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Hercules Capital
HTGC

Overview Fund Activity

146 hedge funds and large institutions have $352M invested in Hercules Capital in 2015 Q4 according to their latest regulatory filings, with 24 funds opening new positions, 46 increasing their positions, 57 reducing their positions, and 21 closing their positions.

Holders
146
Holders Change
+2
Holders Change %
+1.39%
% of All Funds
3.83%
Holding in Top 10
2
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.05%
New
24
Increased
46
Reduced
57
Closed
21
Calls
$366K
Puts
$319K
Net Calls
+$47K
Net Calls Change
+$303K

Top Buyers

1
Royal Bank of Canada
1
Royal Bank of Canada
Ontario, Canada
$17.4M
2
Wellington Management Group
2
Wellington Management Group
Massachusetts
$15.3M
3
Invesco
3
Invesco
Georgia
$14.5M
4
UBS Group
4
UBS Group
Switzerland
$17.6M
5
PTA
5
Pear Tree Advisors
Massachusetts
$1.46M

Top Sellers

1
Citadel Advisors
1
Citadel Advisors
Florida
$364K
2
Millennium Management
2
Millennium Management
New York
$875K
3
T. Rowe Price Associates
3
T. Rowe Price Associates
Maryland
$35.7M
4
PI
4
Putnam Investments
Massachusetts
$4.62M
5
MCA
5
Mendon Capital Advisors
Florida
$0
Name Market Value Shares Shares
Change 		Shares
Change %
T. Rowe Price Associates
1
T. Rowe Price Associates
Maryland
$35.7M 2,929,810 -196,530 -6%
EAM
2
Edge Asset Management
Washington
$19.7M 1,614,142 -27,609 -2%
AllianceBernstein
3
AllianceBernstein
Tennessee
$17.9M 1,472,186 +32,868 +2%
UBS Group
4
UBS Group
Switzerland
$17.6M 1,447,236 +121,650 +9%
Royal Bank of Canada
5
Royal Bank of Canada
Ontario, Canada
$17.4M 1,427,504 +1,277,489 +852%
Wellington Management Group
6
Wellington Management Group
Massachusetts
$15.3M 1,253,883 +1,193,140 +1,964%
Invesco
7
Invesco
Georgia
$14.5M 1,186,434 +133,765 +13%
CCMLC
8
Cardinal Capital Management LLC (Connecticut)
Connecticut
$12.9M 1,058,123 +72,253 +7%
ACM
9
Advisors Capital Management
New Jersey
$12.2M 1,004,788 -114,883 -10%
Principal Financial Group
10
Principal Financial Group
Iowa
$12.2M 1,001,010 -10,473 -1%
LSV Asset Management
11
LSV Asset Management
Illinois
$11.5M 946,876 +52 +0%
Loomis, Sayles & Company
12
Loomis, Sayles & Company
Massachusetts
$10.3M 843,211 -13,940 -2%
Wells Fargo
13
Wells Fargo
California
$10.2M 837,891 -45,856 -5%
Morgan Stanley
14
Morgan Stanley
New York
$10M 823,253 +26,384 +3%
CS
15
Credit Suisse
Switzerland
$9.25M 759,041 +8,601 +1%
CIM
16
Confluence Investment Management
Missouri
$8.4M 688,754 +42,494 +7%
YMRC
17
Yorktown Management & Research Company
Virginia
$8.29M 680,000 -65,000 -9%
NIMC
18
NWQ Investment Management Company
California
$7.04M 577,372 +59,072 +11%
MC
19
Muzinich & Co
New York
$5.54M 454,450 +72,236 +19%
RJA
20
Raymond James & Associates
Florida
$4.72M 387,188 -4,976 -1%
PI
21
Putnam Investments
Massachusetts
$4.62M 378,913 -167,127 -31%
IG
22
ING Group
Netherlands
$4.04M 330,722 +110,241 +50%
BG
23
BlackRock Group
United Kingdom
$3.87M 317,576 -19,925 -6%
GC
24
Guggenheim Capital
Illinois
$3.87M 317,201 +72,337 +30%
MHI
25
Miller Howard Investments
New York
$3.76M 308,552 – –
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