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Hercules Capital
HTGC

Overview Fund Activity

152 hedge funds and large institutions have $477M invested in Hercules Capital in 2014 Q2 according to their latest regulatory filings, with 28 funds opening new positions, 70 increasing their positions, 35 reducing their positions, and 33 closing their positions.

Holders
152
Holders Change
-5
Holders Change %
-3.18%
% of All Funds
4.37%
Holding in Top 10
4
Holding in Top 10 Change
+3
Holding in Top 10 Change %
+300%
% of All Funds
0.12%
New
28
Increased
70
Reduced
35
Closed
33
Calls
$281K
Puts
$1.82M
Net Calls
-$1.54M
Net Calls Change
-$1.01M

Top Buyers

1
AllianceBernstein
1
AllianceBernstein
Tennessee
$9.9M
2
DCM
2
Driehaus Capital Management
Illinois
$8.03M
3
LSV Asset Management
3
LSV Asset Management
Illinois
$14.7M
4
GC
4
Guggenheim Capital
Illinois
$7.25M
5
U
5
UBS
Switzerland
$23.6M

Top Sellers

1
Comerica Bank
1
Comerica Bank
Texas
$3.03M
2
BFA
2
BlackRock Fund Advisors
California
$0
3
State Street
3
State Street
Massachusetts
$576K
4
Northern Trust
4
Northern Trust
Illinois
$11.4M
5
BIT
5
BlackRock Institutional Trust
California
$0
Name Market Value Shares Shares
Change 		Shares
Change %
QIM
126
Quest Investment Management
Oregon
$162K 10,000 – –
PCM
127
Prelude Capital Management
New York
$144K 8,900 – –
PNC Financial Services Group
128
PNC Financial Services Group
Pennsylvania
$138K 8,601 +2,029 +31%
NSIM
129
North Star Investment Management
Illinois
$137K 8,500 – –
NFG
130
Next Financial Group
Texas
$122K 7,600 +7,600 New
QT
131
Quantbot Technologies
New York
$108K 6,700 -2,428 -27%
Bank of Montreal
132
Bank of Montreal
Ontario, Canada
$96K 5,947 +2,847 +92%
HCM
133
Highlander Capital Management
New Jersey
$89.4K 5,532 +5,000 +940%
Lazard Asset Management
134
Lazard Asset Management
New York
$80K 5,000 – –
WA
135
WFG Advisors
Texas
$78K 4,836 -122 -2%
Citadel Advisors
136
Citadel Advisors
Florida
$57K 3,499 -25,819 -88%
BNP Paribas Financial Markets
137
BNP Paribas Financial Markets
France
$56.7K 3,507 +3,507 New
TRCT
138
Tower Research Capital (TRC)
New York
$54K 3,359 +3,284 +4,379%
PSC
139
Prentiss Smith & Co
Vermont
$48K 3,000 – –
WA
140
Waverly Advisors
Alabama
$47K 2,927 +2,927 New
Dimensional Fund Advisors
141
Dimensional Fund Advisors
Texas
$43K 2,687 -2,100 -44%
BRWA
142
B. Riley Wealth Advisors
Florida
$34.9K 2,162 +2,162 New
GSC
143
Ground Swell Capital
South Carolina
$20K 1,214 +1,214 New
MFS
144
MSI Financial Services
Massachusetts
$16K 1,020 -122 -11%
PTC
145
Private Trust Company
Ohio
$16K 1,000 – –
RIA
146
Regal Investment Advisors
Michigan
$16K 1,000 – –
M&T Bank
147
M&T Bank
New York
$13K 812 – –
ST
148
Smithfield Trust
Pennsylvania
$7K 429 – –
First Manhattan
149
First Manhattan
New York
$4K 300 – –
BPBT
150
Boston Private Bank & Trust
Massachusetts
$3K 190 – –
4 5
6
7 8