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Hercules Capital
HTGC

Overview Fund Activity

138 hedge funds and large institutions have $377M invested in Hercules Capital in 2014 Q3 according to their latest regulatory filings, with 17 funds opening new positions, 56 increasing their positions, 47 reducing their positions, and 31 closing their positions.

Holders
138
Holders Change
-14
Holders Change %
-9.21%
% of All Funds
4.01%
Holding in Top 10
3
Holding in Top 10 Change
-1
Holding in Top 10 Change %
-25%
% of All Funds
0.09%
New
17
Increased
56
Reduced
47
Closed
31
Calls
–
Puts
$1.27M
Net Calls
-$1.27M
Net Calls Change
+$271K

Top Buyers

1
EAM
1
Edge Asset Management
Washington
$22.9M
2
NIMC
2
NWQ Investment Management Company
California
$6.22M
3
LSV Asset Management
3
LSV Asset Management
Illinois
$15.1M
4
ZDA
4
Zweig-DiMenna Associates
New York
$1.34M
5
LTI
5
Laffer Tengler Investments
Tennessee
$11M

Top Sellers

1
DCM
1
Driehaus Capital Management
Illinois
$0
2
Northern Trust
2
Northern Trust
Illinois
$3.65M
3
Morgan Stanley
3
Morgan Stanley
New York
$9.39M
4
Deutsche Bank
4
Deutsche Bank
Germany
$2.74M
5
PP
5
Paloma Partners
Connecticut
$0
Name Market Value Shares Shares
Change 		Shares
Change %
CIBC Private Wealth Group
101
CIBC Private Wealth Group
Georgia
$225K 15,519 +560 +4%
LTFS
102
Ladenburg Thalmann Financial Services
Florida
$207K 14,347 -1,526 -10%
TRCT
103
Tower Research Capital (TRC)
New York
$206K 14,257 +10,898 +324%
KCM
104
Kempner Capital Management
Texas
$205K 14,200 +2,000 +16%
Ameriprise
105
Ameriprise
Minnesota
$204K 14,112 -1,066 -7%
SWP
106
Stratos Wealth Partners
Ohio
$197K 13,660 -9,115 -40%
TC
107
TFS Capital
Pennsylvania
$186K 12,843 +12,843 New
VKH
108
Virtu KCG Holdings
New York
$182K 12,586 +12,586 New
LP
109
LMR Partners
United Kingdom
$172K 11,871 -160,037 -93%
M&T Bank
110
M&T Bank
New York
$171K 11,853 +11,041 +1,360%
OC
111
Oppenheimer & Co
New York
$153K 10,550 -1,250 -11%
BIG
112
Blackthorn Investment Group
Kansas
$147K 10,200 -36,029 -78%
QIM
113
Quest Investment Management
Oregon
$145K 10,000 – –
Nisa Investment Advisors
114
Nisa Investment Advisors
Missouri
$145K 10,000 – –
NSIM
115
North Star Investment Management
Illinois
$123K 8,500 – –
US Bancorp
116
US Bancorp
Minnesota
$118K 8,125 -2,380 -23%
NFG
117
Next Financial Group
Texas
$110K 7,600 – –
MHS
118
M Holdings Securities
Oregon
$83K 5,734 +5,734 New
HCM
119
Highlander Capital Management
New Jersey
$80K 5,532 – –
Lazard Asset Management
120
Lazard Asset Management
New York
$72K 5,000 – –
PG
121
PEAK6 Group
Illinois
$70K 4,875 -9,263 -66%
Bank of Montreal
122
Bank of Montreal
Ontario, Canada
$64K 4,407 -1,540 -26%
WA
123
Waverly Advisors
Alabama
$42K 2,927 – –
FMT
124
First Mercantile Trust
Tennessee
$27K 1,837 +1,837 New
FCCM
125
First City Capital Management
Georgia
$19.8K 800 +800 New
3 4
5
6 7