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Hercules Capital
HTGC

Overview Fund Activity

143 hedge funds and large institutions have $346M invested in Hercules Capital in 2016 Q1 according to their latest regulatory filings, with 16 funds opening new positions, 49 increasing their positions, 48 reducing their positions, and 19 closing their positions.

Holders
143
Holders Change
-3
Holders Change %
-2.05%
% of All Funds
3.82%
Holding in Top 10
3
Holding in Top 10 Change
+1
Holding in Top 10 Change %
+50%
% of All Funds
0.08%
New
16
Increased
49
Reduced
48
Closed
19
Calls
$732K
Puts
$209K
Net Calls
+$523K
Net Calls Change
+$476K

Top Buyers

1
NC
1
Northpointe Capital
Michigan
$12.9M
2
Royal Bank of Canada
2
Royal Bank of Canada
Ontario, Canada
$20.1M
3
Wellington Management Group
3
Wellington Management Group
Massachusetts
$16.9M
4
Goldman Sachs
4
Goldman Sachs
New York
$2.08M
5
CCP
5
Clough Capital Partners
Massachusetts
$1.2M

Top Sellers

1
CS
1
Credit Suisse
Switzerland
$0
2
CCMLC
2
Cardinal Capital Management LLC (Connecticut)
Connecticut
$6.85M
3
NIMC
3
NWQ Investment Management Company
California
$3.68M
4
Invesco
4
Invesco
Georgia
$11.7M
5
AIU
5
Algebris Investments (UK)
United Kingdom
$386K
Name Market Value Shares Shares
Change 		Shares
Change %
QIM
101
Quest Investment Management
Oregon
$135K 11,200 – –
HighTower Advisors
102
HighTower Advisors
Illinois
$133K 11,066 -3,485 -24%
California Public Employees Retirement System
103
California Public Employees Retirement System
California
$125K 10,400 -6,200 -37%
PAM
104
Princeton Alpha Management
New Jersey
$124K 10,292 -6,886 -40%
Barclays
105
Barclays
United Kingdom
$121K 10,056 +2,356 +31%
CIA
106
Capital Investment Advisors
Georgia
$118K 9,857 +9,857 New
AAM
107
Advisors Asset Management
Colorado
$113K 9,393 -29,714 -76%
WA
108
WFG Advisors
Texas
$110K 9,200 +9,200 New
ASN
109
Advisory Services Network
Georgia
$105K 8,768 +207 +2%
NSIM
110
North Star Investment Management
Illinois
$102K 8,500 – –
MFS
111
MSI Financial Services
Massachusetts
$90K 7,529 +2,209 +42%
Envestnet Asset Management
112
Envestnet Asset Management
Illinois
$87K 7,281 -694 -9%
Bank of Montreal
113
Bank of Montreal
Ontario, Canada
$87K 7,206 +1 +0%
Lazard Asset Management
114
Lazard Asset Management
New York
$84K 7,000 – –
AIM
115
Advantage Investment Management
Iowa
$73K 6,042 – –
First Manhattan
116
First Manhattan
New York
$63K 5,300 – –
Creative Planning
117
Creative Planning
Kansas
$62K 5,195 -5,900 -53%
HCM
118
Highlander Capital Management
New Jersey
$54K 4,532 – –
CPIG
119
Chicago Partners Investment Group
Illinois
$51K 4,271 +63 +1%
GWM
120
Geneos Wealth Management
Colorado
$44K 3,595 +3,595 New
JFA
121
JNBA Financial Advisors
Minnesota
$43K 3,600 +3,600 New
LNB
122
Ledyard National Bank
$36K 3,000 +3,000 New
SEI Investments
123
SEI Investments
Pennsylvania
$32K 2,704 +942 +53%
HNB
124
Huntington National Bank
Ohio
$27K 2,032 +2,032 New
Manulife (Manufacturers Life Insurance)
125
Manulife (Manufacturers Life Insurance)
Ontario, Canada
$26K 2,152 – –
3 4
5
6 7