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HERCULES CAPITAL INC
HERCULES CAPITAL INC. Institutional holdings reported to the SEC.

Institutional Holders (2014Q3)
Portfolio Summary: 139 Institutional holders with a total value of $382,170,870.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 PRICE T ROWE ASSOCIATES INC /MD/ 2,891,100 41,805,000 10.94%
2 EDGE ASSET MANAGEMENT, INC 1,586,449 22,940,000 6.00%
3 UBS AG 1,280,266 18,513,000 4.84%
4 LSV ASSET MANAGEMENT 1,044,588 15,104,000 3.95%
5 CARDINAL CAPITAL MANAGEMENT LLC /CT 1,027,170 14,853,000 3.89%
6 Advisors Capital Management, LLC 1,013,803 14,660,000 3.84%
7 Invesco Ltd. 981,698 14,195,000 3.71%
8 Robeco Institutional Asset Management B.V. 907,301 13,118,000 3.43%
9 LAFFER TENGLER INVESTMENTS, INC. 762,533 11,026,227 2.89%
10 WELLS FARGO & COMPANY/MN 738,122 10,672,000 2.79%
11 PRINCIPAL FINANCIAL GROUP INC 660,737 9,554,000 2.50%
12 MORGAN STANLEY 649,366 9,389,000 2.46%
13 LOOMIS SAYLES & CO L P 637,465 9,218,000 2.41%
14 Advisors Asset Management, Inc. 617,881 8,935,000 2.34%
15 ALLIANCEBERNSTEIN L.P. 593,854 8,587,000 2.25%
16 PUTNAM INVESTMENTS LLC 593,030 8,575,000 2.24%
17 CONFLUENCE INVESTMENT MANAGEMENT LLC 556,011 8,040,000 2.10%
18 COLUMBIA PARTNERS L.L.C. INVESTMENT MANAGEMENT 539,803 7,805,000 2.04%
19 NWQ INVESTMENT MANAGEMENT COMPANY, LLC 430,400 6,224,000 1.63%
20 ASHFORD CAPITAL MANAGEMENT INC 397,992 5,755,000 1.51%
21 STIFEL FINANCIAL CORP 350,618 5,069,000 1.33%
22 BlackRock Group LTD 297,881 4,307,000 1.13%
23 MASON STREET ADVISORS, LLC 265,000 3,832,000 1.00%
24 MANUFACTURERS LIFE INSURANCE COMPANY, THE 262,193 3,792,000 0.99%
25 Gilman Hill Asset Management, LLC 260,533 3,767,000 0.99%
26 WEDGE CAPITAL MANAGEMENT L L P/NC 256,993 3,716,000 0.97%
27 NORTHERN TRUST CORP 252,723 3,654,000 0.96%
28 Benchmark Capital Advisors 245,339 3,548,000 0.93%
29 SCOUT INVESTMENTS, INC. 241,275 3,489,000 0.91%
30 GUGGENHEIM CAPITAL LLC 228,700 3,308,000 0.87%
31 RAYMOND JAMES & ASSOCIATES 225,267 3,257,000 0.85%
32 GOLDMAN SACHS GROUP INC 223,849 3,237,000 0.85%
33 DEUTSCHE BANK AG\ 189,834 2,743,000 0.72%
34 TWO SIGMA INVESTMENTS, LP 161,415 2,334,000 0.61%
35 RUSSELL FRANK CO/ 161,097 2,329,000 0.61%
36 Fiera Capital Corp 154,700 2,237,000 0.59%
37 SUSQUEHANNA INTERNATIONAL GROUP, LLP 149,719 2,165,000 0.57%
38 ROYAL BANK OF CANADA 141,250 2,043,000 0.53%
39 VAN ECK ASSOCIATES CORP 141,045 2,040,000 0.53%
40 FIFTH THIRD BANCORP 140,714 2,035,000 0.53%
41 CREDIT SUISSE AG/ 139,197 2,013,000 0.53%
42 Algebris Investments (UK) LLP 136,120 1,968,000 0.51%
43 MILLENNIUM MANAGEMENT LLC 131,994 1,909,000 0.50%
44 Yorktown Management & Research Co Inc 130,000 1,880,000 0.49%
45 BB&T SECURITIES, LLC 12,984 1,877,000 0.49%
46 STEPHENS INC /AR/ 125,645 1,817,000 0.48%
47 ADVISORY RESEARCH INC 123,140 1,781,000 0.47%
48 Sumitomo Mitsui DS Asset Management Company, Ltd 123,140 1,780,000 0.47%
49 COMERICA BANK 122,655 1,774,000 0.46%
50 Nationwide Fund Advisors 120,543 1,743,000 0.46%
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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.