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Hercules Capital
HTGC

Overview Fund Activity

169 hedge funds and large institutions have $392M invested in Hercules Capital in 2019 Q1 according to their latest regulatory filings, with 32 funds opening new positions, 59 increasing their positions, 51 reducing their positions, and 31 closing their positions.

Holders
169
Holders Change
-2
Holders Change %
-1.17%
% of All Funds
3.66%
Holding in Top 10
5
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.11%
New
32
Increased
59
Reduced
51
Closed
31
Calls
$494K
Puts
$3.68M
Net Calls
-$3.19M
Net Calls Change
-$2.61M

Top Buyers

1
Royal Bank of Canada
1
Royal Bank of Canada
Ontario, Canada
$27.4M
2
JPMorgan Chase & Co
2
JPMorgan Chase & Co
New York
$25.3M
3
Goldman Sachs
3
Goldman Sachs
New York
$6.26M
4
SAMH
4
Shanda Asset Management Holdings
British Virgin Islands
$30.4M
5
Bank of Montreal
5
Bank of Montreal
Ontario, Canada
$3.84M

Top Sellers

1
AM
1
Ares Management
California
$7.33M
2
UBS Group
2
UBS Group
Switzerland
$16.6M
3
NC
3
Northpointe Capital
Michigan
$0
4
Loomis, Sayles & Company
4
Loomis, Sayles & Company
Massachusetts
$0
5
CFG
5
CNO Financial Group
Indiana
$0
Name Market Value Shares Shares
Change 		Shares
Change %
QIM
101
Quest Investment Management
Oregon
$201K 15,900 – –
Connor, Clark & Lunn Investment Management (CC&L)
102
Connor, Clark & Lunn Investment Management (CC&L)
British Columbia, Canada
$194K 15,300 -23,575 -61%
P
103
&Partners
Tennessee
$194K 15,350 +15,350 New
TC
104
Telemus Capital
Michigan
$190K 15,000 – –
FAAS
105
First Allied Advisory Services
California
$181K 14,356 -1,391 -9%
US Bancorp
106
US Bancorp
Minnesota
$175K 13,784 +1,544 +13%
GWM
107
Geneos Wealth Management
Colorado
$175K 13,850 +5,300 +62%
Squarepoint
108
Squarepoint
New York
$174K 13,743 +13,743 New
Comerica Bank
109
Comerica Bank
Texas
$172K 13,615 -2,179 -14%
Citigroup
110
Citigroup
New York
$172K 13,603 -1,676 -11%
FCI
111
Financial Counselors Inc
Kansas
$167K 13,115 – –
SIA
112
Sit Investment Associates
Minnesota
$166K 13,100 +3,500 +36%
AI
113
Atria Investments
North Carolina
$159K 12,578 +2,076 +20%
EGA
114
Eagle Global Advisors
Texas
$152K 11,980 +11,980 New
CFGS
115
Concourse Financial Group Securities
Alabama
$141K 11,173 +9,107 +441%
MFG
116
Magnus Financial Group
New York
$139K 11,000 +11,000 New
Verition Fund Management
117
Verition Fund Management
Connecticut
$133K 10,539 +10,539 New
SPC
118
Sigma Planning Corp
Michigan
$130K 10,262 -1,275 -11%
FNBOMD
119
First National Bank of Mount Dora
Florida
$128K 10,100 – –
PCM
120
Prelude Capital Management
New York
$127K 10,000 +10,000 New
KA
121
Kovack Advisors
Florida
$127K 10,057 +10,057 New
PI
122
PEAK6 Investments
Illinois
$116K 9,188 +9,188 New
ASN
123
Advisory Services Network
Georgia
$93K 7,326 -660 -8%
RE
124
RBC Europe
United Kingdom
$88.6K 7,000 – –
Lazard Asset Management
125
Lazard Asset Management
New York
$88K 7,000 – –
3 4
5
6 7