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Hercules Capital
HTGC

177 hedge funds and large institutions have $466M invested in Hercules Capital in 2019 Q3 according to their latest regulatory filings, with 22 funds opening new positions, 67 increasing their positions, 48 reducing their positions, and 30 closing their positions.

New
Increased
Maintained
Reduced
Closed

40% more repeat investments, than reductions

Existing positions increased: 67 | Existing positions reduced: 48

3% more capital invested

Capital invested by funds: $452M → $466M (+$14.5M)

0% more funds holding in top 10

Funds holding in top 10: 4 → 4 (0)

0.38% less ownership

Funds ownership: 33.81% → 33.43% (-0.38%)

5% less funds holding

Funds holding: 186 → 177 (-9)

27% less first-time investments, than exits

New positions opened: 22 | Existing positions closed: 30

92% less call options, than puts

Call options by funds: $152K | Put options by funds: $1.83M

Holders
177
Holders Change
-9
Holders Change %
-4.84%
% of All Funds
3.88%
Holding in Top 10
4
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.09%
New
22
Increased
67
Reduced
48
Closed
30
Calls
$152K
Puts
$1.83M
Net Calls
-$1.68M
Net Calls Change
+$1.05M

Top Buyers

Rank Fund Capital Flow
1
Citadel Advisors
Citadel Advisors
Florida
+$3.69M
2
SIS
Sound Income Strategies
Florida
+$3.01M
3
MPAM
Monarch Partners Asset Management
Massachusetts
+$1.89M
4
BlackRock
BlackRock
New York
+$1.66M
5
Macquarie Group
Macquarie Group
Australia
+$1.4M

Top Sellers

Rank Fund Capital Flow
1
Millennium Management
Millennium Management
New York
-$3.12M
2
UBS Group
UBS Group
Switzerland
-$2.18M
3
PI
Putnam Investments
Massachusetts
-$2.13M
4
GIM
Greenwich Investment Management
Connecticut
-$1.5M
5
JP Morgan Chase
JP Morgan Chase
New York
-$1.49M
Name Holding Trade Value Shares
Change 		Change in
Stake
SEI Investments
101
SEI Investments
Pennsylvania
$227K -$7.01K -537 -3%
AIMCA
102
Alberta Investment Management Corp (AIMCo)
Alberta, Canada
$214K – – –
CIBC World Market
103
CIBC World Market
Ontario, Canada
$205K -$3.34K -256 -2%
QIM
104
Quest Investment Management
Oregon
$205K – – –
TC
105
Telemus Capital
Michigan
$201K – – –
GWM
106
Geneos Wealth Management
Colorado
$199K +$13.1K +1,000 +7%
Ameriprise
107
Ameriprise
Minnesota
$195K +$191K +14,631 New
CA
108
Calton & Associates
Florida
$185K +$181K +13,844 New
US Bancorp
109
US Bancorp
Minnesota
$181K -$7.73K -592 -4%
FAAS
110
First Allied Advisory Services
California
$181K +$11.7K +900 +7%
KA
111
Kovack Advisors
Florida
$180K +$13.2K +1,012 +8%
FCI
112
Financial Counselors Inc
Kansas
$175K -$522 -40 -0.3%
SIA
113
Sit Investment Associates
Minnesota
$175K – – –
Citigroup
114
Citigroup
New York
$167K -$4.96K -380 -3%
CANY
115
Caxton Associates (New York)
New York
$162K +$158K +12,119 New
QC
116
Quadrature Capital
United Kingdom
$161K +$157K +12,018 New
VAS
117
Vestmark Advisory Solutions
Massachusetts
$161K +$157K +12,044 New
CBA
118
Coastal Bridge Advisors
Connecticut
$151K +$147K +11,271 New
MFG
119
Magnus Financial Group
New York
$147K – – –
GCP
120
GSA Capital Partners
United Kingdom
$143K -$189K -14,513 -57%
Comerica Bank
121
Comerica Bank
Texas
$140K -$30.3K -2,322 -18%
SAS
122
Stelac Advisory Services
New York
$140K – – –
FNBOMD
123
First National Bank of Mount Dora
Florida
$135K – – –
PCM
124
Prelude Capital Management
New York
$123K +$19.6K +1,500 +19%
ASN
125
Advisory Services Network
Georgia
$98K – – –
3 4
5
6 7

HTGC Hedge Fund Activity: Q3 2019 in Review

177 of the 4,560 institutional investors tracked by Wall St. Rank reported a position in Hercules Capital (HTGC) for Q3 2019, worth a combined $466M — up 3.2% from $452M a quarter earlier.

Sellers outnumbered buyers: 30 funds closed out of HTGC and 22 opened new positions — a net loss of 8 holders — while 48 trimmed existing stakes and 67 added.

The largest buyer was Citadel Advisors, adding an estimated $3.69M. The largest seller was Millennium Management, cutting an estimated $3.12M.

  • 177 institutional investors held Hercules Capital (HTGC) as of Q3 2019, down from 186 in Q2 2019.
  • Funds reported $466M of Hercules Capital stock for Q3 2019, up 3.2% quarter-over-quarter.
  • 22 funds opened new Hercules Capital positions in Q3 2019 and 30 closed out, a net change of -8 holders.
  • The largest Hercules Capital buyer in Q3 2019 was Citadel Advisors, an estimated $3.69M added.
  • The largest Hercules Capital seller in Q3 2019 was Millennium Management, an estimated $3.12M sold.

Based on aggregated 13F filings for Q3 2019.