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Hercules Capital
HTGC

Overview Fund Activity

288 hedge funds and large institutions have $549M invested in Hercules Capital in 2023 Q4 according to their latest regulatory filings, with 52 funds opening new positions, 114 increasing their positions, 62 reducing their positions, and 23 closing their positions.

Holders
288
Holders Change
+24
Holders Change %
+9.09%
% of All Funds
4.22%
Holding in Top 10
4
Holding in Top 10 Change
-2
Holding in Top 10 Change %
-33.33%
% of All Funds
0.06%
New
52
Increased
114
Reduced
62
Closed
23
Calls
$17.3M
Puts
$5.69M
Net Calls
+$11.6M
Net Calls Change
+$2.3M

Top Buyers

1
Morgan Stanley
1
Morgan Stanley
New York
$34.1M
2
Marshall Wace
2
Marshall Wace
United Kingdom
$30.2M
3
VanEck Associates
3
VanEck Associates
New York
$40.3M
4
Goldman Sachs
4
Goldman Sachs
New York
$4.09M
5
Royal Bank of Canada
5
Royal Bank of Canada
Ontario, Canada
$12.1M

Top Sellers

1
MHI
1
Miller Howard Investments
New York
$4.5M
2
LSV Asset Management
2
LSV Asset Management
Illinois
$0
3
UBS Group
3
UBS Group
Switzerland
$2.86M
4
Two Sigma Investments
4
Two Sigma Investments
New York
$6.59M
5
CF
5
Centaurus Financial
California
$4.08M
Name Market Value Shares Shares
Change 		Shares
Change %
EFS
101
Essex Financial Services
Connecticut
$741K 44,472 +3,042 +7%
BA
102
Bristlecone Advisors
Washington
$702K 42,118 – –
ASN
103
Advisory Services Network
Georgia
$692K 41,536 -4,086 -9%
PIWA
104
Prevail Innovative Wealth Advisors
Kansas
$677K 40,592 +40,592 New
NSIM
105
North Star Investment Management
Illinois
$673K 40,388 -906 -2%
US Bancorp
106
US Bancorp
Minnesota
$672K 40,331 +1,596 +4%
AA
107
ALPS Advisors
Colorado
$652K 39,100 +400 +1%
AIM
108
Access Investment Management
Georgia
$637K 38,200 +38,200 New
Verition Fund Management
109
Verition Fund Management
Connecticut
$618K 37,100 +23,500 +173%
Truist Financial
110
Truist Financial
North Carolina
$615K 36,884 -3,589 -9%
SS
111
Simplicity Solutions
Minnesota
$613K 36,792 +36,792 New
BFG
112
Bleakley Financial Group
New Jersey
$613K 36,792 +36,792 New
PWM
113
Palumbo Wealth Management
New York
$600K 36,000 – –
DI
114
Diligent Investors
California
$572K 34,327 +22 +0.1%
Lido Advisors
115
Lido Advisors
California
$557K 33,414 +33,414 New
MCP
116
Mirador Capital Partners
California
$555K 33,270 -15,020 -31%
WG
117
Winton Group
United Kingdom
$543K 32,577 +9,668 +42%
AIC
118
Archer Investment Corporation
Indiana
$542K 32,513 +3 +0%
FFWM
119
Future Financial Wealth Management
Ohio
$522K 31,300 – –
1IA
120
1620 Investment Advisors
Massachusetts
$502K 30,107 -5,477 -15%
CAPTRUST Financial Advisors
121
CAPTRUST Financial Advisors
North Carolina
$496K 29,757 -6,877 -19%
SWP
122
Significant Wealth Partners
Illinois
$494K 29,658 +29,658 New
FNBOMD
123
First National Bank of Mount Dora
Florida
$488K 29,246 – –
EGA
124
Eagle Global Advisors
Texas
$487K 29,230 – –
GC
125
Guggenheim Capital
Illinois
$480K 28,811 +1,084 +4%
3 4
5
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