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Hercules Capital
HTGC

Overview Fund Activity

150 hedge funds and large institutions have $422M invested in Hercules Capital in 2017 Q3 according to their latest regulatory filings, with 21 funds opening new positions, 52 increasing their positions, 52 reducing their positions, and 32 closing their positions.

Holders
150
Holders Change
-15
Holders Change %
-9.09%
% of All Funds
3.75%
Holding in Top 10
1
Holding in Top 10 Change
-1
Holding in Top 10 Change %
-50%
% of All Funds
0.02%
New
21
Increased
52
Reduced
52
Closed
32
Calls
$927K
Puts
$919K
Net Calls
+$8K
Net Calls Change
+$225K

Top Buyers

1
AM
1
Ares Management
California
$14M
2
Two Sigma Investments
2
Two Sigma Investments
New York
$4.17M
3
Millennium Management
3
Millennium Management
New York
$4.42M
4
Morgan Stanley
4
Morgan Stanley
New York
$9.28M
5
NC
5
Northpointe Capital
Michigan
$10.7M

Top Sellers

1
MC
1
Muzinich & Co
New York
$40.7M
2
GIP
2
Granite Investment Partners
California
$0
3
LSV Asset Management
3
LSV Asset Management
Illinois
$6.04M
4
CCMLC
4
Cardinal Capital Management LLC (Connecticut)
Connecticut
$3.35M
5
AllianceBernstein
5
AllianceBernstein
Tennessee
$9.08M
Name Market Value Shares Shares
Change 		Shares
Change %
MC
1
Muzinich & Co
New York
$40.7M 3,153,774 -803,462 -20%
T. Rowe Price Associates
2
T. Rowe Price Associates
Maryland
$39.2M 3,040,700 -16,500 -0.5%
Principal Financial Group
3
Principal Financial Group
Iowa
$38.9M 3,019,307 +61,716 +2%
UBS Group
4
UBS Group
Switzerland
$29.7M 2,303,238 -3,996 -0.2%
Royal Bank of Canada
5
Royal Bank of Canada
Ontario, Canada
$22.7M 1,755,821 +21,135 +1%
Wells Fargo
6
Wells Fargo
California
$17.8M 1,381,572 +86,250 +7%
AM
7
Ares Management
California
$14M 1,084,576 +320,387 +42%
ACM
8
Advisors Capital Management
New Jersey
$11.4M 883,570 -51,288 -5%
GC
9
Guggenheim Capital
Illinois
$11.4M 883,336 -43,124 -5%
NC
10
Northpointe Capital
Michigan
$10.7M 825,985 +159,343 +24%
CIM
11
Confluence Investment Management
Missouri
$9.91M 768,230 +152,356 +25%
AR
12
Advisory Research
Illinois
$9.67M 749,625 +59,521 +9%
SMDAM
13
Sumitomo Mitsui DS Asset Management
Japan
$9.3M 720,876 +60,417 +9%
Morgan Stanley
14
Morgan Stanley
New York
$9.28M 719,627 +172,231 +31%
AllianceBernstein
15
AllianceBernstein
Tennessee
$9.08M 703,485 -272,742 -28%
VanEck Associates
16
VanEck Associates
New York
$8.12M 629,560 -41,613 -6%
BlackRock
17
BlackRock
New York
$6.29M 487,654 -76,662 -14%
Stifel Financial
18
Stifel Financial
Missouri
$6.12M 474,563 -15,333 -3%
LSV Asset Management
19
LSV Asset Management
Illinois
$6.04M 468,185 -577,006 -55%
Loomis, Sayles & Company
20
Loomis, Sayles & Company
Massachusetts
$5.98M 463,335 -6,130 -1%
Nomura Holdings
21
Nomura Holdings
Japan
$4.99M 386,452 +25,505 +7%
RJA
22
Raymond James & Associates
Florida
$4.55M 352,467 -76,253 -18%
Millennium Management
23
Millennium Management
New York
$4.42M 342,463 +228,747 +201%
GHAM
24
Gilman Hill Asset Management
Connecticut
$4.23M 327,859 +1,730 +0.5%
Two Sigma Investments
25
Two Sigma Investments
New York
$4.17M 323,076 +229,486 +245%
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