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Hercules Capital
HTGC

Overview Fund Activity

199 hedge funds and large institutions have $289M invested in Hercules Capital in 2020 Q1 according to their latest regulatory filings, with 37 funds opening new positions, 71 increasing their positions, 61 reducing their positions, and 26 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
199
Holders Change
+8
Holders Change %
+4.19%
% of All Funds
4.4%
Holding in Top 10
3
Holding in Top 10 Change
-1
Holding in Top 10 Change %
-25%
% of All Funds
0.07%
New
37
Increased
71
Reduced
61
Closed
26
Calls
$716K
Puts
$1.22M
Net Calls
-$508K
Net Calls Change
-$750K

Top Buyers

1
SAMH
1
Shanda Asset Management Holdings
British Virgin Islands
$42.1M
2
Sumitomo Mitsui Trust Group
2
Sumitomo Mitsui Trust Group
Japan
$7.25M
3
Deutsche Bank
3
Deutsche Bank
Germany
$5.73M
4
Marshall Wace
4
Marshall Wace
United Kingdom
$2.8M
5
JPMorgan Chase & Co
5
JPMorgan Chase & Co
New York
$10.4M

Top Sellers

1
UBS Group
1
UBS Group
Switzerland
$769K
2
Assenagon Asset Management
2
Assenagon Asset Management
Luxembourg
$0
3
Arrowstreet Capital
3
Arrowstreet Capital
Massachusetts
$1.34M
4
CIM
4
Confluence Investment Management
Missouri
$4.03M
5
Royal Bank of Canada
5
Royal Bank of Canada
Ontario, Canada
$14.7M
Name Holding Trade Value Shares
Change 		Shares
Change %
Lazard Asset Management
151
Lazard Asset Management
New York
$53K – – –
LC
152
Lindbrook Capital
California
$46K +$46K +6,000 New
Carson Wealth (CWM LLC)
153
Carson Wealth (CWM LLC)
Nebraska
$43K – – –
PO
154
Private Ocean
California
$35K – – –
OIA
155
Optimum Investment Advisors
Illinois
$27K -$23.1K -3,000 -46%
CCM
156
Covington Capital Management
California
$27K – – –
HCM
157
Highlander Capital Management
New Jersey
$27K – – –
PA
158
Parallel Advisors
California
$24K -$26.1K -3,465 -52%
TCM
159
Tradewinds Capital Management
Washington
$18K +$429 +55 +2%
AA
160
Advisory Alpha
Michigan
$17K -$13.9K -1,600 -45%
AWM
161
Atticus Wealth Management
Florida
$17K +$7.8K +1,000 +85%
PCG
162
Private Capital Group
Connecticut
$16K – – –
TFS
163
TrustCore Financial Services
Tennessee
$15K – – –
LPWM
164
Lake Point Wealth Management
Texas
$14K +$757 +100 +6%
BNP Paribas Financial Markets
165
BNP Paribas Financial Markets
France
$13.9K -$2.03K -265 -13%
Northwestern Mutual Wealth Management
166
Northwestern Mutual Wealth Management
Wisconsin
$11K – – –
PMFA
167
Plante Moran Financial Advisors
Michigan
$11K +$1.38K +174 +14%
CFN
168
Cordasco Financial Network
Florida
$10K +$297 +38 +3%
AA
169
Ancora Advisors
Ohio
$10K +$4.89K +611 +96%
OPS
170
Orion Portfolio Solutions
Nebraska
$9K +$9K +1,157 New
Group One Trading
171
Group One Trading
Illinois
$9K +$9K +1,200 New
Fifth Third Bancorp
172
Fifth Third Bancorp
Ohio
$8K – – –
AWM
173
Avior Wealth Management
Nebraska
$8K – – –
AF
174
Allworth Financial
California
$8K +$238 +33 +3%
SBL
175
Sargent Bickham Lagudis
Colorado
$8K +$8K +1,000 New
5 6
7
8 9