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Hercules Capital
HTGC

Overview Fund Activity

191 hedge funds and large institutions have $494M invested in Hercules Capital in 2019 Q4 according to their latest regulatory filings, with 42 funds opening new positions, 61 increasing their positions, 47 reducing their positions, and 24 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
191
Holders Change
+14
Holders Change %
+7.91%
% of All Funds
3.77%
Holding in Top 10
4
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.08%
New
42
Increased
61
Reduced
47
Closed
24
Calls
$964K
Puts
$722K
Net Calls
+$242K
Net Calls Change
+$1.92M

Top Buyers

1
Arrowstreet Capital
1
Arrowstreet Capital
Massachusetts
$7.92M
2
Macquarie Group
2
Macquarie Group
Australia
$8.31M
3
Millennium Management
3
Millennium Management
New York
$11.3M
4
Assenagon Asset Management
4
Assenagon Asset Management
Luxembourg
$3.07M
5
Rockefeller Capital Management
5
Rockefeller Capital Management
New York
$2.98M

Top Sellers

1
JPMorgan Chase & Co
1
JPMorgan Chase & Co
New York
$13.9M
2
MPAM
2
Monarch Partners Asset Management
Massachusetts
$1.74M
3
Two Sigma Investments
3
Two Sigma Investments
New York
$1.34M
4
Deutsche Bank
4
Deutsche Bank
Germany
$896K
5
Citadel Advisors
5
Citadel Advisors
Florida
$5.84M
Name Holding Trade Value Shares
Change 		Shares
Change %
Carson Wealth (CWM LLC)
151
Carson Wealth (CWM LLC)
Nebraska
$43K – – –
TCM
152
Tradewinds Capital Management
Washington
$32K +$710 +50 +2%
PCG
153
Private Capital Group
Connecticut
$30K – – –
BNP Paribas Financial Markets
154
BNP Paribas Financial Markets
France
$29.3K +$2.94K +210 +11%
TFS
155
TrustCore Financial Services
Tennessee
$27K – – –
LPWM
156
Lake Point Wealth Management
Texas
$25K +$25K +1,750 New
TCWM
157
Total Clarity Wealth Management
Illinois
$22K +$22K +1,550 New
Northwestern Mutual Wealth Management
158
Northwestern Mutual Wealth Management
Wisconsin
$21K – – –
PA
159
PSI Advisors
Florida
$18K +$18K +1,350 New
CFN
160
Cordasco Financial Network
Florida
$17K -$18.5K -1,352 -52%
PMFA
161
Plante Moran Financial Advisors
Michigan
$17K +$377 +27 +2%
AWM
162
Atticus Wealth Management
Florida
$17K +$17K +1,180 New
AF
163
Allworth Financial
California
$15K +$362 +26 +2%
Fifth Third Bancorp
164
Fifth Third Bancorp
Ohio
$15K +$15K +1,047 New
TI
165
tru Independence
Oregon
$15K +$15K +2,000 New
WOC
166
West Oak Capital
California
$14K -$28K -2,000 -67%
AWM
167
Avior Wealth Management
Nebraska
$14K +$14K +1,060 New
SFS
168
Sowell Financial Services
Arkansas
$11K -$134 -10 -1%
AWA
169
Artemis Wealth Advisors
New York
$9.41K +$9.41K +671 New
VRM
170
Vectors Research Management
New York
$9K +$4.85K +350 +117%
AA
171
Ancora Advisors
Ohio
$9K +$9K +639 New
RWB
172
RMR Wealth Builders
New Jersey
$9K +$9K +671 New
EFSCE
173
Enterprise Financial Services Corp (EFSC)
Missouri
$8K – – –
BBHC
174
Brown Brothers Harriman & Co
New York
$7K -$26.8K -2,000 -79%
BFEC
175
Benjamin F. Edwards & Company
Missouri
$7K – – –
5 6
7
8 9