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Hercules Capital

148 hedge funds and large institutions have $430M invested in Hercules Capital in 2016 Q3 according to their latest regulatory filings, with 19 funds opening new positions, 67 increasing their positions, 39 reducing their positions, and 13 closing their positions.

New
Increased
Maintained
Reduced
Closed

72% more repeat investments, than reductions

Existing positions increased: 67 | Existing positions reduced: 39

66% more call options, than puts

Call options by funds: $509K | Put options by funds: $307K

46% more first-time investments, than exits

New positions opened: 19 | Existing positions closed: 13

14% more capital invested

Capital invested by funds: $377M → $430M (+$53.8M)

1.25% more ownership

Funds ownership: 41.16%42.41% (+1.3%)

1% more funds holding

Funds holding: 147148 (+1)

33% less funds holding in top 10

Funds holding in top 10: 32 (-1)

Holders
148
Holders Change
+1
Holders Change %
+0.68%
% of All Funds
3.95%
Holding in Top 10
2
Holding in Top 10 Change
-1
Holding in Top 10 Change %
-33.33%
% of All Funds
0.05%
New
19
Increased
67
Reduced
39
Closed
13
Calls
$509K
Puts
$307K
Net Calls
+$202K
Net Calls Change
-$1.05M
Name Holding Trade Value Shares
Change
Change in
Stake
T. Rowe Price Associates
1
T. Rowe Price Associates
Maryland
$40.3M +$135K +10,160 +0.3%
Royal Bank of Canada
2
Royal Bank of Canada
Ontario, Canada
$24.3M +$1.29M +97,090 +6%
EAM
3
Edge Asset Management
Washington
$22.8M +$1.24M +92,735 +6%
UBS Group
4
UBS Group
Switzerland
$22M +$1.15M +86,105 +6%
Wellington Management Group
5
Wellington Management Group
Massachusetts
$20.7M -$778K -58,322 -4%
Wells Fargo
6
Wells Fargo
California
$20.2M -$1.71M -128,138 -8%
NC
7
Northpointe Capital
Michigan
$19.4M +$4.03M +302,399 +27%
Principal Financial Group
8
Principal Financial Group
Iowa
$16.8M +$1.7M +127,610 +11%
AllianceBernstein
9
AllianceBernstein
Tennessee
$16.5M -$1.71M -128,445 -10%
MC
10
Muzinich & Co
New York
$12.7M +$5M +374,851 +67%
LSV Asset Management
11
LSV Asset Management
Illinois
$12.2M -$147K -11,000 -1%
Invesco
12
Invesco
Georgia
$12.1M -$711K -53,341 -6%
ACM
13
Advisors Capital Management
New Jersey
$11.9M -$443K -33,254 -4%
Loomis, Sayles & Company
14
Loomis, Sayles & Company
Massachusetts
$11.1M -$320K -24,005 -3%
CIM
15
Confluence Investment Management
Missouri
$9.82M +$399K +29,958 +4%
Morgan Stanley
16
Morgan Stanley
New York
$9.65M -$474K -35,550 -5%
CCMLC
17
Cardinal Capital Management LLC (Connecticut)
Connecticut
$8.45M +$222K +16,659 +3%
GC
18
Guggenheim Capital
Illinois
$8.34M +$2.51M +188,620 +44%
YMRC
19
Yorktown Management & Research Company
Virginia
$7.73M -$1.33M -100,000 -15%
RJA
20
Raymond James & Associates
Florida
$5.69M +$288K +21,618 +5%
GHAM
21
Gilman Hill Asset Management
Connecticut
$5.05M +$146K +10,941 +3%
PI
22
Putnam Investments
Massachusetts
$5M -$1.46M -109,354 -23%
BG
23
BlackRock Group
United Kingdom
$5M -$235K -17,661 -5%
IG
24
ING Group
Netherlands
$4.98M
VanEck Associates
25
VanEck Associates
New York
$4.94M +$484K +36,338 +11%