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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
SFPG
201
Stonebridge Financial Planning Group
Florida
$8K – – –
TAM
202
Tucker Asset Management
Colorado
$7.44K – – –
HNB
203
Huntington National Bank
Ohio
$7K -$21.6K -1,391 -77%
EVM
204
Eaton Vance Management
Massachusetts
$7K +$6.92K +446 New
GAM
205
Gemmer Asset Management
California
$5K -$3.1K -200 -40%
SFS
206
Sowell Financial Services
Arkansas
$5K – – –
WT
207
Whittier Trust
California
$4K +$3.88K +250 New
GWSG
208
GPS Wealth Strategies Group
Colorado
$4K +$4.65K +300 New
AIC
209
Ameritas Investment Company
Nebraska
$3.32K +$3.21K +207 New
MF
210
Manchester Financial
California
$3K -$667 -43 -18%
VNA
211
Valley National Advisers
Pennsylvania
$3K – – –
LWANC
212
Laurel Wealth Advisors (North Carolina)
North Carolina
$3K +$78 +5 +3%
APWM
213
Atlas Private Wealth Management
New York
$1K +$1.08K +70 New
MHI
214
Miller Howard Investments
New York
– -$7.91M -548,552 Closed
Two Sigma Investments
215
Two Sigma Investments
New York
– -$1.5M -104,308 Closed
JMPWA
216
JP Morgan Private Wealth Advisors
California
– -$623K -43,184 Closed
Millennium Management
217
Millennium Management
New York
– -$605K -41,957 Closed
SP
218
Steelhead Partners
Washington
– -$515K -35,709 Closed
ACM
219
AlphaCrest Capital Management
New York
– -$476K -33,000 Closed
CC
220
Cipher Capital
New York
– -$455K -31,549 Closed
VAM
221
Verity Asset Management
North Carolina
– -$258K -17,907 Closed
PI
222
PEAK6 Investments
Illinois
– -$203K -13,097 Closed
GG
223
Golden Green
South Carolina
– -$153K -10,634 Closed
ASN
224
Advisory Services Network
Georgia
– -$84K -5,816 Closed
TFS
225
TrustCore Financial Services
Tennessee
– -$14K -955 Closed
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.