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Hercules Capital
HTGC

Overview Fund Activity

150 hedge funds and large institutions have $422M invested in Hercules Capital in 2017 Q3 according to their latest regulatory filings, with 21 funds opening new positions, 52 increasing their positions, 52 reducing their positions, and 32 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
150
Holders Change
-15
Holders Change %
-9.09%
% of All Funds
3.75%
Holding in Top 10
1
Holding in Top 10 Change
-1
Holding in Top 10 Change %
-50%
% of All Funds
0.02%
New
21
Increased
52
Reduced
52
Closed
32
Calls
$927K
Puts
$919K
Net Calls
+$8K
Net Calls Change
+$225K

Top Buyers

1
AM
Ares Management
California
$14M
2
Two Sigma Investments
Two Sigma Investments
New York
$4.17M
3
Millennium Management
Millennium Management
New York
$4.42M
4
Morgan Stanley
Morgan Stanley
New York
$9.28M
5
NC
Northpointe Capital
Michigan
$10.7M

Top Sellers

1
MC
Muzinich & Co
New York
$40.7M
2
GIP
Granite Investment Partners
California
$0
3
LSV Asset Management
LSV Asset Management
Illinois
$6.04M
4
CCMLC
Cardinal Capital Management LLC (Connecticut)
Connecticut
$3.35M
5
AllianceBernstein
AllianceBernstein
Tennessee
$9.08M
Name Holding Trade Value Shares
Change 		Shares
Change %
CPIG
126
Chicago Partners Investment Group
Illinois
$60K +$60K +4,624 New
First Manhattan
127
First Manhattan
New York
$59K – – –
HCM
128
Highlander Capital Management
New Jersey
$46K – – –
SP
129
Steelhead Partners
Washington
$33K – – –
BNP Paribas Financial Markets
130
BNP Paribas Financial Markets
France
$31.6K +$2.68K +208 +9%
TCM
131
Tradewinds Capital Management
Washington
$24K +$579 +44 +2%
PCP
132
Proficio Capital Partners
Massachusetts
$16K – – –
PCM
133
Penserra Capital Management
California
$14K -$885 -69 -6%
TRCT
134
Tower Research Capital (TRC)
New York
$13K +$5.51K +425 +74%
NFG
135
Next Financial Group
Texas
$10K -$11K -825 -52%
FMP
136
Financial Management Professionals
Texas
$10K – – –
SIAP
137
Sterling Investment Advisors (Pennsylvania)
Pennsylvania
$8K – – –
Simplex Trading
138
Simplex Trading
Illinois
$8K +$8K +679 New
PA
139
Parallel Advisors
California
$7K +$7K +500 New
DOA
140
D'Orazio & Associates
Virginia
$6K +$4.2K +350 +233%
TSW
141
Thompson Siegel & Walmsley
Virginia
$5K – – –
CCM
142
Covington Capital Management
California
$5K +$5K +350 New
WAM
143
Wealthspire Advisors (Maryland)
Maryland
$2K – – –
Northwestern Mutual Wealth Management
144
Northwestern Mutual Wealth Management
Wisconsin
$2K +$2K +133 New
RFA
145
Reilly Financial Advisors
California
$2K +$2K +144 New
MPWT
146
MassMutual Private Wealth & Trust
Connecticut
$1.29K – – –
WFI
147
West Family Investments
California
$258 -$812 -62,982 -76%
GIP
148
Granite Investment Partners
California
– -$8.49M -641,061 Closed
CIP
149
Chartwell Investment Partners
Pennsylvania
– -$3.21M -242,390 Closed
WWM
150
Willingdon Wealth Management
North Carolina
– -$2.83M -213,505 Closed
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