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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
CWC
176
Carolinas Wealth Consulting
North Carolina
$28K +$26.9K +1,736 New
CG
177
Cutler Group
California
$27K -$54.3K -3,500 -67%
PMFA
178
Plante Moran Financial Advisors
Michigan
$27K +$512 +33 +2%
MWP
179
Meridian Wealth Partners
Pennsylvania
$26K +$481 +31 +2%
Northwestern Mutual Wealth Management
180
Northwestern Mutual Wealth Management
Wisconsin
$24K – – –
BFC
181
Bedel Financial Consulting
Indiana
$24K +$23.3K +1,500 New
CFN
182
Cordasco Financial Network
Florida
$23K +$481 +31 +2%
CSPIA
183
Cary Street Partners Investment Advisory
Virginia
$23K +$359K +23,142 New
PA
184
Parallel Advisors
California
$22K – – –
QT
185
Quantbot Technologies
New York
$22K +$21.6K +1,393 New
AA
186
Ancora Advisors
Ohio
$20K – – –
PCG
187
Private Capital Group
Connecticut
$19K -$14.7K -950 -44%
GRP
188
Global Retirement Partners
California
$19K +$18.8K +1,214 New
OIA
189
Optimum Investment Advisors
Illinois
$18K – – –
BWA
190
BDO Wealth Advisors
Florida
$18K +$388 +25 +2%
RWB
191
RMR Wealth Builders
New Jersey
$18K +$6.43K +415 +61%
AWM
192
Avior Wealth Management
Nebraska
$16K – – –
WB
193
Webster Bank
Connecticut
$15K +$14K +905 New
DAM
194
Delta Asset Management
Tennessee
$13K – – –
First Manhattan
195
First Manhattan
New York
$13K – – –
CAM
196
ClariVest Asset Management
California
$12K – – –
AWM
197
Activest Wealth Management
Florida
$12K +$11.3K +728 New
SWM
198
Spire Wealth Management
Virginia
$10K +$9.38K +605 New
AA
199
AlphaMark Advisors
Kentucky
$9K – – –
GWMIA
200
Global Wealth Management Investment Advisory
Florida
$9K – – –
6 7
8
9 10

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.