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Hercules Capital
HTGC

Overview Fund Activity

177 hedge funds and large institutions have $466M invested in Hercules Capital in 2019 Q3 according to their latest regulatory filings, with 22 funds opening new positions, 67 increasing their positions, 48 reducing their positions, and 30 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
177
Holders Change
-9
Holders Change %
-4.84%
% of All Funds
3.89%
Holding in Top 10
4
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.09%
New
22
Increased
67
Reduced
48
Closed
30
Calls
$152K
Puts
$1.83M
Net Calls
-$1.68M
Net Calls Change
+$1.05M

Top Buyers

1
Citadel Advisors
1
Citadel Advisors
Florida
$7.38M
2
SIS
2
Sound Income Strategies
Florida
$25.5M
3
MPAM
3
Monarch Partners Asset Management
Massachusetts
$7.1M
4
BlackRock
4
BlackRock
New York
$7.5M
5
Macquarie Group
5
Macquarie Group
Australia
$3.21M

Top Sellers

1
Millennium Management
1
Millennium Management
New York
$6.75M
2
UBS Group
2
UBS Group
Switzerland
$16.3M
3
PI
3
Putnam Investments
Massachusetts
$0
4
GIM
4
Greenwich Investment Management
Connecticut
$793K
5
JPMorgan Chase & Co
5
JPMorgan Chase & Co
New York
$24.7M
Name Holding Trade Value Shares
Change 		Shares
Change %
QT
126
Quantamental Technologies
New York
$95K -$37.6K -2,802 -28%
RE
127
RBC Europe
United Kingdom
$93.6K – – –
Lazard Asset Management
128
Lazard Asset Management
New York
$93K – – –
CAGAS
129
Capital Advisory Group Advisory Services
Minnesota
$90K +$3.04K +231 +3%
OIA
130
Optimum Investment Advisors
Illinois
$87K – – –
PA
131
Parallel Advisors
California
$81K +$27.6K +2,057 +52%
APA
132
American Portfolios Advisors
New York
$79.8K +$5.24K +392 +7%
PO
133
Private Ocean
California
$76K +$12.9K +953 +20%
ST
134
Smithfield Trust
Pennsylvania
$65K – – –
CSS
135
Cubist Systematic Strategies
Connecticut
$57K -$388K -28,826 -87%
CG
136
Cutler Group
California
$52K – – –
CCM
137
Covington Capital Management
California
$47K – – –
HCM
138
Highlander Capital Management
New Jersey
$47K – – –
AA
139
Advisory Alpha
Michigan
$46.7K +$46.7K +3,557 New
MPWT
140
MassMutual Private Wealth & Trust
Connecticut
$45K +$40K +3,000 +802%
Carson Wealth (CWM LLC)
141
Carson Wealth (CWM LLC)
Nebraska
$43K – – –
WOC
142
West Oak Capital
California
$40K – – –
CFN
143
Cordasco Financial Network
Florida
$35K +$891 +66 +3%
BBHC
144
Brown Brothers Harriman & Co
New York
$34K +$34K +2,523 New
PFO
145
Pathstone Family Office
New Jersey
$32K +$32K +2,428 New
PCG
146
Private Capital Group
Connecticut
$29K -$31K -2,296 -52%
TCM
147
Tradewinds Capital Management
Washington
$29K +$685 +52 +2%
CFGS
148
Concourse Financial Group Securities
Alabama
$27K -$127K -9,398 -82%
TFS
149
TrustCore Financial Services
Tennessee
$26K – – –
BNP Paribas Financial Markets
150
BNP Paribas Financial Markets
France
$25.1K – – –
4 5
6
7 8