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

Institutional Holders (2015Q3)
Portfolio Summary: 151 Institutional holders with a total value of $297,965,068.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 COLONY GROUP LLC 10 0 0.00%
2 Carroll Financial Associates, Inc. 0 0 0.00%
3 Spot Trading L.L.C 40 0 0.00%
4 Cable Hill Partners, LLC 95 1,000 0.00%
5 FIFTH THIRD BANCORP 106 1,000 0.00%
6 MassMutual Private Wealth & Trust, FSB 100 1,446 0.00%
7 BANK OF AMERICA CORP /DE/ 300 3,000 0.00% Call
8 FIRST MANHATTAN CO. LLC. 300 3,000 0.00%
9 D'Orazio & Associates, Inc. 300 3,000 0.00%
10 WFG Advisors, LP 350 4,000 0.00%
11 Windsor Capital Management, LLC 400 4,000 0.00%
12 Smithfield Trust Co 429 4,000 0.00%
13 First Horizon Advisors, Inc. 533 5,000 0.00%
14 BNP PARIBAS FINANCIAL MARKETS 558 5,641 0.00%
15 AllSquare Wealth Management LLC 600 6,000 0.00%
16 SEI INVESTMENTS CO 921 9,000 0.00%
17 Financial Management Professionals, Inc. 873 9,000 0.00%
18 JBF Capital, Inc. 1,000 10,000 0.00%
19 Donald L. Hagan, LLC 1,000 10,000 0.00%
20 MSI Financial Services Inc 1,315 13,000 0.00%
21 Global X Management CO LLC 1,693 17,000 0.01%
22 Regal Investment Advisors LLC 1,907 19,000 0.01%
23 PEAK6 Group LLC 3,500 35,000 0.01% Call
24 Kistler-Tiffany Companies, LLC 3,663 37,000 0.01%
25 Tower Research Capital LLC (TRC) 3,984 41,000 0.01%
26 Chicago Partners Investment Group LLC 4,145 42,000 0.01%
27 PineBridge Investments, L.P. 5,217 53,000 0.02%
28 Highlander Capital Management, LLC 5,532 55,000 0.02%
29 ADVANTAGE INVESTMENT MANAGEMENT, LLC 6,042 61,000 0.02%
30 LAZARD ASSET MANAGEMENT LLC 7,000 70,000 0.02%
31 Creative Planning 6,978 71,000 0.02%
32 North Star Investment Management Corp. 8,500 86,000 0.03%
33 Advisory Services Network, LLC 8,822 89,000 0.03%
34 Spot Trading L.L.C 10,000 101,000 0.03% Call
35 PNC FINANCIAL SERVICES GROUP, INC. 10,000 101,000 0.03%
36 QUEST INVESTMENT MANAGEMENT LLC 10,000 101,000 0.03%
37 HighTower Advisors, LLC 10,218 102,000 0.03%
38 EVENTIDE ASSET MANAGEMENT, LLC 11,200 113,000 0.04%
39 Stratos Wealth Partners, LTD. 11,300 114,000 0.04%
40 Bison Wealth, LLC 11,799 119,000 0.04%
41 BB&T SECURITIES, LLC 13,361 135,000 0.05%
42 Radcliffe Capital Management, L.P. 13,400 135,000 0.05% PRN
43 LADENBURG THALMANN FINANCIAL SERVICES INC. 13,615 138,000 0.05%
44 KEMPNER CAPITAL MANAGEMENT INC. 14,200 144,000 0.05%
45 Cubist Systematic Strategies, LLC 14,691 149,000 0.05%
46 Princeton Alpha Management LP 15,211 154,000 0.05%
47 GUPTA WEALTH MANAGEMENT LLC 17,821 180,000 0.06%
48 ENVESTNET ASSET MANAGEMENT INC 18,523 187,000 0.06%
49 MCKINLEY CAPITAL MANAGEMENT LLC 18,708 189,000 0.06%
50 SUSQUEHANNA INTERNATIONAL GROUP, LLP 19,100 193,000 0.06% Call
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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.