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Hercules Capital
HTGC

Overview Fund Activity

181 hedge funds and large institutions have $481M invested in Hercules Capital in 2018 Q3 according to their latest regulatory filings, with 26 funds opening new positions, 59 increasing their positions, 57 reducing their positions, and 17 closing their positions.

Holders
181
Holders Change
+7
Holders Change %
+4.02%
% of All Funds
4.14%
Holding in Top 10
6
Holding in Top 10 Change
+1
Holding in Top 10 Change %
+20%
% of All Funds
0.14%
New
26
Increased
59
Reduced
57
Closed
17
Calls
$346K
Puts
$980K
Net Calls
-$634K
Net Calls Change
-$493K

Top Buyers

1
SAMH
1
Shanda Asset Management Holdings
British Virgin Islands
$21.5M
2
JPMorgan Chase & Co
2
JPMorgan Chase & Co
New York
$11.7M
3
UBS Group
3
UBS Group
Switzerland
$30.1M
4
Credit Agricole
4
Credit Agricole
France
$3.42M
5
SIS
5
Sound Income Strategies
Florida
$14.7M

Top Sellers

1
CF
1
Centaurus Financial
California
$8.01K
2
Two Sigma Investments
2
Two Sigma Investments
New York
$2.91M
3
NC
3
Northpointe Capital
Michigan
$10.6M
4
Two Sigma Advisers
4
Two Sigma Advisers
New York
$2.64M
5
Millennium Management
5
Millennium Management
New York
$4.09M
Name Market Value Shares Shares
Change 		Shares
Change %
T. Rowe Price Associates
1
T. Rowe Price Associates
Maryland
$37.6M 2,853,773 -15,127 -0.5%
Principal Financial Group
2
Principal Financial Group
Iowa
$30.8M 2,342,434 -69,837 -3%
UBS Group
3
UBS Group
Switzerland
$30.1M 2,284,542 +209,745 +10%
Royal Bank of Canada
4
Royal Bank of Canada
Ontario, Canada
$23.9M 1,818,770 +801 +0%
SAMH
5
Shanda Asset Management Holdings
British Virgin Islands
$21.5M 1,630,756 +1,630,756 New
AM
6
Ares Management
California
$20.2M 1,535,687 -29,382 -2%
MC
7
Muzinich & Co
New York
$17.6M 1,339,660 -153,907 -10%
GIP
8
Granite Investment Partners
California
$16.2M 1,229,962 +60,974 +5%
SIS
9
Sound Income Strategies
Florida
$14.7M 1,117,364 +106,881 +11%
Wells Fargo
10
Wells Fargo
California
$14.6M 1,109,927 -130,835 -11%
JPMorgan Chase & Co
11
JPMorgan Chase & Co
New York
$11.7M 890,892 +218,516 +32%
ACM
12
Advisors Capital Management
New Jersey
$11.5M 874,867 +69,833 +9%
CIM
13
Confluence Investment Management
Missouri
$10.9M 826,033 +379 +0%
NC
14
Northpointe Capital
Michigan
$10.6M 806,923 -309,908 -28%
Morgan Stanley
15
Morgan Stanley
New York
$10.3M 782,760 +37,681 +5%
VanEck Associates
16
VanEck Associates
New York
$9.55M 725,586 +75,585 +12%
Stifel Financial
17
Stifel Financial
Missouri
$9.42M 714,068 +69,231 +11%
STB
18
S&T Bank
Pennsylvania
$9M 683,581 +5,789 +0.9%
GC
19
Guggenheim Capital
Illinois
$8.45M 641,935 -16,312 -2%
AllianceBernstein
20
AllianceBernstein
Tennessee
$7.65M 581,239 -190,197 -25%
BlackRock
21
BlackRock
New York
$6.05M 459,700 +83,909 +22%
LSV Asset Management
22
LSV Asset Management
Illinois
$5.82M 441,885 -6,000 -1%
Loomis, Sayles & Company
23
Loomis, Sayles & Company
Massachusetts
$5.61M 426,227 +4,923 +1%
Nomura Holdings
24
Nomura Holdings
Japan
$5.07M 383,585 -7,691 -2%
CFG
25
CNO Financial Group
Indiana
$4.99M 379,367 – –
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