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Hercules Capital

Name Holding Trade Value Shares
Change
Change in
Stake
ECM
301
ExodusPoint Capital Management
New York
– -$1.48M -89,021 Closed
Barclays
302
Barclays
United Kingdom
– -$1.46M -87,453 Closed
KA
303
Kovack Advisors
Florida
– -$749K -44,936 Closed
PIWA
304
Prevail Innovative Wealth Advisors
Kansas
– -$677K -40,592 Closed
PWM
305
Palumbo Wealth Management
New York
– -$600K -36,000 Closed
WG
306
Winton Group
United Kingdom
– -$543K -32,577 Closed
OQS
307
Occudo Quantitative Strategies
Florida
– -$338K -20,285 Closed
VF
308
Virtu Financial
New York
– -$306K -18,348 Closed
QC
309
Quadrature Capital
United Kingdom
– -$280K -16,787 Closed
OR
310
Olympiad Research
Connecticut
– -$260K -15,599 Closed
PCM
311
Prelude Capital Management
New York
– -$260K -15,599 Closed
CCG
312
Catalina Capital Group
California
– -$259K -15,546 Closed
LNWWM
313
Laird Norton Wetherby Wealth Management
California
– -$240K -14,368 Closed
BFA
314
Beaumont Financial Advisors
Massachusetts
– -$235K -14,093 Closed
AI
315
Atom Investors
Texas
– -$213K -12,768 Closed
YIH
316
Y-Intercept (HK)
Hong Kong
– -$209K -12,523 Closed
CW
317
Channel Wealth
California
– -$203K -12,206 Closed
Fisher Asset Management
318
Fisher Asset Management
Washington
– -$198K -11,890 Closed
AFG
319
Atomi Financial Group
New York
– -$183K -10,990 Closed
XT
320
XTX Topco
Cayman Islands
– -$173K -10,388 Closed
LC
321
Lindbrook Capital
California
– -$121K -7,272 Closed
MPWT
322
MassMutual Private Wealth & Trust
Connecticut
– -$81.7K -4,900 Closed
JFG
323
Jefferies Financial Group
New York
– -$69.3K -4,155 Closed
GWMIA
324
Global Wealth Management Investment Advisory
Florida
– -$7.37K -442 Closed
AWM
325
Abound Wealth Management
Tennessee
– -$1.5K -90 Closed