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Hercules Capital
HTGC

Overview Fund Activity

144 hedge funds and large institutions have $12.5B invested in Hercules Capital in 2014 Q4 according to their latest regulatory filings, with 26 funds opening new positions, 49 increasing their positions, 44 reducing their positions, and 19 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
144
Holders Change
+6
Holders Change %
+4.35%
% of All Funds
3.84%
Holding in Top 10
3
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.08%
New
26
Increased
49
Reduced
44
Closed
19
Calls
–
Puts
$912K
Net Calls
-$912K
Net Calls Change
+$358K

Top Buyers

1
Loomis, Sayles & Company
1
Loomis, Sayles & Company
Massachusetts
$12.9M
2
CIP
2
Chartwell Investment Partners
Pennsylvania
$3.11M
3
BF
3
BOK Financial
Oklahoma
$2.44M
4
MHI
4
Miller Howard Investments
New York
$2.25M
5
Invesco
5
Invesco
Georgia
$16.6M

Top Sellers

1
LTI
1
Laffer Tengler Investments
Tennessee
$12.2B
2
Robeco Institutional Asset Management
2
Robeco Institutional Asset Management
Netherlands
$7.02M
3
AAM
3
Advisors Asset Management
Colorado
$4.71M
4
Goldman Sachs
4
Goldman Sachs
New York
$1.66M
5
Susquehanna International Group
5
Susquehanna International Group
Pennsylvania
$720K
Name Holding Trade Value Shares
Change 		Shares
Change %
KTC
126
Kistler-Tiffany Companies
Pennsylvania
$55K +$55K +3,663 New
CCA
127
Catalyst Capital Advisors
New York
$32K +$28K +1,900 +709%
HNB
128
Huntington National Bank
Ohio
$31K +$31K +2,132 New
FMT
129
First Mercantile Trust
Tennessee
$27K – – –
WA
130
WFG Advisors
Texas
$22K +$12.1K +811 +122%
Simplex Trading
131
Simplex Trading
Illinois
$16K +$16K +1,057 New
RIA
132
Regal Investment Advisors
Michigan
$15K – – –
JC
133
JBF Capital
Colorado
$15K +$15K +1,000 New
MFS
134
MSI Financial Services
Massachusetts
$12K -$4.15K -270 -26%
FMP
135
Financial Management Professionals
Texas
$12K +$12K +784 New
AWM
136
AllSquare Wealth Management
New York
$9K +$9K +600 New
NES
137
New England Securities
New York
$7K +$7K +500 New
ST
138
Smithfield Trust
Pennsylvania
$6K – – –
First Manhattan
139
First Manhattan
New York
$4K – – –
Manulife (Manufacturers Life Insurance)
140
Manulife (Manufacturers Life Insurance)
Ontario, Canada
$3.9K -$6 -388 -0.1%
Envestnet Asset Management
141
Envestnet Asset Management
Illinois
$2K – – –
IPC
142
Independent Portfolio Consultants
Florida
$2K +$2K +135 New
CHP
143
Cable Hill Partners
Oregon
$1K +$1K +95 New
BRWA
144
B. Riley Wealth Advisors
Florida
$21 +$21 +1,400 New
MVP
145
Miller Value Partners
Florida
– -$992K -68,600 Closed
Two Sigma Advisers
146
Two Sigma Advisers
New York
– -$766K -53,008 Closed
SCM
147
Sterling Capital Management
North Carolina
– -$556K -38,471 Closed
AW
148
Alpha Windward
Massachusetts
– -$407K -28,140 Closed
ACM
149
Ativo Capital Management
Illinois
– -$230K -15,907 Closed
SWP
150
Stratos Wealth Partners
Ohio
– -$197K -13,660 Closed
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