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Hercules Capital
HTGC

Overview Fund Activity

146 hedge funds and large institutions have $352M invested in Hercules Capital in 2015 Q4 according to their latest regulatory filings, with 24 funds opening new positions, 46 increasing their positions, 57 reducing their positions, and 21 closing their positions.

Holders
146
Holders Change
+2
Holders Change %
+1.39%
% of All Funds
3.83%
Holding in Top 10
2
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.05%
New
24
Increased
46
Reduced
57
Closed
21
Calls
$366K
Puts
$319K
Net Calls
+$47K
Net Calls Change
+$303K

Top Buyers

1
Royal Bank of Canada
1
Royal Bank of Canada
Ontario, Canada
$17.4M
2
Wellington Management Group
2
Wellington Management Group
Massachusetts
$15.3M
3
Invesco
3
Invesco
Georgia
$14.5M
4
UBS Group
4
UBS Group
Switzerland
$17.6M
5
PTA
5
Pear Tree Advisors
Massachusetts
$1.46M

Top Sellers

1
Citadel Advisors
1
Citadel Advisors
Florida
$364K
2
Millennium Management
2
Millennium Management
New York
$875K
3
T. Rowe Price Associates
3
T. Rowe Price Associates
Maryland
$35.7M
4
PI
4
Putnam Investments
Massachusetts
$4.62M
5
MCA
5
Mendon Capital Advisors
Florida
$0
Name Market Value Shares Shares
Change 		Shares
Change %
PI
101
PineBridge Investments
New York
$148K 12,155 +6,938 +133%
TC
102
TFS Capital
Pennsylvania
$146K 11,952 +11,952 New
BW
103
Bison Wealth
Georgia
$144K 11,848 +49 +0.4%
QIM
104
Quest Investment Management
Oregon
$137K 11,200 +1,200 +12%
Creative Planning
105
Creative Planning
Kansas
$135K 11,095 +4,117 +59%
1GA
106
1st Global Advisors
Texas
$134K 10,991 +10,991 New
SWP
107
Stratos Wealth Partners
Ohio
$131K 10,710 -590 -5%
D.E. Shaw & Co
108
D.E. Shaw & Co
New York
$129K 10,572 -103,554 -91%
M&T Bank
109
M&T Bank
New York
$125K 10,225 +10,225 New
SG Americas Securities
110
SG Americas Securities
New York
$115K 9,458 -10,502 -53%
ASN
111
Advisory Services Network
Georgia
$104K 8,561 -261 -3%
NSIM
112
North Star Investment Management
Illinois
$104K 8,500 – –
Envestnet Asset Management
113
Envestnet Asset Management
Illinois
$97K 7,975 -10,548 -57%
Barclays
114
Barclays
United Kingdom
$92K 7,700 +7,700 New
Bank of Montreal
115
Bank of Montreal
Ontario, Canada
$88K 7,205 -52,868 -88%
Lazard Asset Management
116
Lazard Asset Management
New York
$85K 7,000 – –
AIM
117
Advantage Investment Management
Iowa
$74K 6,042 – –
MFS
118
MSI Financial Services
Massachusetts
$65K 5,320 +4,005 +305%
First Manhattan
119
First Manhattan
New York
$64K 5,300 +5,000 +1,667%
HCM
120
Highlander Capital Management
New Jersey
$55K 4,532 -1,000 -18%
CPIG
121
Chicago Partners Investment Group
Illinois
$51K 4,208 +63 +2%
PG
122
PEAK6 Group
Illinois
$42K 3,429 -38,369 -92%
IA
123
IFP Advisors
Florida
$31K 2,508 +2,508 New
CG
124
Cutler Group
California
$31K 2,604 +2,604 New
AIA
125
Allegis Investment Advisors
Idaho
$24K 2,000 +2,000 New
3 4
5
6 7