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Hercules Capital
HTGC

Overview Fund Activity

169 hedge funds and large institutions have $392M invested in Hercules Capital in 2019 Q1 according to their latest regulatory filings, with 32 funds opening new positions, 59 increasing their positions, 51 reducing their positions, and 31 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
169
Holders Change
-2
Holders Change %
-1.17%
% of All Funds
3.66%
Holding in Top 10
5
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.11%
New
32
Increased
59
Reduced
51
Closed
31
Calls
$494K
Puts
$3.68M
Net Calls
-$3.19M
Net Calls Change
-$2.61M

Top Buyers

1
Royal Bank of Canada
1
Royal Bank of Canada
Ontario, Canada
$27.4M
2
JPMorgan Chase & Co
2
JPMorgan Chase & Co
New York
$25.3M
3
Goldman Sachs
3
Goldman Sachs
New York
$6.26M
4
SAMH
4
Shanda Asset Management Holdings
British Virgin Islands
$30.4M
5
Bank of Montreal
5
Bank of Montreal
Ontario, Canada
$3.84M

Top Sellers

1
AM
1
Ares Management
California
$7.33M
2
UBS Group
2
UBS Group
Switzerland
$16.6M
3
NC
3
Northpointe Capital
Michigan
$0
4
Loomis, Sayles & Company
4
Loomis, Sayles & Company
Massachusetts
$0
5
CFG
5
CNO Financial Group
Indiana
$0
Name Holding Trade Value Shares
Change 		Shares
Change %
SCM
176
Shelton Capital Management
Colorado
– -$763K -69,050 Closed
TRSOTSOK
177
Teachers Retirement System of the State of Kentucky
Kentucky
– -$700K -63,364 Closed
Wellington Management Group
178
Wellington Management Group
Massachusetts
– -$700K -63,364 Closed
PI
179
PineBridge Investments
New York
– -$693K -62,684 Closed
Aberdeen Group
180
Aberdeen Group
United Kingdom
– -$651K -58,000 Closed
OAM
181
Oxford Asset Management
United Kingdom
– -$445K -40,274 Closed
BCM
182
BlueCrest Capital Management
Jersey
– -$306K -27,714 Closed
JIC
183
Joel Isaacson & Co
New York
– -$305K -25,000 Closed
CC
184
Cipher Capital
New York
– -$267K -24,153 Closed
CSS
185
Cubist Systematic Strategies
Connecticut
– -$242K -21,900 Closed
AAS
186
Annex Advisory Services
Wisconsin
– -$194K -17,550 Closed
QC
187
Quadrature Capital
United Kingdom
– -$176K -15,951 Closed
TCM
188
Tufton Capital Management
Maryland
– -$143K -12,981 Closed
State of Tennessee, Department of Treasury
189
State of Tennessee, Department of Treasury
Tennessee
– -$127K -11,500 Closed
AAS
190
Avantax Advisory Services
Texas
– -$112K -10,125 Closed
EC
191
EJF Capital
Virginia
– -$111K -10,000 Closed
WAM
192
Wolverine Asset Management
Illinois
– -$77K -7,006 Closed
Simplex Trading
193
Simplex Trading
Illinois
– -$49K -4,467 Closed
SGS
194
Sterling Global Strategies
California
– -$8.45K -765 Closed
Fifth Third Bancorp
195
Fifth Third Bancorp
Ohio
– -$5K -470 Closed
WTC
196
WhitTier Trust Company
Nevada
– -$3K -274 Closed
IA
197
IFP Advisors
Florida
– -$3K -224 Closed
WAM
198
Wealthspire Advisors (Maryland)
Maryland
– -$2K -168 Closed
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