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Hercules Capital
HTGC

Overview Fund Activity

144 hedge funds and large institutions have $12.5B invested in Hercules Capital in 2014 Q4 according to their latest regulatory filings, with 26 funds opening new positions, 49 increasing their positions, 44 reducing their positions, and 19 closing their positions.

Holders
144
Holders Change
+6
Holders Change %
+4.35%
% of All Funds
3.84%
Holding in Top 10
3
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.08%
New
26
Increased
49
Reduced
44
Closed
19
Calls
–
Puts
$912K
Net Calls
-$912K
Net Calls Change
+$358K

Top Buyers

1
UBS Group
1
UBS Group
Switzerland
$21.3M
2
MC
2
Muzinich & Co
New York
$5.1M
3
Loomis, Sayles & Company
3
Loomis, Sayles & Company
Massachusetts
$12.9M
4
CIP
4
Chartwell Investment Partners
Pennsylvania
$3.11M
5
BF
5
BOK Financial
Oklahoma
$2.44M

Top Sellers

1
LTI
1
Laffer Tengler Investments
Tennessee
$12.2B
2
Robeco Institutional Asset Management
2
Robeco Institutional Asset Management
Netherlands
$7.02M
3
AAM
3
Advisors Asset Management
Colorado
$4.71M
4
Goldman Sachs
4
Goldman Sachs
New York
$1.66M
5
Susquehanna International Group
5
Susquehanna International Group
Pennsylvania
$720K
Name Market Value Shares Shares
Change 		Shares
Change %
GCP
101
GSA Capital Partners
United Kingdom
$274K 18,400 -4,500 -20%
CAN
102
Cetera Advisor Networks
California
$274K 18,418 -260 -1%
SG Americas Securities
103
SG Americas Securities
New York
$266K 17,900 -2,166 -11%
AQR Capital Management
104
AQR Capital Management
Connecticut
$238K 15,970 – –
KCM
105
Kempner Capital Management
Texas
$211K 14,200 – –
Ameriprise
106
Ameriprise
Minnesota
$210K 14,118 +6 +0%
AG
107
Aperio Group
California
$203K 13,648 +13,648 New
PNC Financial Services Group
108
PNC Financial Services Group
Pennsylvania
$194K 12,979 -6,910 -35%
M&T Bank
109
M&T Bank
New York
$192K 12,933 +1,080 +9%
BW
110
Bison Wealth
Georgia
$188K 12,647 +12,647 New
TRCT
111
Tower Research Capital (TRC)
New York
$164K 11,014 -3,243 -23%
OC
112
Oppenheimer & Co
New York
$157K 10,550 – –
CIA
113
Capital Impact Advisors
Massachusetts
$153K 10,269 – –
QIM
114
Quest Investment Management
Oregon
$149K 10,000 – –
LTFS
115
Ladenburg Thalmann Financial Services
Florida
$140K 9,436 -4,911 -34%
NSIM
116
North Star Investment Management
Illinois
$126K 8,500 – –
Creative Planning
117
Creative Planning
Kansas
$117K 7,839 -12,433 -61%
US Bancorp
118
US Bancorp
Minnesota
$101K 6,825 -1,300 -16%
HCM
119
Highlander Capital Management
New Jersey
$82K 5,532 – –
Lazard Asset Management
120
Lazard Asset Management
New York
$74K 5,000 – –
PI
121
PineBridge Investments
New York
$72K 4,858 +4,858 New
Bank of Montreal
122
Bank of Montreal
Ontario, Canada
$66K 4,407 – –
AIM
123
Advantage Investment Management
Iowa
$63K 4,200 +4,200 New
NPC
124
National Planning Corporation
California
$59.3K 4,060 +4,060 New
CPIG
125
Chicago Partners Investment Group
Illinois
$59K 3,984 +3,984 New
3 4
5
6 7