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Hercules Capital
HTGC

Overview Fund Activity

143 hedge funds and large institutions have $346M invested in Hercules Capital in 2016 Q1 according to their latest regulatory filings, with 16 funds opening new positions, 49 increasing their positions, 48 reducing their positions, and 19 closing their positions.

Holders
143
Holders Change
-3
Holders Change %
-2.05%
% of All Funds
3.82%
Holding in Top 10
3
Holding in Top 10 Change
+1
Holding in Top 10 Change %
+50%
% of All Funds
0.08%
New
16
Increased
49
Reduced
48
Closed
19
Calls
$732K
Puts
$209K
Net Calls
+$523K
Net Calls Change
+$476K

Top Buyers

1
NC
1
Northpointe Capital
Michigan
$12.9M
2
Royal Bank of Canada
2
Royal Bank of Canada
Ontario, Canada
$20.1M
3
Wellington Management Group
3
Wellington Management Group
Massachusetts
$16.9M
4
Goldman Sachs
4
Goldman Sachs
New York
$2.08M
5
CCP
5
Clough Capital Partners
Massachusetts
$1.2M

Top Sellers

1
CS
1
Credit Suisse
Switzerland
$0
2
CCMLC
2
Cardinal Capital Management LLC (Connecticut)
Connecticut
$6.85M
3
NIMC
3
NWQ Investment Management Company
California
$3.68M
4
Invesco
4
Invesco
Georgia
$11.7M
5
AIU
5
Algebris Investments (UK)
United Kingdom
$386K
Name Market Value Shares Shares
Change 		Shares
Change %
ST
126
Spot Trading
Illinois
$25K 2,093 +2,093 New
CG
127
Cutler Group
California
$24K 2,028 -576 -22%
GXMC
128
Global X Management Company
New York
$21K 1,761 – –
PCP
129
Proficio Capital Partners
Massachusetts
$15K 1,268 +1,268 New
JC
130
JBF Capital
Colorado
$12K 1,000 – –
RFA
131
Reilly Financial Advisors
California
$12K 1,000 – –
TRCT
132
Tower Research Capital (TRC)
New York
$10K 800 +626 +360%
FMP
133
Financial Management Professionals
Texas
$9K 784 -89 -10%
FHA
134
First Horizon Advisors
Tennessee
$8K 747 +488 +188%
BNP Paribas Financial Markets
135
BNP Paribas Financial Markets
France
$6.7K 558 -558 -50%
WAM
136
Wealthspire Advisors (Maryland)
Maryland
$3K 250 – –
DOA
137
D'Orazio & Associates
Virginia
$3K 300 – –
CHP
138
Cable Hill Partners
Oregon
$2K 95 – –
Simplex Trading
139
Simplex Trading
Illinois
$2K 169 +169 New
MPWT
140
MassMutual Private Wealth & Trust
Connecticut
$1.2K 100 – –
AIS
141
Accurate Investment Solutions
Pennsylvania
$1K 44 +2 +5%
PCM
142
Penserra Capital Management
California
$9 750 -86 -10%
EWM
143
Endurance Wealth Management
Rhode Island
$2 200 – –
CS
144
Credit Suisse
Switzerland
– – -759,041 Closed
Millennium Management
145
Millennium Management
New York
– – -71,749 Closed
NPC
146
National Planning Corporation
California
– – -43,121 Closed
OA
147
Oxbow Advisors
Texas
– – -30,690 Closed
V
148
Veritable
Delaware
– – -25,000 Closed
OCG
149
Opus Capital Group
Ohio
– – -23,002 Closed
Nomura Holdings
150
Nomura Holdings
Japan
– – -16,085 Closed
3 4 5
6
7