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Hercules Capital
HTGC

Overview Fund Activity

144 hedge funds and large institutions have $294M invested in Hercules Capital in 2015 Q3 according to their latest regulatory filings, with 26 funds opening new positions, 43 increasing their positions, 47 reducing their positions, and 22 closing their positions.

Holders
144
Holders Change
+4
Holders Change %
+2.86%
% of All Funds
4.02%
Holding in Top 10
2
Holding in Top 10 Change
+2
Holding in Top 10 Change %
%
% of All Funds
0.06%
New
26
Increased
43
Reduced
47
Closed
22
Calls
$332K
Puts
$588K
Net Calls
-$256K
Net Calls Change
-$183K

Top Buyers

1
LI
1
LMCG Investments
Massachusetts
$11.4M
2
CS
2
Credit Suisse
Switzerland
$7.59M
3
AllianceBernstein
3
AllianceBernstein
Tennessee
$14.6M
4
Citadel Advisors
4
Citadel Advisors
Florida
$3.38M
5
BC
5
Brinker Capital
Pennsylvania
$3.03M

Top Sellers

1
Invesco
1
Invesco
Georgia
$10.6M
2
UBS Group
2
UBS Group
Switzerland
$13.4M
3
Goldman Sachs
3
Goldman Sachs
New York
$499K
4
Northern Trust
4
Northern Trust
Illinois
$0
5
ACM
5
Ashford Capital Management
Delaware
$1.37M
Name Market Value Shares Shares
Change 		Shares
Change %
Envestnet Asset Management
101
Envestnet Asset Management
Illinois
$187K 18,523 +18,523 New
GWM
102
Gupta Wealth Management
California
$180K 17,821 – –
PAM
103
Princeton Alpha Management
New Jersey
$154K 15,211 +15,211 New
CSS
104
Cubist Systematic Strategies
Connecticut
$149K 14,691 -30,194 -67%
KCM
105
Kempner Capital Management
Texas
$144K 14,200 – –
LTFS
106
Ladenburg Thalmann Financial Services
Florida
$138K 13,615 +3,350 +33%
BTS
107
BB&T Securities
Virginia
$135K 13,361 -600 -4%
RCM
108
Radcliffe Capital Management
Pennsylvania
– – – –
BW
109
Bison Wealth
Georgia
$119K 11,799 -432 -4%
SWP
110
Stratos Wealth Partners
Ohio
$114K 11,300 +11,300 New
EAM
111
Eventide Asset Management
Massachusetts
$113K 11,200 +11,200 New
HighTower Advisors
112
HighTower Advisors
Illinois
$102K 10,218 -12,795 -56%
QIM
113
Quest Investment Management
Oregon
$101K 10,000 – –
PNC Financial Services Group
114
PNC Financial Services Group
Pennsylvania
$101K 10,000 +295 +3%
ASN
115
Advisory Services Network
Georgia
$89K 8,822 +8,822 New
NSIM
116
North Star Investment Management
Illinois
$86K 8,500 – –
Creative Planning
117
Creative Planning
Kansas
$71K 6,978 +6,978 New
Lazard Asset Management
118
Lazard Asset Management
New York
$70K 7,000 – –
AIM
119
Advantage Investment Management
Iowa
$61K 6,042 -54 -0.9%
HCM
120
Highlander Capital Management
New Jersey
$55K 5,532 – –
PI
121
PineBridge Investments
New York
$53K 5,217 +132 +3%
CPIG
122
Chicago Partners Investment Group
Illinois
$42K 4,145 +62 +2%
TRCT
123
Tower Research Capital (TRC)
New York
$41K 3,984 -7,661 -66%
KTC
124
Kistler-Tiffany Companies
Pennsylvania
$37K 3,663 – –
RIA
125
Regal Investment Advisors
Michigan
$19K 1,907 +7 +0.4%
3 4
5
6 7