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Hercules Capital
HTGC

Overview Fund Activity

138 hedge funds and large institutions have $377M invested in Hercules Capital in 2014 Q3 according to their latest regulatory filings, with 17 funds opening new positions, 56 increasing their positions, 47 reducing their positions, and 31 closing their positions.

Holders
138
Holders Change
-14
Holders Change %
-9.21%
% of All Funds
4.01%
Holding in Top 10
3
Holding in Top 10 Change
-1
Holding in Top 10 Change %
-25%
% of All Funds
0.09%
New
17
Increased
56
Reduced
47
Closed
31
Calls
–
Puts
$1.27M
Net Calls
-$1.27M
Net Calls Change
+$271K

Top Buyers

1
EAM
1
Edge Asset Management
Washington
$22.9M
2
NIMC
2
NWQ Investment Management Company
California
$6.22M
3
LSV Asset Management
3
LSV Asset Management
Illinois
$15.1M
4
ZDA
4
Zweig-DiMenna Associates
New York
$1.34M
5
LTI
5
Laffer Tengler Investments
Tennessee
$11M

Top Sellers

1
DCM
1
Driehaus Capital Management
Illinois
$0
2
Northern Trust
2
Northern Trust
Illinois
$3.65M
3
Morgan Stanley
3
Morgan Stanley
New York
$9.39M
4
Deutsche Bank
4
Deutsche Bank
Germany
$2.74M
5
PP
5
Paloma Partners
Connecticut
$0
Name Market Value Shares Shares
Change 		Shares
Change %
T. Rowe Price Associates
1
T. Rowe Price Associates
Maryland
$41.8M 2,891,100 -25,400 -0.9%
EAM
2
Edge Asset Management
Washington
$22.9M 1,586,449 +304,529 +24%
U
3
UBS
Switzerland
$18.5M 1,280,266 -180,048 -12%
LSV Asset Management
4
LSV Asset Management
Illinois
$15.1M 1,044,588 +136,744 +15%
CCMLC
5
Cardinal Capital Management LLC (Connecticut)
Connecticut
$14.9M 1,027,170 +36,285 +4%
ACM
6
Advisors Capital Management
New Jersey
$14.7M 1,013,803 +77,987 +8%
Invesco
7
Invesco
Georgia
$14.2M 981,698 +22,046 +2%
Robeco Institutional Asset Management
8
Robeco Institutional Asset Management
Netherlands
$13.1M 907,301 -77,091 -8%
LTI
9
Laffer Tengler Investments
Tennessee
$11M 762,533 +92,687 +14%
Wells Fargo
10
Wells Fargo
California
$10.7M 738,122 +24,703 +3%
Principal Financial Group
11
Principal Financial Group
Iowa
$9.55M 660,737 +90,306 +16%
Morgan Stanley
12
Morgan Stanley
New York
$9.39M 649,366 -353,247 -35%
Loomis, Sayles & Company
13
Loomis, Sayles & Company
Massachusetts
$9.22M 637,465 -2,597 -0.4%
AAM
14
Advisors Asset Management
Colorado
$8.94M 617,881 -51,453 -8%
AllianceBernstein
15
AllianceBernstein
Tennessee
$8.59M 593,854 -18,763 -3%
PI
16
Putnam Investments
Massachusetts
$8.58M 593,030 +37,437 +7%
CIM
17
Confluence Investment Management
Missouri
$8.04M 556,011 +1,551 +0.3%
CPIM
18
Columbia Partners Investment Management
Virginia
$7.81M 539,803 -18,822 -3%
NIMC
19
NWQ Investment Management Company
California
$6.22M 430,400 +147,375 +52%
ACM
20
Ashford Capital Management
Delaware
$5.76M 397,992 -6,400 -2%
Stifel Financial
21
Stifel Financial
Missouri
$5.07M 350,618 +7,980 +2%
BG
22
BlackRock Group
United Kingdom
$4.31M 297,881 -58,377 -16%
MSA
23
Mason Street Advisors
Wisconsin
$3.83M 265,000 – –
GHAM
24
Gilman Hill Asset Management
Connecticut
$3.77M 260,533 +9,560 +4%
WCM
25
Wedge Capital Management
North Carolina
$3.72M 256,993 -2,150 -0.8%
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