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Hercules Capital
HTGC

Overview Fund Activity

150 hedge funds and large institutions have $422M invested in Hercules Capital in 2017 Q3 according to their latest regulatory filings, with 21 funds opening new positions, 52 increasing their positions, 52 reducing their positions, and 32 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
150
Holders Change
-15
Holders Change %
-9.09%
% of All Funds
3.75%
Holding in Top 10
1
Holding in Top 10 Change
-1
Holding in Top 10 Change %
-50%
% of All Funds
0.02%
New
21
Increased
52
Reduced
52
Closed
32
Calls
$927K
Puts
$919K
Net Calls
+$8K
Net Calls Change
+$225K

Top Buyers

1
AM
Ares Management
California
$14M
2
Two Sigma Investments
Two Sigma Investments
New York
$4.17M
3
Millennium Management
Millennium Management
New York
$4.42M
4
Morgan Stanley
Morgan Stanley
New York
$9.28M
5
NC
Northpointe Capital
Michigan
$10.7M

Top Sellers

1
MC
Muzinich & Co
New York
$40.7M
2
GIP
Granite Investment Partners
California
$0
3
LSV Asset Management
LSV Asset Management
Illinois
$6.04M
4
CCMLC
Cardinal Capital Management LLC (Connecticut)
Connecticut
$3.35M
5
AllianceBernstein
AllianceBernstein
Tennessee
$9.08M
Name Holding Trade Value Shares
Change 		Shares
Change %
PI
151
Putnam Investments
Massachusetts
– -$1.99M -150,435 Closed
WA
152
WESPAC Advisors
California
– -$1.42M -107,258 Closed
EAM
153
Eventide Asset Management
Massachusetts
– -$1.32M -100,000 Closed
YMRC
154
Yorktown Management & Research Company
Virginia
– -$1.11M -83,928 Closed
Russell Investments Group
155
Russell Investments Group
United Kingdom
– -$1.11M -83,854 Closed
HB
156
Homrich & Berg
Georgia
– -$961K -72,599 Closed
Susquehanna International Group
157
Susquehanna International Group
Pennsylvania
– -$941K -71,037 Closed
Bank of New York Mellon
158
Bank of New York Mellon
New York
– -$873K -65,885 Closed
New York State Common Retirement Fund
159
New York State Common Retirement Fund
New York
– -$709K -53,562 Closed
WP
160
WealthSource Partners
California
– -$386K -29,136 Closed
GCP
161
GSA Capital Partners
United Kingdom
– -$349K -26,340 Closed
NFA
162
Nationwide Fund Advisors
Ohio
– -$287K -21,681 Closed
ATC
163
Argent Trust Co
Tennessee
– -$232K -17,558 Closed
SB
164
Suntrust Banks
Georgia
– -$192K -14,510 Closed
Ameriprise
165
Ameriprise
Minnesota
– -$173K -13,033 Closed
Envestnet Asset Management
166
Envestnet Asset Management
Illinois
– -$153K -11,544 Closed
DADC
167
D.A. Davidson & Co
Montana
– -$147K -11,155 Closed
JPMPWA
168
J.P. Morgan Private Wealth Advisors
California
– -$142K -10,690 Closed
QT
169
Quantbot Technologies
New York
– -$40K -3,068 Closed
WT
170
Whittier Trust
California
– -$33K -2,474 Closed
SIA
171
SeaBridge Investment Advisors
New Jersey
– -$18K -1,370 Closed
JC
172
JBF Capital
Colorado
– -$13K -1,000 Closed
SAM
173
Solaris Asset Management
New York
– -$9K -678 Closed
FHA
174
First Horizon Advisors
Tennessee
– -$6K -510 Closed
Fifth Third Bancorp
175
Fifth Third Bancorp
Ohio
– -$6K -436 Closed
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