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Hercules Capital
HTGC

Overview Fund Activity

163 hedge funds and large institutions have $448M invested in Hercules Capital in 2017 Q4 according to their latest regulatory filings, with 33 funds opening new positions, 52 increasing their positions, 55 reducing their positions, and 19 closing their positions.

Holders
163
Holders Change
+13
Holders Change %
+8.67%
% of All Funds
3.7%
Holding in Top 10
5
Holding in Top 10 Change
+4
Holding in Top 10 Change %
+400%
% of All Funds
0.11%
New
33
Increased
52
Reduced
55
Closed
19
Calls
$356K
Puts
$1.29M
Net Calls
-$931K
Net Calls Change
-$939K

Top Buyers

1
SIS
1
Sound Income Strategies
Florida
$10.3M
2
Millennium Management
2
Millennium Management
New York
$11.2M
3
MWNA
3
Marshall Wace North America
New York
$7.34M
4
NC
4
Northpointe Capital
Michigan
$15.8M
5
PI
5
Putnam Investments
Massachusetts
$3M

Top Sellers

1
Principal Financial Group
1
Principal Financial Group
Iowa
$32.4M
2
MC
2
Muzinich & Co
New York
$36.2M
3
CCMLC
3
Cardinal Capital Management LLC (Connecticut)
Connecticut
$0
4
AR
4
Advisory Research
Illinois
$6.85M
5
SMDAM
5
Sumitomo Mitsui DS Asset Management
Japan
$6.48M
Name Market Value Shares Shares
Change 		Shares
Change %
T. Rowe Price Associates
1
T. Rowe Price Associates
Maryland
$38.4M 2,923,800 -116,900 -4%
MC
2
Muzinich & Co
New York
$36.2M 2,760,471 -393,303 -12%
Principal Financial Group
3
Principal Financial Group
Iowa
$32.4M 2,470,993 -548,314 -18%
UBS Group
4
UBS Group
Switzerland
$29.6M 2,253,223 -50,015 -2%
Royal Bank of Canada
5
Royal Bank of Canada
Ontario, Canada
$24.1M 1,840,402 +84,581 +5%
Wells Fargo
6
Wells Fargo
California
$19.8M 1,505,802 +124,230 +9%
NC
7
Northpointe Capital
Michigan
$15.8M 1,206,043 +380,058 +46%
AM
8
Ares Management
California
$14.1M 1,076,166 -8,410 -0.8%
GC
9
Guggenheim Capital
Illinois
$11.2M 857,282 -26,054 -3%
Millennium Management
10
Millennium Management
New York
$11.2M 855,039 +512,576 +150%
ACM
11
Advisors Capital Management
New Jersey
$11.2M 851,878 -31,692 -4%
CIM
12
Confluence Investment Management
Missouri
$10.6M 806,620 +38,390 +5%
SIS
13
Sound Income Strategies
Florida
$10.3M 820,032 +820,032 New
AllianceBernstein
14
AllianceBernstein
Tennessee
$9.94M 757,786 +54,301 +8%
Morgan Stanley
15
Morgan Stanley
New York
$9.56M 728,362 +8,735 +1%
VanEck Associates
16
VanEck Associates
New York
$8.33M 635,177 +5,617 +0.9%
MWNA
17
Marshall Wace North America
New York
$7.34M 559,235 +488,315 +689%
Stifel Financial
18
Stifel Financial
Missouri
$7.26M 552,310 +77,747 +16%
BlackRock
19
BlackRock
New York
$6.9M 525,573 +37,919 +8%
AR
20
Advisory Research
Illinois
$6.85M 521,689 -227,936 -30%
SMDAM
21
Sumitomo Mitsui DS Asset Management
Japan
$6.48M 493,805 -227,071 -31%
LSV Asset Management
22
LSV Asset Management
Illinois
$6.11M 465,885 -2,300 -0.5%
Loomis, Sayles & Company
23
Loomis, Sayles & Company
Massachusetts
$6.07M 462,807 -528 -0.1%
Nomura Holdings
24
Nomura Holdings
Japan
$5.22M 398,077 +11,625 +3%
Two Sigma Investments
25
Two Sigma Investments
New York
$4.73M 360,430 +37,354 +12%
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