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Hercules Capital
HTGC

Overview Fund Activity

218 hedge funds and large institutions have $511M invested in Hercules Capital in 2021 Q3 according to their latest regulatory filings, with 27 funds opening new positions, 83 increasing their positions, 60 reducing their positions, and 21 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
218
Holders Change
+4
Holders Change %
+1.87%
% of All Funds
3.83%
Holding in Top 10
3
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.05%
New
27
Increased
83
Reduced
60
Closed
21
Calls
$9.7M
Puts
$11.3M
Net Calls
-$1.64M
Net Calls Change
+$892K

Top Buyers

1
Two Sigma Investments
1
Two Sigma Investments
New York
$8.47M
2
Invesco
2
Invesco
Georgia
$18M
3
BlackRock
3
BlackRock
New York
$15.5M
4
UIC
4
Uniplan Investment Counsel
Wisconsin
$2.6M
5
LCWP
5
Legacy Capital Wealth Partners
Arkansas
$2.38M

Top Sellers

1
Arrowstreet Capital
1
Arrowstreet Capital
Massachusetts
$0
2
SAMH
2
Shanda Asset Management Holdings
British Virgin Islands
$5.54M
3
D.E. Shaw & Co
3
D.E. Shaw & Co
New York
$1.23M
4
Skandinaviska Enskilda Banken (SEB)
4
Skandinaviska Enskilda Banken (SEB)
Sweden
$0
5
MC
5
Muzinich & Co
New York
$8.53M
Name Holding Trade Value Shares
Change 		Shares
Change %
CFB
176
Cullen/Frost Bankers
Texas
$33K +$33K +2,000 New
SIM
177
Sonora Investment Management
Arizona
$30K -$3.33K -200 -10%
LPWM
178
Lake Point Wealth Management
Texas
$29K – – –
PMFA
179
Plante Moran Financial Advisors
Michigan
$29K +$531 +32 +2%
HCP
180
Hexagon Capital Partners
Arkansas
$29K +$29K +1,766 New
NFG
181
Next Financial Group
Texas
$28K +$17.6K +1,050 +170%
Northwestern Mutual Wealth Management
182
Northwestern Mutual Wealth Management
Wisconsin
$25K – – –
BFC
183
Bedel Financial Consulting
Indiana
$25K – – –
CFN
184
Cordasco Financial Network
Florida
$25K +$556 +33 +2%
PA
185
Parallel Advisors
California
$25K +$1.98K +119 +9%
PCG
186
Private Capital Group
Connecticut
$22K +$2.42K +148 +12%
AA
187
Ancora Advisors
Ohio
$21K – – –
CBT
188
CoreFirst Bank & Trust
Kansas
$20K -$22.8K -1,398 -53%
GRP
189
Global Retirement Partners
California
$20K – – –
BWA
190
BDO Wealth Advisors
Florida
$20K +$452 +27 +2%
CA
191
Clearstead Advisors
Ohio
$19K +$19K +1,117 New
AWM
192
Atticus Wealth Management
Florida
$18K -$22.4K -1,345 -55%
MCM
193
MV Capital Management
Maryland
$18K – – –
OIA
194
Optimum Investment Advisors
Illinois
$18K – – –
WB
195
Webster Bank
Connecticut
$15K – – –
KA
196
Kozak & Associates
Colorado
$15K +$15K +867 New
TPCW
197
TD Private Client Wealth
New York
$15K +$15K +903 New
DAM
198
Delta Asset Management
Tennessee
$13K – – –
First Manhattan
199
First Manhattan
New York
$13K – – –
CAM
200
ClariVest Asset Management
California
$12K – – –
6 7
8
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