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Hercules Capital
HTGC

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

121% more first-time investments, than exits

New positions opened: 42 | Existing positions closed: 19

25% more repeat investments, than reductions

Existing positions increased: 75 | Existing positions reduced: 60

10% more funds holding

Funds holding: 193 → 213 (+20)

5% more capital invested

Capital invested by funds: $486M → $510M (+$23.4M)

0% more funds holding in top 10

Funds holding in top 10: 5 → 5 (0)

1.87% less ownership

Funds ownership: 29.42% → 27.56% (-1.9%)

14% less call options, than puts

Call options by funds: $3.83M | Put options by funds: $4.44M

Holders
213
Holders Change
+20
Holders Change %
+10.36%
% of All Funds
3.74%
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
UBS Group
Switzerland
+$4.31M
2
VanEck Associates
VanEck Associates
New York
+$1.63M
3
Invesco
Invesco
Georgia
+$1.49M
4
CIBC Private Wealth Group
CIBC Private Wealth Group
Georgia
+$1.49M
5
Bank of New York Mellon
Bank of New York Mellon
New York
+$1.45M

Top Sellers

1
SAMH
Shanda Asset Management Holdings
British Virgin Islands
-$14M
2
MHI
Miller Howard Investments
New York
-$7.91M
3
JP Morgan Chase
JP Morgan Chase
New York
-$5.01M
4
MC
Muzinich & Co
New York
-$4.68M
5
Sumitomo Mitsui Trust Group
Sumitomo Mitsui Trust Group
Japan
-$4.59M
Name Holding Trade Value Shares
Change 		Change in
Stake
BRWA
151
B. Riley Wealth Advisors
Florida
$169K +$163K +10,504 New
DI
152
Diligent Investors
California
$167K +$161K +10,410 New
BAAM
153
Baker Avenue Asset Management
California
$164K – – –
Man Group
154
Man Group
United Kingdom
$162K +$157K +10,105 New
FIA
155
FNY Investment Advisers
New York
$141K +$137K +8,839 New
AWC
156
Abundance Wealth Counselors
Pennsylvania
$137K +$132K +8,524 New
PO
157
Private Ocean
California
$120K +$38.3K +2,472 +49%
RE
158
RBC Europe
United Kingdom
$112K – – –
WAM
159
Wolverine Asset Management
Illinois
$110K +$107K +6,877 New
BNP Paribas Financial Markets
160
BNP Paribas Financial Markets
France
$107K +$54.8K +3,535 +113%
ED
161
Exane Derivatives
France
$81.4K +$78.8K +5,081 New
RWM
162
RBA Wealth Management
California
$64.2K +$62.1K +4,006 New
BCA
163
Berman Capital Advisors
Georgia
$64K – – –
HI
164
Harbour Investments
Wisconsin
$63K +$60.6K +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 +$49.2K +3,171 New
CBT
168
CoreFirst Bank & Trust
Kansas
$48K – – –
OCM
169
Orion Capital Management
California
$48K – – –
SIM
170
Sonora Investment Management
Arizona
$48K +$46.5K +3,000 New
Carson Wealth (CWM LLC)
171
Carson Wealth (CWM LLC)
Nebraska
$43K – – –
TCM
172
Tradewinds Capital Management
Washington
$41K +$760 +49 +2%
TCWM
173
Total Clarity Wealth Management
Illinois
$41K +$39.9K +2,575 New
CCM
174
Covington Capital Management
California
$40K -$15.6K -1,008 -29%
AWM
175
Atticus Wealth Management
Florida
$39K -$15.2K -979 -29%
5 6
7
8 9

HTGC Hedge Fund Activity: Q1 2021 in Review

213 of the 5,695 institutional investors tracked by Wall St. Rank reported a position in Hercules Capital (HTGC) for Q1 2021, worth a combined $510M — up 4.8% from $486M a quarter earlier.

Buyers outnumbered sellers: 42 funds opened new HTGC positions and 19 closed out — a net gain of 23 holders — while 75 added to existing stakes and 60 trimmed.

The largest buyer was UBS Group, adding an estimated $4.31M. The largest seller was Shanda Asset Management Holdings, cutting an estimated $14M.

  • 213 institutional investors held Hercules Capital (HTGC) as of Q1 2021, up from 193 in Q4 2020.
  • Funds reported $510M of Hercules Capital stock for Q1 2021, up 4.8% quarter-over-quarter.
  • 42 funds opened new Hercules Capital positions in Q1 2021 and 19 closed out, a net change of +23 holders.
  • The largest Hercules Capital buyer in Q1 2021 was UBS Group, an estimated $4.31M added.
  • The largest Hercules Capital seller in Q1 2021 was Shanda Asset Management Holdings, an estimated $14M sold.

Based on aggregated 13F filings for Q1 2021.