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Hercules Capital
HTGC

Overview Fund Activity

165 hedge funds and large institutions have $469M invested in Hercules Capital in 2017 Q2 according to their latest regulatory filings, with 28 funds opening new positions, 63 increasing their positions, 48 reducing their positions, and 20 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
165
Holders Change
+7
Holders Change %
+4.43%
% of All Funds
4.12%
Holding in Top 10
2
Holding in Top 10 Change
-1
Holding in Top 10 Change %
-33.33%
% of All Funds
0.05%
New
28
Increased
63
Reduced
48
Closed
20
Calls
$1.14M
Puts
$1.35M
Net Calls
-$217K
Net Calls Change
-$1.73M

Top Buyers

1
Principal Financial Group
1
Principal Financial Group
Iowa
$39.2M
2
AM
2
Ares Management
California
$10.1M
3
MC
3
Muzinich & Co
New York
$52.4M
4
AAM
4
Advisors Asset Management
Colorado
$3.83M
5
Stifel Financial
5
Stifel Financial
Missouri
$6.5M

Top Sellers

1
Wellington Management Group
1
Wellington Management Group
Massachusetts
$804K
2
NC
2
Northpointe Capital
Michigan
$8.83M
3
CCP
3
Clough Capital Partners
Massachusetts
$0
4
Loomis, Sayles & Company
4
Loomis, Sayles & Company
Massachusetts
$6.22M
5
PI
5
Putnam Investments
Massachusetts
$1.99M
Name Holding Trade Value Shares
Change 		Shares
Change %
TRCT
151
Tower Research Capital (TRC)
New York
$8K +$8K +578 New
SIAP
152
Sterling Investment Advisors (Pennsylvania)
Pennsylvania
$8K +$8K +627 New
FHA
153
First Horizon Advisors
Tennessee
$6K – – –
Fifth Third Bancorp
154
Fifth Third Bancorp
Ohio
$6K +$3.65K +265 +155%
TSW
155
Thompson Siegel & Walmsley
Virginia
$5K – – –
CTC
156
Central Trust Company
Missouri
$5K +$5K +375 New
BWA
157
BDO Wealth Advisors
Florida
$3K +$3K +200 New
DOA
158
D'Orazio & Associates
Virginia
$2K -$2K -150 -50%
WAM
159
Wealthspire Advisors (Maryland)
Maryland
$2K -$1.19K -100 -37%
ST
160
Spot Trading
Illinois
$2K +$2K +185 New
MPWT
161
MassMutual Private Wealth & Trust
Connecticut
$1.32K – – –
AIM
162
Acrospire Investment Management
Illinois
$1K +$1K +95 New
CPA
163
Clear Perspective Advisors
Illinois
$1K +$1K +100 New
CG
164
Cutler Group
California
$1K +$1K +110 New
CCP
165
Clough Capital Partners
Massachusetts
– -$5.85M -386,700 Closed
ERSOT
166
Employees Retirement System of Texas
Texas
– -$1.77M -117,047 Closed
Barclays
167
Barclays
United Kingdom
– -$948K -62,641 Closed
D.E. Shaw & Co
168
D.E. Shaw & Co
New York
– -$337K -22,279 Closed
NL
169
NWAM LLC
Washington
– -$284K -18,800 Closed
PAM
170
Princeton Alpha Management
New Jersey
– -$260K -17,211 Closed
Jane Street
171
Jane Street
New York
– -$200K -13,189 Closed
OCG
172
Opus Capital Group
Ohio
– -$196K -12,950 Closed
VKH
173
Virtu KCG Holdings
New York
– -$159K -10,539 Closed
UCFA
174
United Capital Financial Advisors
Texas
– -$157K -10,390 Closed
WA
175
Wasatch Advisors
Utah
– -$156K -10,295 Closed
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