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Hercules Capital
HTGC

Overview Fund Activity

165 hedge funds and large institutions have $469M invested in Hercules Capital in 2017 Q2 according to their latest regulatory filings, with 28 funds opening new positions, 63 increasing their positions, 48 reducing their positions, and 20 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
165
Holders Change
+7
Holders Change %
+4.43%
% of All Funds
4.12%
Holding in Top 10
2
Holding in Top 10 Change
-1
Holding in Top 10 Change %
-33.33%
% of All Funds
0.05%
New
28
Increased
63
Reduced
48
Closed
20
Calls
$1.14M
Puts
$1.35M
Net Calls
-$217K
Net Calls Change
-$1.73M

Top Buyers

1
Principal Financial Group
Principal Financial Group
Iowa
$39.2M
2
AM
Ares Management
California
$10.1M
3
MC
Muzinich & Co
New York
$52.4M
4
AAM
Advisors Asset Management
Colorado
$3.83M
5
Stifel Financial
Stifel Financial
Missouri
$6.5M

Top Sellers

1
Wellington Management Group
Wellington Management Group
Massachusetts
$804K
2
NC
Northpointe Capital
Michigan
$8.83M
3
CCP
Clough Capital Partners
Massachusetts
$0
4
Loomis, Sayles & Company
Loomis, Sayles & Company
Massachusetts
$6.22M
5
PI
Putnam Investments
Massachusetts
$1.99M
Name Holding Trade Value Shares
Change 		Shares
Change %
IPC
126
Independent Portfolio Consultants
Florida
$146K -$49.2K -3,720 -25%
JPMPWA
127
J.P. Morgan Private Wealth Advisors
California
$142K +$142K +10,690 New
CA
128
Cetera Advisors
Colorado
$138K +$138K +10,291 New
WA
129
WFG Advisors
Texas
$122K -$291K -21,892 -70%
GXMC
130
Global X Management Company
New York
$122K – – –
Manulife (Manufacturers Life Insurance)
131
Manulife (Manufacturers Life Insurance)
Ontario, Canada
$117K +$26.9K +2,034 +30%
ASN
132
Advisory Services Network
Georgia
$109K -$86.2K -6,507 -44%
GWM
133
Geneos Wealth Management
Colorado
$106K +$15.3K +1,165 +17%
Bank of Montreal
134
Bank of Montreal
Ontario, Canada
$96K -$812K -60,999 -89%
Lazard Asset Management
135
Lazard Asset Management
New York
$92K – – –
JPMorgan Chase & Co
136
JPMorgan Chase & Co
New York
$70K +$10.2K +756 +17%
First Manhattan
137
First Manhattan
New York
$61K +$8.53K +650 +16%
HCM
138
Highlander Capital Management
New Jersey
$47K – – –
QT
139
Quantbot Technologies
New York
$40K +$14.7K +1,125 +58%
SP
140
Steelhead Partners
Washington
$34K +$34K +2,532 New
WT
141
Whittier Trust
California
$33K – – –
BNP Paribas Financial Markets
142
BNP Paribas Financial Markets
France
$29.6K +$6.13K +463 +26%
TCM
143
Tradewinds Capital Management
Washington
$24K +$24K +1,779 New
NFG
144
Next Financial Group
Texas
$21K +$11K +825 +110%
SIA
145
SeaBridge Investment Advisors
New Jersey
$18K – – –
PCP
146
Proficio Capital Partners
Massachusetts
$16K – – –
PCM
147
Penserra Capital Management
California
$15K +$1.36K +105 +10%
JC
148
JBF Capital
Colorado
$13K – – –
FMP
149
Financial Management Professionals
Texas
$10K – – –
SAM
150
Solaris Asset Management
New York
$9K – – –
4 5
6
7 8