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Hercules Capital
HTGC

Overview Fund Activity

163 hedge funds and large institutions have $448M invested in Hercules Capital in 2017 Q4 according to their latest regulatory filings, with 33 funds opening new positions, 52 increasing their positions, 55 reducing their positions, and 19 closing their positions.

Holders
163
Holders Change
+13
Holders Change %
+8.67%
% of All Funds
3.7%
Holding in Top 10
5
Holding in Top 10 Change
+4
Holding in Top 10 Change %
+400%
% of All Funds
0.11%
New
33
Increased
52
Reduced
55
Closed
19
Calls
$356K
Puts
$1.29M
Net Calls
-$931K
Net Calls Change
-$939K

Top Buyers

1
SIS
1
Sound Income Strategies
Florida
$10.3M
2
Millennium Management
2
Millennium Management
New York
$11.2M
3
MWNA
3
Marshall Wace North America
New York
$7.34M
4
NC
4
Northpointe Capital
Michigan
$15.8M
5
PI
5
Putnam Investments
Massachusetts
$3M

Top Sellers

1
Principal Financial Group
1
Principal Financial Group
Iowa
$32.4M
2
MC
2
Muzinich & Co
New York
$36.2M
3
CCMLC
3
Cardinal Capital Management LLC (Connecticut)
Connecticut
$0
4
AR
4
Advisory Research
Illinois
$6.85M
5
SMDAM
5
Sumitomo Mitsui DS Asset Management
Japan
$6.48M
Name Market Value Shares Shares
Change 		Shares
Change %
PAG
101
Private Advisor Group
New Jersey
$218K 16,699 -2,256 -12%
SG Americas Securities
102
SG Americas Securities
New York
$216K 16,487 +421 +3%
AI
103
Atria Investments
North Carolina
$216K 16,498 +2,672 +19%
JPMorgan Chase & Co
104
JPMorgan Chase & Co
New York
$214K 16,404 +7,300 +80%
AIMCA
105
Alberta Investment Management Corp (AIMCo)
Alberta, Canada
$210K 16,009 – –
QIM
106
Quest Investment Management
Oregon
$209K 15,900 – –
SWP
107
Stratos Wealth Partners
Ohio
$205K 15,625 -1,210 -7%
Lido Advisors
108
Lido Advisors
California
$199K 15,222 – –
TC
109
Telemus Capital
Michigan
$197K 15,000 – –
LPL Financial
110
LPL Financial
California
$195K 14,882 -253 -2%
EGA
111
Eagle Global Advisors
Texas
$192K 14,610 – –
Macquarie Group
112
Macquarie Group
Australia
$189K 14,400 +14,400 New
CC
113
Cipher Capital
New York
$187K 14,249 -19,270 -57%
KCM
114
Kempner Capital Management
Texas
$186K 14,200 – –
BC
115
Brinker Capital
Pennsylvania
$171K 13,068 -2,167 -14%
FCI
116
Financial Counselors Inc
Kansas
$171K 13,000 – –
GIM
117
Greenwich Investment Management
Connecticut
$163K 12,425 +12,425 New
FAAS
118
First Allied Advisory Services
California
$162K 12,398 -1,249 -9%
US Bancorp
119
US Bancorp
Minnesota
$159K 12,122 -1,189 -9%
NL
120
NWAM LLC
Washington
$155K 11,800 -11,150 -49%
CSS
121
Cubist Systematic Strategies
Connecticut
$150K 11,412 -11,992 -51%
MF
122
Magnetar Financial
Illinois
$148K 11,299 -4,547 -29%
Manulife (Manufacturers Life Insurance)
123
Manulife (Manufacturers Life Insurance)
Ontario, Canada
$141K 10,745 +1,570 +17%
CIA
124
Capital Investment Advisors
Georgia
$132K 10,057 – –
WA
125
WealthTrust Axiom
Pennsylvania
$131K 10,000 -1,000 -9%
3 4
5
6 7