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Hercules Capital
HTGC

Overview Fund Activity

157 hedge funds and large institutions have $449M invested in Hercules Capital in 2014 Q1 according to their latest regulatory filings, with 25 funds opening new positions, 70 increasing their positions, 36 reducing their positions, and 15 closing their positions.

Holders
157
Holders Change
+8
Holders Change %
+5.37%
% of All Funds
4.54%
Holding in Top 10
1
Holding in Top 10 Change
-2
Holding in Top 10 Change %
-66.67%
% of All Funds
0.03%
New
25
Increased
70
Reduced
36
Closed
15
Calls
$266K
Puts
$795K
Net Calls
-$529K
Net Calls Change
-$370K

Top Buyers

1
EAM
1
Edge Asset Management
Washington
$15.6M
2
Robeco Institutional Asset Management
2
Robeco Institutional Asset Management
Netherlands
$14.3M
3
PCM
3
Penn Capital Management
Pennsylvania
$2.46M
4
Morgan Stanley
4
Morgan Stanley
New York
$14.8M
5
BTS
5
BB&T Securities
Virginia
$9.48M

Top Sellers

1
IG
1
ING Group
Netherlands
$0
2
Vanguard Group
2
Vanguard Group
Pennsylvania
$2.09M
3
DCM
3
Driehaus Capital Management
Illinois
$0
4
Susquehanna International Group
4
Susquehanna International Group
Pennsylvania
$280K
5
Fuller & Thaler Asset Management
5
Fuller & Thaler Asset Management
California
$0
Name Holding Trade Value Shares
Change 		Shares
Change %
LPL Financial
101
LPL Financial
California
$423K -$553K -39,251 -57%
YMRC
102
Yorktown Management & Research Company
Virginia
$422K – – –
CIBC Private Wealth Group
103
CIBC Private Wealth Group
Georgia
$413K +$413K +28,381 New
Citadel Advisors
104
Citadel Advisors
Florida
$412K -$478K -34,016 -54%
TFA
105
Transamerica Financial Advisors
Florida
$410K +$97.9K +6,957 +31%
DC
106
Deere & Company
Illinois
$381K +$16.3K +1,155 +4%
UBS AM
107
UBS AM
Illinois
$348K – – –
CA
108
Cetera Advisors
Colorado
$344K +$2.79K +200 +0.8%
YP
109
Yellowstone Partners
Idaho
$328K +$21.1K +1,495 +7%
Natixis Advisors
110
Natixis Advisors
Massachusetts
$303K -$406K -28,838 -57%
Susquehanna International Group
111
Susquehanna International Group
Pennsylvania
$280K -$2.41M -171,149 -90%
TC
112
TFS Capital
Pennsylvania
$279K -$960K -68,293 -77%
Creative Planning
113
Creative Planning
Kansas
$278K +$30.1K +2,136 +12%
PAM
114
Princeton Alpha Management
New Jersey
$276K +$276K +19,603 New
ACM
115
Ativo Capital Management
Illinois
$250K +$41.3K +2,933 +20%
Commonwealth Equity Services
116
Commonwealth Equity Services
Massachusetts
$223K -$10.2K -726 -4%
AL
117
Airain Ltd
Guernsey
$223K +$223K +15,835 New
Ameriprise
118
Ameriprise
Minnesota
$214K -$12.2K -867 -5%
LTFS
119
Ladenburg Thalmann Financial Services
Florida
$208K +$125K +8,889 +152%
GCP
120
GSA Capital Partners
United Kingdom
$206K -$30.9K -2,200 -13%
CWM
121
Concert Wealth Management
California
$197K – – –
PI
122
Placemark Investments
Illinois
$176K +$4.56K +326 +3%
FA
123
FDx Advisors
Illinois
$176K +$176K +12,479 New
PG
124
PEAK6 Group
Illinois
$159K +$150K +10,668 +1,740%
California Public Employees Retirement System
125
California Public Employees Retirement System
California
$149K +$4.18K +300 +3%
3 4
5
6 7