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Hercules Capital
HTGC

Overview Fund Activity

171 hedge funds and large institutions have $391M invested in Hercules Capital in 2018 Q4 according to their latest regulatory filings, with 28 funds opening new positions, 69 increasing their positions, 48 reducing their positions, and 37 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
171
Holders Change
-10
Holders Change %
-5.52%
% of All Funds
3.82%
Holding in Top 10
5
Holding in Top 10 Change
-1
Holding in Top 10 Change %
-16.67%
% of All Funds
0.11%
New
28
Increased
69
Reduced
48
Closed
37
Calls
$122K
Puts
$705K
Net Calls
-$583K
Net Calls Change
+$51K

Top Buyers

1
JPMorgan Chase & Co
1
JPMorgan Chase & Co
New York
$17.7M
2
SAMH
2
Shanda Asset Management Holdings
British Virgin Islands
$23.2M
3
MPAM
3
Monarch Partners Asset Management
Massachusetts
$8.1M
4
AM
4
Ares Management
California
$19.1M
5
Susquehanna International Group
5
Susquehanna International Group
Pennsylvania
$1.63M

Top Sellers

1
Principal Financial Group
1
Principal Financial Group
Iowa
$0
2
UBS Group
2
UBS Group
Switzerland
$21.2M
3
NC
3
Northpointe Capital
Michigan
$5.33M
4
RJA
4
Raymond James & Associates
Florida
$1.04M
5
AllianceBernstein
5
AllianceBernstein
Tennessee
$4.16M
Name Holding Trade Value Shares
Change 		Shares
Change %
SPC
126
Sigma Planning Corp
Michigan
$127K +$127K +11,537 New
TRCT
127
Tower Research Capital (TRC)
New York
$124K +$103K +9,290 +480%
AI
128
Atria Investments
North Carolina
$116K +$2.35K +213 +2%
FNBOMD
129
First National Bank of Mount Dora
Florida
$112K +$1.11K +100 +1%
AAS
130
Avantax Advisory Services
Texas
$112K +$112K +10,125 New
EC
131
EJF Capital
Virginia
$111K +$111K +10,000 New
WCM
132
WealthBridge Capital Management
Ohio
$108K +$108K +9,800 New
SIA
133
Sit Investment Associates
Minnesota
$106K – – –
GWM
134
Geneos Wealth Management
Colorado
$96K +$21.3K +1,900 +29%
ASN
135
Advisory Services Network
Georgia
$88K +$474 +43 +0.5%
RE
136
RBC Europe
United Kingdom
$77.4K – – –
Lazard Asset Management
137
Lazard Asset Management
New York
$77K – – –
WAM
138
Wolverine Asset Management
Illinois
$77K +$77K +7,006 New
PO
139
Private Ocean
California
$52K – – –
PCG
140
Private Capital Group
Connecticut
$49K – – –
Simplex Trading
141
Simplex Trading
Illinois
$49K +$15.9K +1,453 +48%
CAGAS
142
Capital Advisory Group Advisory Services
Minnesota
$45K +$17.6K +1,580 +64%
HCM
143
Highlander Capital Management
New Jersey
$39K – – –
CCM
144
Covington Capital Management
California
$39K +$39K +3,500 New
APA
145
American Portfolios Advisors
New York
$35.9K +$35K +3,171 +4,228%
RCAG
146
Rehmann Capital Advisory Group
Michigan
$27.4K +$718 +65 +3%
TCM
147
Tradewinds Capital Management
Washington
$23K +$571 +51 +3%
GAM
148
Gemmer Asset Management
California
$22K +$11.6K +1,050 +111%
CFGS
149
Concourse Financial Group Securities
Alabama
$22K +$22K +2,065 +206,500%
JIR
150
James Investment Research
Ohio
$20K – – –
4 5
6
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