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Hercules Capital
HTGC

Overview Fund Activity

143 hedge funds and large institutions have $346M invested in Hercules Capital in 2016 Q1 according to their latest regulatory filings, with 16 funds opening new positions, 49 increasing their positions, 48 reducing their positions, and 19 closing their positions.

Holders
143
Holders Change
-3
Holders Change %
-2.05%
% of All Funds
3.82%
Holding in Top 10
3
Holding in Top 10 Change
+1
Holding in Top 10 Change %
+50%
% of All Funds
0.08%
New
16
Increased
49
Reduced
48
Closed
19
Calls
$732K
Puts
$209K
Net Calls
+$523K
Net Calls Change
+$476K

Top Buyers

1
NC
1
Northpointe Capital
Michigan
$12.9M
2
Royal Bank of Canada
2
Royal Bank of Canada
Ontario, Canada
$20.1M
3
Wellington Management Group
3
Wellington Management Group
Massachusetts
$16.9M
4
Goldman Sachs
4
Goldman Sachs
New York
$2.08M
5
CCP
5
Clough Capital Partners
Massachusetts
$1.2M

Top Sellers

1
CS
1
Credit Suisse
Switzerland
$0
2
CCMLC
2
Cardinal Capital Management LLC (Connecticut)
Connecticut
$6.85M
3
NIMC
3
NWQ Investment Management Company
California
$3.68M
4
Invesco
4
Invesco
Georgia
$11.7M
5
AIU
5
Algebris Investments (UK)
United Kingdom
$386K
Name Market Value Shares Shares
Change 		Shares
Change %
T. Rowe Price Associates
1
T. Rowe Price Associates
Maryland
$35.6M 2,966,770 +36,960 +1%
Royal Bank of Canada
2
Royal Bank of Canada
Ontario, Canada
$20.1M 1,670,318 +242,814 +17%
EAM
3
Edge Asset Management
Washington
$19.1M 1,594,207 -19,935 -1%
UBS Group
4
UBS Group
Switzerland
$18.3M 1,520,860 +73,624 +5%
AllianceBernstein
5
AllianceBernstein
Tennessee
$17.7M 1,474,346 +2,160 +0.1%
Wellington Management Group
6
Wellington Management Group
Massachusetts
$16.9M 1,405,494 +151,611 +12%
NC
7
Northpointe Capital
Michigan
$12.9M 1,074,964 +1,074,964 New
Principal Financial Group
8
Principal Financial Group
Iowa
$12.8M 1,063,050 +62,040 +6%
Invesco
9
Invesco
Georgia
$11.7M 971,612 -214,822 -18%
ACM
10
Advisors Capital Management
New Jersey
$11.4M 949,348 -55,440 -6%
LSV Asset Management
11
LSV Asset Management
Illinois
$11.3M 938,376 -8,500 -0.9%
Wells Fargo
12
Wells Fargo
California
$10.6M 884,895 +47,004 +6%
Loomis, Sayles & Company
13
Loomis, Sayles & Company
Massachusetts
$10.1M 841,458 -1,753 -0.2%
Morgan Stanley
14
Morgan Stanley
New York
$9.59M 798,370 -24,883 -3%
CIM
15
Confluence Investment Management
Missouri
$8.28M 688,985 +231 +0%
YMRC
16
Yorktown Management & Research Company
Virginia
$8.17M 680,000 – –
CCMLC
17
Cardinal Capital Management LLC (Connecticut)
Connecticut
$6.85M 570,466 -487,657 -46%
MC
18
Muzinich & Co
New York
$6.63M 551,987 +97,537 +21%
PI
19
Putnam Investments
Massachusetts
$4.67M 388,442 +9,529 +3%
RJA
20
Raymond James & Associates
Florida
$4.6M 382,797 -4,391 -1%
IG
21
ING Group
Netherlands
$4.49M 374,211 +43,489 +13%
GC
22
Guggenheim Capital
Illinois
$4.23M 351,935 +34,734 +11%
GHAM
23
Gilman Hill Asset Management
Connecticut
$4.16M 346,141 +39,468 +13%
BG
24
BlackRock Group
United Kingdom
$4.05M 337,436 +19,860 +6%
MHI
25
Miller Howard Investments
New York
$3.71M 308,552 – –
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