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Hercules Capital
HTGC

Overview Fund Activity

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
Holders
213
Holders Change
+20
Holders Change %
+10.36%
% of All Funds
3.75%
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
1
UBS Group
Switzerland
$6.43M
2
VanEck Associates
2
VanEck Associates
New York
$18.8M
3
Invesco
3
Invesco
Georgia
$12.6M
4
CIBC Private Wealth Group
4
CIBC Private Wealth Group
Georgia
$1.54M
5
Bank of New York Mellon
5
Bank of New York Mellon
New York
$2.69M

Top Sellers

1
SAMH
1
Shanda Asset Management Holdings
British Virgin Islands
$16M
2
MHI
2
Miller Howard Investments
New York
$0
3
JPMorgan Chase & Co
3
JPMorgan Chase & Co
New York
$15.9M
4
MC
4
Muzinich & Co
New York
$12.1M
5
Sumitomo Mitsui Trust Group
5
Sumitomo Mitsui Trust Group
Japan
$12M
Name Holding Trade Value Shares
Change 		Shares
Change %
BAIA
126
Bel Air Investment Advisors
California
$303K +$303K +18,900 New
Victory Capital Management
127
Victory Capital Management
Texas
$301K -$7.16K -446 -2%
1832 Asset Management
128
1832 Asset Management
Ontario, Canada
$299K +$299K +18,400 New
AWM
129
AE Wealth Management
Kansas
$270K -$28.4K -1,770 -10%
AIMCA
130
Alberta Investment Management Corp (AIMCo)
Alberta, Canada
$257K – – –
EFS
131
Essex Financial Services
Connecticut
$250K +$35.9K +2,234 +17%
QIM
132
Quest Investment Management
Oregon
$245K – – –
SEI Investments
133
SEI Investments
Pennsylvania
$244K – – –
VAS
134
Vestmark Advisory Solutions
Massachusetts
$235K -$49.2K -3,070 -17%
TRCT
135
Tower Research Capital (TRC)
New York
$229K +$198K +12,304 +630%
MAFM
136
Mid Atlantic Financial Management
Pennsylvania
$217K – – –
LGA
137
Lebenthal Global Advisors
New York
$210K +$81.8K +5,108 +64%
WJWM
138
Williams Jones Wealth Management
New York
$209K +$4.02K +251 +2%
GAM
139
Gotham Asset Management
New York
$207K -$1.3K -81 -0.6%
SAS
140
Stelac Advisory Services
New York
$206K -$30.1K -1,879 -13%
BAM
141
Belpointe Asset Management
Nevada
$206K +$225 +14 +0.1%
APA
142
American Portfolios Advisors
New York
$201K +$6.67K +416 +3%
CFGS
143
Concourse Financial Group Securities
Alabama
$196K +$4.07K +254 +2%
BPA
144
Beacon Pointe Advisors
California
$195K +$195K +12,200 New
PWP
145
Principle Wealth Partners
Connecticut
$185K – – –
CAMG
146
CWA Asset Management Group
Florida
$185K +$10.3K +645 +6%
Jane Street
147
Jane Street
New York
$182K +$182K +11,326 New
Citigroup
148
Citigroup
New York
$177K +$193 +12 +0.1%
PFO
149
Pathstone Family Office
New Jersey
$176K – – –
SBIA
150
Sheaff Brock Investment Advisors
Indiana
$172K +$172K +10,699 New
4 5
6
7 8