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Hercules Capital
HTGC

Overview Fund Activity

181 hedge funds and large institutions have $481M invested in Hercules Capital in 2018 Q3 according to their latest regulatory filings, with 26 funds opening new positions, 59 increasing their positions, 57 reducing their positions, and 17 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
181
Holders Change
+7
Holders Change %
+4.02%
% of All Funds
4.14%
Holding in Top 10
6
Holding in Top 10 Change
+1
Holding in Top 10 Change %
+20%
% of All Funds
0.14%
New
26
Increased
59
Reduced
57
Closed
17
Calls
$346K
Puts
$980K
Net Calls
-$634K
Net Calls Change
-$493K

Top Buyers

1
SAMH
1
Shanda Asset Management Holdings
British Virgin Islands
$21.5M
2
JPMorgan Chase & Co
2
JPMorgan Chase & Co
New York
$11.7M
3
UBS Group
3
UBS Group
Switzerland
$30.1M
4
Credit Agricole
4
Credit Agricole
France
$3.42M
5
SIS
5
Sound Income Strategies
Florida
$14.7M

Top Sellers

1
CF
1
Centaurus Financial
California
$8.01K
2
Two Sigma Investments
2
Two Sigma Investments
New York
$2.91M
3
NC
3
Northpointe Capital
Michigan
$10.6M
4
Two Sigma Advisers
4
Two Sigma Advisers
New York
$2.64M
5
Millennium Management
5
Millennium Management
New York
$4.09M
Name Holding Trade Value Shares
Change 		Shares
Change %
SIA
126
Sit Investment Associates
Minnesota
$126K -$303K -23,100 -71%
ASN
127
Advisory Services Network
Georgia
$105K +$2.12K +160 +2%
BSG
128
Black Swift Group
Colorado
$99K -$152K -11,500 -61%
SEI Investments
129
SEI Investments
Pennsylvania
$98K -$565K -40,836 -85%
ST
130
Smithfield Trust
Pennsylvania
$93K – – –
RE
131
RBC Europe
United Kingdom
$92.1K – – –
Lazard Asset Management
132
Lazard Asset Management
New York
$92K – – –
GWM
133
Geneos Wealth Management
Colorado
$87K +$27.1K +2,075 +45%
Barclays
134
Barclays
United Kingdom
$69K +$1.23K +94 +2%
PO
135
Private Ocean
California
$61K – – –
CPIG
136
Chicago Partners Investment Group
Illinois
$60K +$821 +67 +1%
PCG
137
Private Capital Group
Connecticut
$58K – – –
First Manhattan
138
First Manhattan
New York
$52K – – –
CG
139
Cutler Group
California
$52K +$52K +4,000 New
HCM
140
Highlander Capital Management
New Jersey
$46K – – –
IA
141
IFP Advisors
Florida
$45K +$42K +3,182 +1,421%
Simplex Trading
142
Simplex Trading
Illinois
$39K +$39K +3,014 New
CAGAS
143
Capital Advisory Group Advisory Services
Minnesota
$33K +$16.8K +1,260 +104%
RCAG
144
Rehmann Capital Advisory Group
Michigan
$31.8K +$698 +53 +2%
QT
145
Quantbot Technologies
New York
$30K +$30K +2,300 New
CAC
146
Certified Advisory Corp
Florida
$26K -$5.2K -400 -17%
TCM
147
Tradewinds Capital Management
Washington
$26K +$584 +45 +2%
TRCT
148
Tower Research Capital (TRC)
New York
$25K +$25K +1,935 New
JIR
149
James Investment Research
Ohio
$24K – – –
BNP Paribas Financial Markets
150
BNP Paribas Financial Markets
France
$23.5K +$1.12K +85 +5%
4 5
6
7 8