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Hercules Capital
HTGC

Overview Fund Activity

161 hedge funds and large institutions have $393M invested in Hercules Capital in 2018 Q1 according to their latest regulatory filings, with 23 funds opening new positions, 44 increasing their positions, 67 reducing their positions, and 25 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
161
Holders Change
-2
Holders Change %
-1.23%
% of All Funds
3.7%
Holding in Top 10
4
Holding in Top 10 Change
-1
Holding in Top 10 Change %
-20%
% of All Funds
0.09%
New
23
Increased
44
Reduced
67
Closed
25
Calls
$860K
Puts
$1.78M
Net Calls
-$922K
Net Calls Change
+$9K

Top Buyers

1
Wells Fargo
1
Wells Fargo
California
$25.6M
2
AM
2
Ares Management
California
$17.1M
3
CFG
3
CNO Financial Group
Indiana
$2.96M
4
CF
4
Centaurus Financial
California
$1.76M
5
OCG
5
Opus Capital Group
Ohio
$1.75M

Top Sellers

1
MC
1
Muzinich & Co
New York
$24.8M
2
MWNA
2
Marshall Wace North America
New York
$2.64M
3
UBS Group
3
UBS Group
Switzerland
$23.2M
4
Millennium Management
4
Millennium Management
New York
$6.76M
5
Two Sigma Investments
5
Two Sigma Investments
New York
$1.57M
Name Holding Trade Value Shares
Change 		Shares
Change %
Macquarie Group
126
Macquarie Group
Australia
$82K -$91.6K -7,600 -53%
RFM
127
Royal Fund Management
Florida
$79K +$79K +6,597 New
GWM
128
Geneos Wealth Management
Colorado
$67K -$3.61K -300 -5%
Barclays
129
Barclays
United Kingdom
$63K -$28.5K -2,364 -31%
CPIG
130
Chicago Partners Investment Group
Illinois
$58K +$878 +72 +2%
PO
131
Private Ocean
California
$56K +$56K +4,670 New
PCG
132
Private Capital Group
Connecticut
$54K -$10.9K -897 -17%
First Manhattan
133
First Manhattan
New York
$48K -$7.8K -650 -14%
HCM
134
Highlander Capital Management
New Jersey
$42K – – –
CAC
135
Certified Advisory Corp
Florida
$29K – – –
GAM
136
Gemmer Asset Management
California
$28K +$8.62K +700 +44%
RCAG
137
Rehmann Capital Advisory Group
Michigan
$28K +$28K +2,306 New
BNP Paribas Financial Markets
138
BNP Paribas Financial Markets
France
$23.3K +$1.56K +129 +7%
TCM
139
Tradewinds Capital Management
Washington
$23K +$566 +47 +3%
JIR
140
James Investment Research
Ohio
$22K – – –
WWM
141
Wagner Wealth Management
South Carolina
$14K – – –
PCP
142
Proficio Capital Partners
Massachusetts
$12K – – –
CIM
143
Corbyn Investment Management
Maryland
$12K +$12K +1,000 New
AIM
144
Advantage Investment Management
Iowa
$10K -$797K -63,736 -99%
SIAP
145
Sterling Investment Advisors (Pennsylvania)
Pennsylvania
$8K – – –
PS
146
Portfolio Strategies
New York
$6K -$3.9K -325 -39%
PA
147
Parallel Advisors
California
$6K – – –
THWM
148
Taylor Hoffman Wealth Management
Virginia
$6K – – –
ML
149
McAdam LLC
Pennsylvania
$6K +$6K +532 New
MPWT
150
MassMutual Private Wealth & Trust
Connecticut
$5.83K -$9.14K -755 -61%
4 5
6
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