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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 %
CWC
176
Carolinas Wealth Consulting
North Carolina
$28K +$28K +1,736 New
CG
177
Cutler Group
California
$27K -$55.6K -3,500 -67%
PMFA
178
Plante Moran Financial Advisors
Michigan
$27K +$529 +33 +2%
MWP
179
Meridian Wealth Partners
Pennsylvania
$26K +$501 +31 +2%
Northwestern Mutual Wealth Management
180
Northwestern Mutual Wealth Management
Wisconsin
$24K – – –
BFC
181
Bedel Financial Consulting
Indiana
$24K +$24K +1,500 New
CFN
182
Cordasco Financial Network
Florida
$23K +$503 +31 +2%
CSPIA
183
Cary Street Partners Investment Advisory
Virginia
$23K +$23K +23,142 New
PA
184
Parallel Advisors
California
$22K – – –
QT
185
Quantbot Technologies
New York
$22K +$22K +1,393 New
AA
186
Ancora Advisors
Ohio
$20K – – –
PCG
187
Private Capital Group
Connecticut
$19K -$15.1K -950 -44%
GRP
188
Global Retirement Partners
California
$19K +$19K +1,214 New
OIA
189
Optimum Investment Advisors
Illinois
$18K – – –
BWA
190
BDO Wealth Advisors
Florida
$18K +$394 +25 +2%
RWB
191
RMR Wealth Builders
New Jersey
$18K +$6.83K +415 +61%
AWM
192
Avior Wealth Management
Nebraska
$16K – – –
WB
193
Webster Bank
Connecticut
$15K +$15K +905 New
First Manhattan
194
First Manhattan
New York
$13K – – –
DAM
195
Delta Asset Management
Tennessee
$13K – – –
CAM
196
ClariVest Asset Management
California
$12K – – –
AWM
197
Activest Wealth Management
Florida
$12K +$12K +728 New
SWM
198
Spire Wealth Management
Virginia
$10K +$10K +605 New
GWMIA
199
Global Wealth Management Investment Advisory
Florida
$9K – – –
AA
200
AlphaMark Advisors
Kentucky
$9K – – –
6 7
8
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