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Hercules Capital
HTGC

Overview Fund Activity

144 hedge funds and large institutions have $12.5B invested in Hercules Capital in 2014 Q4 according to their latest regulatory filings, with 26 funds opening new positions, 49 increasing their positions, 44 reducing their positions, and 19 closing their positions.

Holders
144
Holders Change
+6
Holders Change %
+4.35%
% of All Funds
3.84%
Holding in Top 10
3
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.08%
New
26
Increased
49
Reduced
44
Closed
19
Calls
–
Puts
$912K
Net Calls
-$912K
Net Calls Change
+$358K

Top Buyers

1
UBS Group
1
UBS Group
Switzerland
$21.3M
2
MC
2
Muzinich & Co
New York
$5.1M
3
Loomis, Sayles & Company
3
Loomis, Sayles & Company
Massachusetts
$12.9M
4
CIP
4
Chartwell Investment Partners
Pennsylvania
$3.11M
5
BF
5
BOK Financial
Oklahoma
$2.44M

Top Sellers

1
LTI
1
Laffer Tengler Investments
Tennessee
$12.2B
2
Robeco Institutional Asset Management
2
Robeco Institutional Asset Management
Netherlands
$7.02M
3
AAM
3
Advisors Asset Management
Colorado
$4.71M
4
Goldman Sachs
4
Goldman Sachs
New York
$1.66M
5
Susquehanna International Group
5
Susquehanna International Group
Pennsylvania
$720K
Name Market Value Shares Shares
Change 		Shares
Change %
LTI
1
Laffer Tengler Investments
Tennessee
– – -762,533 Closed
T. Rowe Price Associates
2
T. Rowe Price Associates
Maryland
$42.7M 2,868,800 -22,300 -0.8%
EAM
3
Edge Asset Management
Washington
$23.7M 1,592,684 +6,235 +0.4%
UBS Group
4
UBS Group
Switzerland
$21.3M 1,428,206 +1,428,206 New
Invesco
5
Invesco
Georgia
$16.6M 1,117,909 +136,211 +14%
ACM
6
Advisors Capital Management
New Jersey
$15.8M 1,063,736 +49,933 +5%
LSV Asset Management
7
LSV Asset Management
Illinois
$15.7M 1,055,488 +10,900 +1%
CCMLC
8
Cardinal Capital Management LLC (Connecticut)
Connecticut
$15M 1,010,363 -16,807 -2%
Loomis, Sayles & Company
9
Loomis, Sayles & Company
Massachusetts
$12.9M 870,027 +232,562 +36%
Wells Fargo
10
Wells Fargo
California
$11.7M 786,207 +48,085 +7%
Principal Financial Group
11
Principal Financial Group
Iowa
$10.5M 706,548 +45,811 +7%
Morgan Stanley
12
Morgan Stanley
New York
$8.49M 570,722 -78,644 -12%
CIM
13
Confluence Investment Management
Missouri
$8.29M 557,072 +1,061 +0.2%
AllianceBernstein
14
AllianceBernstein
Tennessee
$8.28M 556,514 -37,340 -6%
PI
15
Putnam Investments
Massachusetts
$8.02M 539,253 -53,777 -9%
ACM
16
Ashford Capital Management
Delaware
$7.42M 498,492 +100,500 +25%
CPIM
17
Columbia Partners Investment Management
Virginia
$7.32M 491,999 -47,804 -9%
Robeco Institutional Asset Management
18
Robeco Institutional Asset Management
Netherlands
$7.02M 471,385 -435,916 -48%
Stifel Financial
19
Stifel Financial
Missouri
$5.33M 358,408 +7,790 +2%
MC
20
Muzinich & Co
New York
$5.1M 342,423 +342,423 New
NIMC
21
NWQ Investment Management Company
California
$4.98M 334,710 -95,690 -22%
AAM
22
Advisors Asset Management
Colorado
$4.71M 316,619 -301,262 -49%
GHAM
23
Gilman Hill Asset Management
Connecticut
$4.13M 277,573 +17,040 +7%
BG
24
BlackRock Group
United Kingdom
$3.95M 265,616 -32,265 -11%
MSA
25
Mason Street Advisors
Wisconsin
$3.94M 265,000 – –
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