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Hercules Capital
HTGC

Overview Fund Activity

177 hedge funds and large institutions have $466M invested in Hercules Capital in 2019 Q3 according to their latest regulatory filings, with 22 funds opening new positions, 67 increasing their positions, 48 reducing their positions, and 30 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
177
Holders Change
-9
Holders Change %
-4.84%
% of All Funds
3.89%
Holding in Top 10
4
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.09%
New
22
Increased
67
Reduced
48
Closed
30
Calls
$152K
Puts
$1.83M
Net Calls
-$1.68M
Net Calls Change
+$1.05M

Top Buyers

1
Citadel Advisors
1
Citadel Advisors
Florida
$7.38M
2
SIS
2
Sound Income Strategies
Florida
$25.5M
3
MPAM
3
Monarch Partners Asset Management
Massachusetts
$7.1M
4
BlackRock
4
BlackRock
New York
$7.5M
5
Macquarie Group
5
Macquarie Group
Australia
$3.21M

Top Sellers

1
Millennium Management
1
Millennium Management
New York
$6.75M
2
UBS Group
2
UBS Group
Switzerland
$16.3M
3
PI
3
Putnam Investments
Massachusetts
$0
4
GIM
4
Greenwich Investment Management
Connecticut
$793K
5
JPMorgan Chase & Co
5
JPMorgan Chase & Co
New York
$24.7M
Name Holding Trade Value Shares
Change 		Shares
Change %
JFGIW
151
Johnson Financial Group Inc (Wisconsin)
Wisconsin
$24K +$24K +1,760 New
Northwestern Mutual Wealth Management
152
Northwestern Mutual Wealth Management
Wisconsin
$20K +$20K +1,500 New
PMFA
153
Plante Moran Financial Advisors
Michigan
$16K +$3.47K +258 +28%
AF
154
Allworth Financial
California
$14K +$346 +26 +3%
GAM
155
Gemmer Asset Management
California
$13K -$3.42K -250 -21%
AIM
156
Advantage Investment Management
Iowa
$11K – – –
SFS
157
Sowell Financial Services
Arkansas
$11K +$11K +830 New
BFEC
158
Benjamin F. Edwards & Company
Missouri
$7K -$1.4K -100 -17%
EFSCE
159
Enterprise Financial Services Corp (EFSC)
Missouri
$7K – – –
JCM
160
Jacobi Capital Management
Pennsylvania
$7K – – –
THWM
161
Taylor Hoffman Wealth Management
Virginia
$7K – – –
S
162
SignatureFD
Georgia
$6K +$6K +471 New
TSW
163
Thompson Siegel & Walmsley
Virginia
$5K – – –
First Manhattan
164
First Manhattan
New York
$4K – – –
VRM
165
Vectors Research Management
New York
$4K +$4K +300 New
QCIG
166
Quad-Cities Investment Group
Iowa
$3K – – –
LFG
167
Larson Financial Group
Missouri
$3K +$3K +200 New
VFA
168
Valeo Financial Advisors
Indiana
$3K +$3K +205 New
Barclays
169
Barclays
United Kingdom
$2K -$8K -560 -80%
GWMIA
170
Global Wealth Management Investment Advisory
Florida
$2K +$2K +170 New
KWA
171
KCS Wealth Advisory
California
$1.36K +$1.36K +102 New
WAP
172
Wealthcare Advisory Partners
Pennsylvania
$1K -$5.15K -510 -84%
WAMC
173
Western Asset Management Company
California
$1K – – –
AA
174
AlphaMark Advisors
Kentucky
$1K +$1K +90 New
PI
175
Putnam Investments
Massachusetts
– -$2.13M -165,844 Closed
5 6
7
8 9