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Hercules Capital
HTGC

213 hedge funds and large institutions have $510M invested in Hercules Capital in 2021 Q1 according to their latest regulatory filings, with 42 funds opening new positions, 75 increasing their positions, 60 reducing their positions, and 19 closing their positions.

New
Increased
Maintained
Reduced
Closed

121% more first-time investments, than exits

New positions opened: 42 | Existing positions closed: 19

25% more repeat investments, than reductions

Existing positions increased: 75 | Existing positions reduced: 60

10% more funds holding

Funds holding: 193 → 213 (+20)

5% more capital invested

Capital invested by funds: $486M → $510M (+$23.4M)

0% more funds holding in top 10

Funds holding in top 10: 5 → 5 (0)

1.87% less ownership

Funds ownership: 29.42% → 27.56% (-1.9%)

14% less call options, than puts

Call options by funds: $3.83M | Put options by funds: $4.44M

Holders
213
Holders Change
+20
Holders Change %
+10.36%
% of All Funds
3.74%
Holding in Top 10
5
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.09%
New
42
Increased
75
Reduced
60
Closed
19
Calls
$3.83M
Puts
$4.44M
Net Calls
-$611K
Net Calls Change
-$4.04M

Top Buyers

1
UBS Group
UBS Group
Switzerland
+$4.31M
2
VanEck Associates
VanEck Associates
New York
+$1.63M
3
Invesco
Invesco
Georgia
+$1.49M
4
CIBC Private Wealth Group
CIBC Private Wealth Group
Georgia
+$1.49M
5
Bank of New York Mellon
Bank of New York Mellon
New York
+$1.45M

Top Sellers

1
SAMH
Shanda Asset Management Holdings
British Virgin Islands
-$14M
2
MHI
Miller Howard Investments
New York
-$7.91M
3
JP Morgan Chase
JP Morgan Chase
New York
-$5.01M
4
MC
Muzinich & Co
New York
-$4.68M
5
Sumitomo Mitsui Trust Group
Sumitomo Mitsui Trust Group
Japan
-$4.59M
Name Holding Trade Value Shares
Change 		Change in
Stake
BAIA
126
Bel Air Investment Advisors
California
$303K +$293K +18,900 New
Victory Capital Management
127
Victory Capital Management
Texas
$301K -$6.92K -446 -2%
1832 Asset Management
128
1832 Asset Management
Ontario, Canada
$299K +$285K +18,400 New
AWM
129
AE Wealth Management
Kansas
$270K -$27.4K -1,770 -10%
AIMCA
130
Alberta Investment Management Corp (AIMCo)
Alberta, Canada
$257K – – –
EFS
131
Essex Financial Services
Connecticut
$250K +$34.6K +2,234 +17%
QIM
132
Quest Investment Management
Oregon
$245K – – –
SEI Investments
133
SEI Investments
Pennsylvania
$244K – – –
VAS
134
Vestmark Advisory Solutions
Massachusetts
$235K -$47.6K -3,070 -17%
TRCT
135
Tower Research Capital (TRC)
New York
$229K +$191K +12,304 +630%
MAFM
136
Mid Atlantic Financial Management
Pennsylvania
$217K – – –
LGA
137
Lebenthal Global Advisors
New York
$210K +$79.2K +5,108 +64%
WJWM
138
Williams Jones Wealth Management
New York
$209K +$3.89K +251 +2%
GAM
139
Gotham Asset Management
New York
$207K -$1.26K -81 -0.6%
SAS
140
Stelac Advisory Services
New York
$206K -$29.1K -1,879 -13%
BAM
141
Belpointe Asset Management
Nevada
$206K +$217 +14 +0.1%
APA
142
American Portfolios Advisors
New York
$201K +$6.45K +416 +3%
CFGS
143
Concourse Financial Group Securities
Alabama
$196K +$3.94K +254 +2%
BPA
144
Beacon Pointe Advisors
California
$195K +$189K +12,200 New
PWP
145
Principle Wealth Partners
Connecticut
$185K – – –
CAMG
146
CWA Asset Management Group
Florida
$185K +$10K +645 +6%
Jane Street
147
Jane Street
New York
$182K +$176K +11,326 New
Citigroup
148
Citigroup
New York
$177K +$186 +12 +0.1%
PFO
149
Pathstone Family Office
New Jersey
$176K – – –
SBIA
150
Sheaff Brock Investment Advisors
Indiana
$172K +$166K +10,699 New
4 5
6
7 8

HTGC Hedge Fund Activity: Q1 2021 in Review

213 of the 5,695 institutional investors tracked by Wall St. Rank reported a position in Hercules Capital (HTGC) for Q1 2021, worth a combined $510M — up 4.8% from $486M a quarter earlier.

Buyers outnumbered sellers: 42 funds opened new HTGC positions and 19 closed out — a net gain of 23 holders — while 75 added to existing stakes and 60 trimmed.

The largest buyer was UBS Group, adding an estimated $4.31M. The largest seller was Shanda Asset Management Holdings, cutting an estimated $14M.

  • 213 institutional investors held Hercules Capital (HTGC) as of Q1 2021, up from 193 in Q4 2020.
  • Funds reported $510M of Hercules Capital stock for Q1 2021, up 4.8% quarter-over-quarter.
  • 42 funds opened new Hercules Capital positions in Q1 2021 and 19 closed out, a net change of +23 holders.
  • The largest Hercules Capital buyer in Q1 2021 was UBS Group, an estimated $4.31M added.
  • The largest Hercules Capital seller in Q1 2021 was Shanda Asset Management Holdings, an estimated $14M sold.

Based on aggregated 13F filings for Q1 2021.