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Hercules Capital
HTGC

Overview Fund Activity

163 hedge funds and large institutions have $448M invested in Hercules Capital in 2017 Q4 according to their latest regulatory filings, with 33 funds opening new positions, 52 increasing their positions, 55 reducing their positions, and 19 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
163
Holders Change
+13
Holders Change %
+8.67%
% of All Funds
3.7%
Holding in Top 10
5
Holding in Top 10 Change
+4
Holding in Top 10 Change %
+400%
% of All Funds
0.11%
New
33
Increased
52
Reduced
55
Closed
19
Calls
$356K
Puts
$1.29M
Net Calls
-$931K
Net Calls Change
-$939K

Top Buyers

1
Millennium Management
1
Millennium Management
New York
$11.2M
2
MWNA
2
Marshall Wace North America
New York
$7.34M
3
NC
3
Northpointe Capital
Michigan
$15.8M
4
PI
4
Putnam Investments
Massachusetts
$3M
5
GCP
5
GSA Capital Partners
United Kingdom
$1.98M

Top Sellers

1
Principal Financial Group
1
Principal Financial Group
Iowa
$32.4M
2
MC
2
Muzinich & Co
New York
$36.2M
3
CCMLC
3
Cardinal Capital Management LLC (Connecticut)
Connecticut
$0
4
AR
4
Advisory Research
Illinois
$6.85M
5
SMDAM
5
Sumitomo Mitsui DS Asset Management
Japan
$6.48M
Name Holding Trade Value Shares
Change 		Shares
Change %
APA
151
American Portfolios Advisors
New York
$5.58K +$5.58K +425 New
TSW
152
Thompson Siegel & Walmsley
Virginia
$5K – – –
YWP
153
YorkBridge Wealth Partners
New York
$4K +$4K +300 New
FPFS
154
First Personal Financial Services
North Carolina
$4K +$4K +311 New
IA
155
IFP Advisors
Florida
$3K -$79.6K -5,941 -96%
AssetMark Inc
156
AssetMark Inc
California
$3K +$3K +200 New
SPI
157
Santori & Peters Inc
Pennsylvania
$3K +$3K +245 New
WAM
158
Wealthspire Advisors (Maryland)
Maryland
$2K – – –
Northwestern Mutual Wealth Management
159
Northwestern Mutual Wealth Management
Wisconsin
$1K -$727 -56 -42%
HNB
160
Huntington National Bank
Ohio
$1K +$1K +93 New
RWA
161
Ropes Wealth Advisors
Massachusetts
$1K +$1K +97 New
PCG
162
Private Capital Group
Connecticut
$70 +$70 +5,341 New
CCMLC
163
Cardinal Capital Management LLC (Connecticut)
Connecticut
– -$3.35M -259,835 Closed
IH
164
IFC Holdings
Florida
– -$665K -51,650 Closed
ARTA
165
A.R.T. Advisors
New York
– -$611K -47,411 Closed
NSEDCP
166
NJ State Employees Deferred Compensation Plan
New Jersey
– -$516K -40,000 Closed
SCM
167
Silver Capital Management
New York
– -$462K -35,699 Closed
LCM
168
Landscape Capital Management
New Jersey
– -$261K -20,218 Closed
WFI
169
West Family Investments
California
– -$258 -20,000 Closed
Balyasny Asset Management
170
Balyasny Asset Management
Illinois
– -$195K -15,142 Closed
Squarepoint
171
Squarepoint
New York
– -$194K -15,050 Closed
FCM
172
FJ Capital Management
Virginia
– -$188K -15,000 Closed
KI
173
Koch Industries
Kansas
– -$176K -13,637 Closed
CCP
174
Clough Capital Partners
Massachusetts
– -$173K -13,400 Closed
SP
175
Steelhead Partners
Washington
– -$33K -2,532 Closed
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7
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