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Hercules Capital
HTGC

Overview Fund Activity

144 hedge funds and large institutions have $294M invested in Hercules Capital in 2015 Q3 according to their latest regulatory filings, with 26 funds opening new positions, 43 increasing their positions, 47 reducing their positions, and 22 closing their positions.

Holders
144
Holders Change
+4
Holders Change %
+2.86%
% of All Funds
4.02%
Holding in Top 10
2
Holding in Top 10 Change
+2
Holding in Top 10 Change %
%
% of All Funds
0.06%
New
26
Increased
43
Reduced
47
Closed
22
Calls
$332K
Puts
$588K
Net Calls
-$256K
Net Calls Change
-$183K

Top Buyers

1
LI
1
LMCG Investments
Massachusetts
$11.4M
2
CS
2
Credit Suisse
Switzerland
$7.59M
3
AllianceBernstein
3
AllianceBernstein
Tennessee
$14.6M
4
Citadel Advisors
4
Citadel Advisors
Florida
$3.38M
5
BC
5
Brinker Capital
Pennsylvania
$3.03M

Top Sellers

1
Invesco
1
Invesco
Georgia
$10.6M
2
UBS Group
2
UBS Group
Switzerland
$13.4M
3
Goldman Sachs
3
Goldman Sachs
New York
$499K
4
Northern Trust
4
Northern Trust
Illinois
$0
5
ACM
5
Ashford Capital Management
Delaware
$1.37M
Name Market Value Shares Shares
Change 		Shares
Change %
T. Rowe Price Associates
1
T. Rowe Price Associates
Maryland
$31.6M 3,126,340 +129,960 +4%
EAM
2
Edge Asset Management
Washington
$16.6M 1,641,751 -6,830 -0.4%
AllianceBernstein
3
AllianceBernstein
Tennessee
$14.6M 1,439,318 +396,924 +38%
UBS Group
4
UBS Group
Switzerland
$13.4M 1,325,586 -298,141 -18%
LI
5
LMCG Investments
Massachusetts
$11.4M 1,130,061 +1,130,061 New
ACM
6
Advisors Capital Management
New Jersey
$11.3M 1,119,671 +29,622 +3%
Invesco
7
Invesco
Georgia
$10.6M 1,052,669 -462,620 -31%
Principal Financial Group
8
Principal Financial Group
Iowa
$10.2M 1,011,483 +84,858 +9%
CCMLC
9
Cardinal Capital Management LLC (Connecticut)
Connecticut
$9.97M 985,870 -30,695 -3%
LSV Asset Management
10
LSV Asset Management
Illinois
$9.57M 946,824 -27,059 -3%
Wells Fargo
11
Wells Fargo
California
$8.93M 883,747 -82,879 -9%
Loomis, Sayles & Company
12
Loomis, Sayles & Company
Massachusetts
$8.67M 857,151 – –
Morgan Stanley
13
Morgan Stanley
New York
$8.06M 796,869 -1,719 -0.2%
CS
14
Credit Suisse
Switzerland
$7.59M 750,440 +418,788 +126%
YMRC
15
Yorktown Management & Research Company
Virginia
$7.53M 745,000 +195,000 +35%
CIM
16
Confluence Investment Management
Missouri
$6.53M 646,260 +18,011 +3%
PI
17
Putnam Investments
Massachusetts
$5.52M 546,040 +1,951 +0.4%
NIMC
18
NWQ Investment Management Company
California
$5.24M 518,300 – –
RJA
19
Raymond James & Associates
Florida
$3.97M 392,164 -13,597 -3%
MC
20
Muzinich & Co
New York
$3.82M 382,214 +14,817 +4%
BG
21
BlackRock Group
United Kingdom
$3.41M 337,501 +26,054 +8%
Citadel Advisors
22
Citadel Advisors
Florida
$3.38M 333,947 +324,705 +3,513%
GHAM
23
Gilman Hill Asset Management
Connecticut
$3.29M 325,623 +9,963 +3%
VanEck Associates
24
VanEck Associates
New York
$3.18M 314,349 +27,028 +9%
MHI
25
Miller Howard Investments
New York
$3.12M 308,552 – –
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