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Hercules Capital
HTGC

Overview Fund Activity

171 hedge funds and large institutions have $391M invested in Hercules Capital in 2018 Q4 according to their latest regulatory filings, with 28 funds opening new positions, 69 increasing their positions, 48 reducing their positions, and 37 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
171
Holders Change
-10
Holders Change %
-5.52%
% of All Funds
3.82%
Holding in Top 10
5
Holding in Top 10 Change
-1
Holding in Top 10 Change %
-16.67%
% of All Funds
0.11%
New
28
Increased
69
Reduced
48
Closed
37
Calls
$122K
Puts
$705K
Net Calls
-$583K
Net Calls Change
+$51K

Top Buyers

1
JPMorgan Chase & Co
1
JPMorgan Chase & Co
New York
$17.7M
2
SAMH
2
Shanda Asset Management Holdings
British Virgin Islands
$23.2M
3
MPAM
3
Monarch Partners Asset Management
Massachusetts
$8.1M
4
AM
4
Ares Management
California
$19.1M
5
Susquehanna International Group
5
Susquehanna International Group
Pennsylvania
$1.63M

Top Sellers

1
Principal Financial Group
1
Principal Financial Group
Iowa
$0
2
UBS Group
2
UBS Group
Switzerland
$21.2M
3
NC
3
Northpointe Capital
Michigan
$5.33M
4
RJA
4
Raymond James & Associates
Florida
$1.04M
5
AllianceBernstein
5
AllianceBernstein
Tennessee
$4.16M
Name Holding Trade Value Shares
Change 		Shares
Change %
BNP Paribas Financial Markets
151
BNP Paribas Financial Markets
France
$19.9K +$177 +16 +0.9%
FHB
152
First Hawaiian Bank
Hawaii
$15K – – –
AIM
153
Advantage Investment Management
Iowa
$9K – – –
SGS
154
Sterling Global Strategies
California
$8.45K +$8.45K +765 New
BFEC
155
Benjamin F. Edwards & Company
Missouri
$7K +$1.78K +171 +34%
THWM
156
Taylor Hoffman Wealth Management
Virginia
$6K – – –
JCM
157
Jacobi Capital Management
Pennsylvania
$6K +$6K +500 New
PA
158
Parallel Advisors
California
$5K – – –
Fifth Third Bancorp
159
Fifth Third Bancorp
Ohio
$5K – – –
MPWT
160
MassMutual Private Wealth & Trust
Connecticut
$4.13K -$1.11K -100 -21%
TSW
161
Thompson Siegel & Walmsley
Virginia
$4K – – –
First Manhattan
162
First Manhattan
New York
$3K -$37K -3,700 -93%
IA
163
IFP Advisors
Florida
$3K -$42.6K -3,182 -93%
QCIG
164
Quad-Cities Investment Group
Iowa
$3K +$1K +100 +50%
WTC
165
WhitTier Trust Company
Nevada
$3K +$3K +274 New
Nordea Investment Management
166
Nordea Investment Management
Sweden
$3K +$3K +300 New
WAM
167
Wealthspire Advisors (Maryland)
Maryland
$2K – – –
WAP
168
Wealthcare Advisory Partners
Pennsylvania
$2K +$27 +3 +1%
CF
169
Centaurus Financial
California
$696 +$641 +7,078 +1,164%
Principal Financial Group
170
Principal Financial Group
Iowa
– -$30.8M -2,342,434 Closed
CPP
171
Crow Point Partners
Massachusetts
– -$1.65M -125,000 Closed
SFI
172
Susquehanna Fundamental Investments
Pennsylvania
– -$657K -49,933 Closed
Jane Street
173
Jane Street
New York
– -$537K -40,843 Closed
VF
174
Virtu Financial
New York
– -$351K -26,701 Closed
NFA
175
Nuveen Fund Advisors
Illinois
– -$314K -23,858 Closed
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