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Hercules Capital

148 hedge funds and large institutions have $430M invested in Hercules Capital in 2016 Q3 according to their latest regulatory filings, with 19 funds opening new positions, 67 increasing their positions, 39 reducing their positions, and 13 closing their positions.

New
Increased
Maintained
Reduced
Closed

72% more repeat investments, than reductions

Existing positions increased: 67 | Existing positions reduced: 39

66% more call options, than puts

Call options by funds: $509K | Put options by funds: $307K

46% more first-time investments, than exits

New positions opened: 19 | Existing positions closed: 13

14% more capital invested

Capital invested by funds: $377M → $430M (+$53.8M)

1.25% more ownership

Funds ownership: 41.16%42.41% (+1.3%)

1% more funds holding

Funds holding: 147148 (+1)

33% less funds holding in top 10

Funds holding in top 10: 32 (-1)

Holders
148
Holders Change
+1
Holders Change %
+0.68%
% of All Funds
3.95%
Holding in Top 10
2
Holding in Top 10 Change
-1
Holding in Top 10 Change %
-33.33%
% of All Funds
0.05%
New
19
Increased
67
Reduced
39
Closed
13
Calls
$509K
Puts
$307K
Net Calls
+$202K
Net Calls Change
-$1.05M
Name Holding Trade Value Shares
Change
Change in
Stake
SWP
101
Stratos Wealth Partners
Ohio
$213K -$12K -900 -5%
WA
102
Wasatch Advisors
Utah
$212K +$4.61K +346 +2%
GH
103
GAM Holding
Switzerland
$211K +$208K +15,595 New
Lido Advisors
104
Lido Advisors
California
$206K
ASN
105
Advisory Services Network
Georgia
$205K +$54.8K +4,114 +37%
1GA
106
1st Global Advisors
Texas
$203K +$1.55K +116 +0.8%
BTS
107
BB&T Securities
Virginia
$196K +$21.3K +1,600 +12%
SG Americas Securities
108
SG Americas Securities
New York
$193K -$17.3K -1,300 -8%
KCM
109
Kempner Capital Management
Texas
$193K
SEI Investments
110
SEI Investments
Pennsylvania
$186K +$64.5K +4,838 +54%
QIM
111
Quest Investment Management
Oregon
$175K
NPC
112
National Planning Corporation
California
$174K +$177K +13,245 New
CA
113
Cetera Advisors
Colorado
$164K -$1.03K -77 -0.6%
HighTower Advisors
114
HighTower Advisors
Illinois
$161K -$600 -45 -0.4%
UCFA
115
United Capital Financial Advisors
Texas
$145K +$142K +10,677 New
BC
116
Brinker Capital
Pennsylvania
$138K -$2.96M -221,843 -96%
WA
117
WFG Advisors
Texas
$135K -$16.7K -1,250 -11%
NSIM
118
North Star Investment Management
Illinois
$115K
TRCT
119
Tower Research Capital (TRC)
New York
$111K +$92.9K +6,970 +592%
Bank of Montreal
120
Bank of Montreal
Ontario, Canada
$98K +$13 +1 +0%
Lazard Asset Management
121
Lazard Asset Management
New York
$94K
MFS
122
MSI Financial Services
Massachusetts
$92K +$1.09K +82 +1%
Manulife (Manufacturers Life Insurance)
123
Manulife (Manufacturers Life Insurance)
Ontario, Canada
$71K +$25.8K +1,933 +58%
JP Morgan Chase
124
JP Morgan Chase
New York
$68K -$52.2K -3,919 -44%
GWM
125
Geneos Wealth Management
Colorado
$65K +$12K +900 +23%