Dark
Light
System
Security
HERCULES CAPITAL INC
HERCULES CAPITAL INC. Institutional holdings reported to the SEC.

Institutional Holders (2014Q1)
Portfolio Summary: 163 Institutional holders with a total value of $454,224,936.
#
Manager Name
Shares
Value ($)
%
Options
Notes
151 MSI Financial Services Inc 1,142 16,000 0.00%
152 PRIVATE TRUST CO NA 1,000 14,000 0.00%
153 Regal Investment Advisors LLC 1,000 14,000 0.00%
154 UBS AG 1,000 14,000 0.00% Put
155 M&T BANK CORP 812 11,000 0.00%
156 SIGNATUREFD, LLC 654 9,000 0.00%
157 Highlander Capital Management, LLC 532 7,485 0.00%
158 Smithfield Trust Co 429 6,000 0.00%
159 FIRST MANHATTAN CO. LLC. 300 4,000 0.00%
160 MACROVIEW INVESTMENT MANAGEMENT LLC 300 4,000 0.00%
161 BOSTON PRIVATE BANK & TRUST CO 190 3,000 0.00%
162 ENVESTNET ASSET MANAGEMENT INC 152 2,000 0.00%
163 Tower Research Capital LLC (TRC) 75 1,000 0.00%
Page 4 of 4

From 2023-01-03 onward, the SEC requires values to be reported in nearest dollars. Earlier filings reported values in thousands; therefore, positions shown as $0 in older filings may represent actual values between $0–$999.