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Hercules Capital
HTGC

Overview Fund Activity

213 hedge funds and large institutions have $510M invested in Hercules Capital in 2021 Q1 according to their latest regulatory filings, with 42 funds opening new positions, 75 increasing their positions, 60 reducing their positions, and 19 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
213
Holders Change
+20
Holders Change %
+10.36%
% of All Funds
3.75%
Holding in Top 10
5
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.09%
New
42
Increased
75
Reduced
60
Closed
19
Calls
$3.83M
Puts
$4.44M
Net Calls
-$611K
Net Calls Change
-$4.04M

Top Buyers

1
UBS Group
1
UBS Group
Switzerland
$6.43M
2
VanEck Associates
2
VanEck Associates
New York
$18.8M
3
Invesco
3
Invesco
Georgia
$12.6M
4
CIBC Private Wealth Group
4
CIBC Private Wealth Group
Georgia
$1.54M
5
Bank of New York Mellon
5
Bank of New York Mellon
New York
$2.69M

Top Sellers

1
SAMH
1
Shanda Asset Management Holdings
British Virgin Islands
$16M
2
MHI
2
Miller Howard Investments
New York
$0
3
JPMorgan Chase & Co
3
JPMorgan Chase & Co
New York
$15.9M
4
MC
4
Muzinich & Co
New York
$12.1M
5
Sumitomo Mitsui Trust Group
5
Sumitomo Mitsui Trust Group
Japan
$12M
Name Holding Trade Value Shares
Change 		Shares
Change %
BRWA
151
B. Riley Wealth Advisors
Florida
$169K +$169K +10,504 New
DI
152
Diligent Investors
California
$167K +$167K +10,410 New
BAAM
153
Baker Avenue Asset Management
California
$164K – – –
Man Group
154
Man Group
United Kingdom
$162K +$162K +10,105 New
FIA
155
FNY Investment Advisers
New York
$141K +$141K +8,839 New
AWC
156
Abundance Wealth Counselors
Pennsylvania
$137K +$137K +8,524 New
PO
157
Private Ocean
California
$120K +$39.5K +2,472 +49%
RE
158
RBC Europe
United Kingdom
$112K – – –
WAM
159
Wolverine Asset Management
Illinois
$110K +$110K +6,877 New
BNP Paribas Financial Markets
160
BNP Paribas Financial Markets
France
$107K +$56.7K +3,535 +113%
ED
161
Exane Derivatives
France
$81.4K +$81.4K +5,081 New
RWM
162
RBA Wealth Management
California
$64.2K +$64.2K +4,006 New
BCA
163
Berman Capital Advisors
Georgia
$64K – – –
HI
164
Harbour Investments
Wisconsin
$63K +$63K +3,906 New
Bank of Montreal
165
Bank of Montreal
Ontario, Canada
$62K – – –
HCM
166
Highlander Capital Management
New Jersey
$57K – – –
JPLA
167
Joseph P. Lucia & Associates
New York
$51K +$51K +3,171 New
CBT
168
CoreFirst Bank & Trust
Kansas
$48K – – –
OCM
169
Orion Capital Management
California
$48K – – –
SIM
170
Sonora Investment Management
Arizona
$48K +$48K +3,000 New
Carson Wealth (CWM LLC)
171
Carson Wealth (CWM LLC)
Nebraska
$43K – – –
TCM
172
Tradewinds Capital Management
Washington
$41K +$788 +49 +2%
TCWM
173
Total Clarity Wealth Management
Illinois
$41K +$41K +2,575 New
CCM
174
Covington Capital Management
California
$40K -$16.2K -1,008 -29%
AWM
175
Atticus Wealth Management
Florida
$39K -$15.9K -979 -29%
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7
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