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Hercules Capital
HTGC

Overview Fund Activity

150 hedge funds and large institutions have $422M invested in Hercules Capital in 2017 Q3 according to their latest regulatory filings, with 21 funds opening new positions, 52 increasing their positions, 52 reducing their positions, and 32 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
150
Holders Change
-15
Holders Change %
-9.09%
% of All Funds
3.75%
Holding in Top 10
1
Holding in Top 10 Change
-1
Holding in Top 10 Change %
-50%
% of All Funds
0.02%
New
21
Increased
52
Reduced
52
Closed
32
Calls
$927K
Puts
$919K
Net Calls
+$8K
Net Calls Change
+$225K

Top Buyers

1
AM
1
Ares Management
California
$14M
2
Two Sigma Investments
2
Two Sigma Investments
New York
$4.17M
3
Millennium Management
3
Millennium Management
New York
$4.42M
4
Morgan Stanley
4
Morgan Stanley
New York
$9.28M
5
NC
5
Northpointe Capital
Michigan
$10.7M

Top Sellers

1
MC
1
Muzinich & Co
New York
$40.7M
2
GIP
2
Granite Investment Partners
California
$0
3
LSV Asset Management
3
LSV Asset Management
Illinois
$6.04M
4
CCMLC
4
Cardinal Capital Management LLC (Connecticut)
Connecticut
$3.35M
5
AllianceBernstein
5
AllianceBernstein
Tennessee
$9.08M
Name Holding Trade Value Shares
Change 		Shares
Change %
SM
101
Salzhauer Michael
$194K – – –
TC
102
Telemus Capital
Michigan
$194K +$194K +15,000 New
Squarepoint
103
Squarepoint
New York
$194K +$194K +15,050 New
Lido Advisors
104
Lido Advisors
California
$189K – – –
FCM
105
FJ Capital Management
Virginia
$188K +$11.3K +900 +6%
EGA
106
Eagle Global Advisors
Texas
$188K +$38.6K +3,000 +26%
GXMC
107
Global X Management Company
New York
$188K +$69.1K +5,342 +58%
KCM
108
Kempner Capital Management
Texas
$183K – – –
AI
109
Atria Investments
North Carolina
$178K +$178K +13,826 New
KI
110
Koch Industries
Kansas
$176K +$176K +13,637 New
FAAS
111
First Allied Advisory Services
California
$175K -$7.75K -604 -4%
CCP
112
Clough Capital Partners
Massachusetts
$173K +$173K +13,400 New
US Bancorp
113
US Bancorp
Minnesota
$172K -$185K -14,313 -52%
FCI
114
Financial Counselors Inc
Kansas
$168K +$17.4K +1,350 +12%
Wolverine Trading
115
Wolverine Trading
Illinois
$151K +$151K +11,681 New
CA
116
Cetera Advisors
Colorado
$144K +$11K +850 +8%
WA
117
WealthTrust Axiom
Pennsylvania
$141K -$32K -2,500 -19%
CIA
118
Capital Investment Advisors
Georgia
$130K +$130K +10,057 New
Manulife (Manufacturers Life Insurance)
119
Manulife (Manufacturers Life Insurance)
Ontario, Canada
$118K +$4.08K +317 +4%
JPMorgan Chase & Co
120
JPMorgan Chase & Co
New York
$116K +$49.6K +3,891 +75%
ASN
121
Advisory Services Network
Georgia
$107K +$1.04K +81 +1%
Lazard Asset Management
122
Lazard Asset Management
New York
$90K – – –
IA
123
IFP Advisors
Florida
$80K -$84.4K -6,503 -51%
JIR
124
James Investment Research
Ohio
$74K -$1.37M -106,275 -95%
GWM
125
Geneos Wealth Management
Colorado
$71K -$31.6K -2,485 -31%
3 4
5
6 7