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Hercules Capital

149 hedge funds and large institutions have $518M invested in Hercules Capital in 2013 Q4 according to their latest regulatory filings, with 27 funds opening new positions, 49 increasing their positions, 52 reducing their positions, and 10 closing their positions.

New
Increased
Maintained
Reduced
Closed

170% more first-time investments, than exits

New positions opened: 27 | Existing positions closed: 10

12% more funds holding

Funds holding: 133149 (+16)

0% more funds holding in top 10

Funds holding in top 10: 33 (0)

6% less repeat investments, than reductions

Existing positions increased: 49 | Existing positions reduced: 52

3.51% less ownership

Funds ownership: 54.31%50.8% (-3.5%)

30% less call options, than puts

Call options by funds: $378K | Put options by funds: $537K

93% less capital invested

Capital invested by funds: $7.68B → $518M (-$7.16B)

Holders
149
Holders Change
+16
Holders Change %
+12.03%
% of All Funds
4.33%
Holding in Top 10
3
Holding in Top 10 Change
Holding in Top 10 Change %
% of All Funds
0.09%
New
27
Increased
49
Reduced
52
Closed
10
Calls
$378K
Puts
$537K
Net Calls
-$159K
Net Calls Change
-$557K
Name Holding Trade Value Shares
Change
Change in
Stake
T. Rowe Price Associates
1
T. Rowe Price Associates
Maryland
$46.8M +$146K +9,040 +0.3%
Northern Trust
2
Northern Trust
Illinois
$25.3M +$701K +43,463 +3%
BFA
3
BlackRock Fund Advisors
California
$25.3M -$1.05M -65,260 -4%
Comerica Bank
4
Comerica Bank
Texas
$24.6M -$4.37M -270,777 -15%
State Street
5
State Street
Massachusetts
$17.7M +$35.2K +2,184 +0.2%
U
6
UBS
Switzerland
$17.4M +$1.63M +101,174 +11%
CCMLC
7
Cardinal Capital Management LLC (Connecticut)
Connecticut
$16.7M +$2.36M +146,044 +17%
AAM
8
Advisors Asset Management
Colorado
$16M -$581K -35,988 -4%
IG
9
ING Group
Netherlands
$15.9M
Invesco
10
Invesco
Georgia
$14.7M +$27.1K +1,681 +0.2%
Morgan Stanley
11
Morgan Stanley
New York
$14.5M +$6.65M +411,810 +88%
Robeco Institutional Asset Management
12
Robeco Institutional Asset Management
Netherlands
$13.6M +$4.62M +285,974 +52%
BIT
13
BlackRock Institutional Trust
California
$12.7M -$863K -53,493 -6%
EAM
14
Edge Asset Management
Washington
$12.5M -$9.71M -601,451 -44%
ACM
15
Advisors Capital Management
New Jersey
$12.3M +$1.25M +77,488 +12%
Vanguard Group
16
Vanguard Group
Pennsylvania
$11.8M +$239K +14,836 +2%
Loomis, Sayles & Company
17
Loomis, Sayles & Company
Massachusetts
$10.8M -$3.19M -197,419 -23%
Wells Fargo
18
Wells Fargo
California
$9.97M +$452K +27,983 +5%
CPIM
19
Columbia Partners Investment Management
Virginia
$9.41M -$601K -37,235 -6%
CIM
20
Confluence Investment Management
Missouri
$8.95M -$977K -60,538 -10%
LTI
21
Laffer Tengler Investments
Tennessee
$8.59M +$8.45M +523,631 New
BTS
22
BB&T Securities
Virginia
$8.34M +$176K +10,878 +27%
ACM
23
Ashford Capital Management
Delaware
$7.74M -$40.3K -2,500 -0.5%
LSV Asset Management
24
LSV Asset Management
Illinois
$7.2M -$15.4K -952 -0.2%
BG
25
BlackRock Group
United Kingdom
$6.88M +$264K +16,355 +4%

HTGC Hedge Fund Activity: Q4 2013 in Review

149 of the 3,445 institutional investors tracked by Wall St. Rank reported a position in Hercules Capital (HTGC) for Q4 2013, worth a combined $518M — down 93% from $7.68B a quarter earlier.

Buyers outnumbered sellers: 27 funds opened new HTGC positions and 10 closed out — a net gain of 17 holders — while 49 added to existing stakes and 52 trimmed.

The largest buyer was Laffer Tengler Investments, opening a new position worth an estimated $8.45M. The largest seller was DePrince Race & Zollo Inc (DRZ), exiting entirely with an estimated $16M sold.

  • 149 institutional investors held Hercules Capital (HTGC) as of Q4 2013, up from 133 in Q3 2013.
  • Funds reported $518M of Hercules Capital stock for Q4 2013, down 93% quarter-over-quarter.
  • 27 funds opened new Hercules Capital positions in Q4 2013 and 10 closed out, a net change of +17 holders.
  • The largest Hercules Capital buyer in Q4 2013 was Laffer Tengler Investments, an estimated $8.45M added.
  • The largest Hercules Capital seller in Q4 2013 was DePrince Race & Zollo Inc (DRZ), an estimated $16M sold.

Based on aggregated 13F filings for Q4 2013.