institutional Asset Management
2
Robeco Institutional Asset Management
Netherlands
$8.33M
3
DCM
3
Driehaus Capital Management
Illinois
$6.07M
4
LSV Asset Management
4
LSV Asset Management
Illinois
$6.71M
5
BFA
5
BlackRock Fund Advisors
California
$24.5M

Top Sellers

1
DRZID
1
DePrince Race & Zollo Inc (DRZ)
Florida
$16M
2
MSA
2
Mason Street Advisors
Wisconsin
$0
3
UOC
3
UBS O'Connor
Illinois
$0
4
LTI
4
Laffer Tengler Investments
Tennessee
$7.17B
5
CCMLC
5
Cardinal Capital Management LLC (Connecticut)
Connecticut
$13.3M
Name Market Value Shares Shares
Change 		Shares
Change %
Citadel Advisors
101
Citadel Advisors
Florida
$314K 20,593 +9,692 +89%
PP
102
PDT Partners
New York
$267K 17,525 +17,525 New
BNP Paribas Financial Markets
103
BNP Paribas Financial Markets
France
$258K 16,903 -4,889 -22%
Ameriprise
104
Ameriprise
Minnesota
$242K 15,878 +11,951 +304%
MA
105
MCF Advisors
Kentucky
$198K 12,250 +250 +2%
CAN
106
Cetera Advisor Networks
California
$167K 10,923 +10,923 New
PI
107
Placemark Investments
Illinois
$165K 10,834 +10,834 New
Nisa Investment Advisors
108
Nisa Investment Advisors
Missouri
$153K 10,000 +10,000 New
QIM
109
Quest Investment Management
Oregon
$152K 10,000 – –
TRCT
110
Tower Research Capital (TRC)
New York
$141K 9,214 +8,357 +975%
Teacher Retirement System of Texas
111
Teacher Retirement System of Texas
Texas
$120K 7,848 +3,768 +92%
HIM
112
Hillsdale Investment Management
Ontario, Canada
$113K 7,400 -1,150 -13%
Creative Planning
113
Creative Planning
Kansas
$103K 6,778 -200 -3%
Lazard Asset Management
114
Lazard Asset Management
New York
$76K 5,000 – –
MOACM
115
Mutual of America Capital Management
New York
$75K 4,908 +4,908 New
US Bancorp
116
US Bancorp
Minnesota
$73K 4,744 +744 +19%
LTFS
117
Ladenburg Thalmann Financial Services
Florida
$68K 4,466 -792 -15%
Group One Trading
118
Group One Trading
Illinois
$64K 4,183 -2,200 -34%
ST
119
Spot Trading
Illinois
$55K 3,600 +3,600 New
Bank of Montreal
120
Bank of Montreal
Ontario, Canada
$54K 3,581 -700 -16%
PSC
121
Prentiss Smith & Co
Vermont
$46K 3,000 – –
California Public Employees Retirement System
122
California Public Employees Retirement System
California
$41K 2,713 – –
BlackRock
123
BlackRock
New York
$32K 2,160 – –
HNB
124
Huntington National Bank
Ohio
$30K 1,993 -298 -13%
PMFA
125
Plante Moran Financial Advisors
Michigan
$17K 1,082 – –
2 3 4
5
6