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Hercules Capital
HTGC

Overview Fund Activity

144 hedge funds and large institutions have $294M invested in Hercules Capital in 2015 Q3 according to their latest regulatory filings, with 26 funds opening new positions, 43 increasing their positions, 47 reducing their positions, and 22 closing their positions.

Holders
144
Holders Change
+4
Holders Change %
+2.86%
% of All Funds
4.02%
Holding in Top 10
2
Holding in Top 10 Change
+2
Holding in Top 10 Change %
%
% of All Funds
0.06%
New
26
Increased
43
Reduced
47
Closed
22
Calls
$332K
Puts
$588K
Net Calls
-$256K
Net Calls Change
-$183K

Top Buyers

1
LI
1
LMCG Investments
Massachusetts
$11.4M
2
CS
2
Credit Suisse
Switzerland
$7.59M
3
AllianceBernstein
3
AllianceBernstein
Tennessee
$14.6M
4
Citadel Advisors
4
Citadel Advisors
Florida
$3.38M
5
BC
5
Brinker Capital
Pennsylvania
$3.03M

Top Sellers

1
Invesco
1
Invesco
Georgia
$10.6M
2
UBS Group
2
UBS Group
Switzerland
$13.4M
3
Goldman Sachs
3
Goldman Sachs
New York
$499K
4
Northern Trust
4
Northern Trust
Illinois
$0
5
ACM
5
Ashford Capital Management
Delaware
$1.37M
Name Market Value Shares Shares
Change 		Shares
Change %
GXMC
126
Global X Management Company
New York
$17K 1,693 +1,693 New
MFS
127
MSI Financial Services
Massachusetts
$13K 1,315 +500 +61%
JC
128
JBF Capital
Colorado
$10K 1,000 – –
DLHL
129
Donald L. Hagan LLC
Florida
$10K 1,000 +1,000 New
FMP
130
Financial Management Professionals
Texas
$9K 873 +89 +11%
SEI Investments
131
SEI Investments
Pennsylvania
$9K 921 +921 New
AWM
132
AllSquare Wealth Management
New York
$6K 600 – –
BNP Paribas Financial Markets
133
BNP Paribas Financial Markets
France
$5.64K 558 – –
FHA
134
First Horizon Advisors
Tennessee
$5K 533 – –
ST
135
Smithfield Trust
Pennsylvania
$4K 429 – –
WA
136
WFG Advisors
Texas
$4K 350 +350 New
WCM
137
Windsor Capital Management
Arizona
$4K 400 +400 New
First Manhattan
138
First Manhattan
New York
$3K 300 -3,000 -91%
DOA
139
D'Orazio & Associates
Virginia
$3K 300 – –
Manulife (Manufacturers Life Insurance)
140
Manulife (Manufacturers Life Insurance)
Ontario, Canada
$2.89K 285,947 -190,004 -40%
MPWT
141
MassMutual Private Wealth & Trust
Connecticut
$1.45K 100 – –
Fifth Third Bancorp
142
Fifth Third Bancorp
Ohio
$1K 106 -469 -82%
CHP
143
Cable Hill Partners
Oregon
$1K 95 – –
Northern Trust
144
Northern Trust
Illinois
– – -249,922 Closed
Robeco Institutional Asset Management
145
Robeco Institutional Asset Management
Netherlands
– – -180,644 Closed
CCP
146
Clough Capital Partners
Massachusetts
– – -79,000 Closed
PP
147
PDT Partners
New York
– – -38,015 Closed
BIG
148
Blackthorn Investment Group
Kansas
– – -37,500 Closed
GCP
149
GSA Capital Partners
United Kingdom
– – -30,163 Closed
DTL
150
Dynamic Technology Lab
Singapore
– – -27,836 Closed
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6
7