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

Institutional Holders (2016Q1)
Portfolio Summary: 151 Institutional holders with a total value of $348,443,187.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 CUTLER GROUP LLC / CA 100 0 0.00% Call
2 GIERL AUGUSTINE INVESTMENT MANAGEMENT INC 44 1,000 0.00%
3 CUTLER GROUP LLC / CA 500 1,000 0.00% Put
4 MassMutual Private Wealth & Trust, FSB 100 1,201 0.00%
5 Endurance Wealth Management, Inc. 200 2,000 0.00%
6 Cable Hill Partners, LLC 95 2,000 0.00%
7 SIMPLEX TRADING, LLC 169 2,000 0.00%
8 BRONFMAN E.L. ROTHSCHILD, L.P. 250 3,000 0.00%
9 D'Orazio & Associates, Inc. 300 3,000 0.00%
10 BNP PARIBAS FINANCIAL MARKETS 558 6,702 0.00%
11 First Horizon Advisors, Inc. 747 8,000 0.00%
12 PENSERRA CAPITAL MANAGEMENT LLC 750 9,000 0.00%
13 Financial Management Professionals, Inc. 784 9,000 0.00%
14 Tower Research Capital LLC (TRC) 800 10,000 0.00%
15 JBF Capital, Inc. 1,000 12,000 0.00%
16 REILLY FINANCIAL ADVISORS, LLC 1,000 12,000 0.00%
17 PROFICIO CAPITAL PARTNERS LLC 1,268 15,000 0.00%
18 IFP ADVISORS, INC 1,608 19,000 0.01%
19 Global X Management CO LLC 1,761 21,000 0.01%
20 CUTLER GROUP LLC / CA 2,028 24,000 0.01%
21 Spot Trading L.L.C 2,093 25,000 0.01%
22 MANUFACTURERS LIFE INSURANCE COMPANY, THE 2,152 26,000 0.01%
23 HUNTINGTON NATIONAL BANK 2,032 27,000 0.01%
24 SEI INVESTMENTS CO 2,704 32,000 0.01%
25 Ledyard National Bank 3,000 36,000 0.01%
26 JNBA Financial Advisors 3,600 43,000 0.01%
27 GENEOS WEALTH MANAGEMENT INC. 3,595 44,000 0.01%
28 Chicago Partners Investment Group LLC 4,271 51,000 0.01%
29 Highlander Capital Management, LLC 4,532 54,000 0.02%
30 Creative Planning 5,195 62,000 0.02%
31 FIRST MANHATTAN CO. LLC. 5,300 63,000 0.02%
32 ADVANTAGE INVESTMENT MANAGEMENT, LLC 6,042 73,000 0.02%
33 LAZARD ASSET MANAGEMENT LLC 7,000 84,000 0.02%
34 ENVESTNET ASSET MANAGEMENT INC 7,281 87,000 0.02%
35 BANK OF MONTREAL /CAN/ 7,206 87,000 0.02%
36 MSI Financial Services Inc 7,529 90,000 0.03%
37 Spot Trading L.L.C 7,700 92,000 0.03% Put
38 North Star Investment Management Corp. 8,500 102,000 0.03%
39 Advisory Services Network, LLC 8,768 105,000 0.03%
40 WFG Advisors, LP 9,200 110,000 0.03%
41 Advisors Asset Management, Inc. 9,393 113,000 0.03%
42 PEAK6 Group LLC 9,700 116,000 0.03% Put
43 Capital Investment Advisors, LLC 9,857 118,000 0.03%
44 BARCLAYS PLC 10,056 121,000 0.03%
45 Princeton Alpha Management LP 10,292 124,000 0.04%
46 CALIFORNIA PUBLIC EMPLOYEES RETIREMENT SYSTEM 10,400 125,000 0.04%
47 HighTower Advisors, LLC 11,066 133,000 0.04%
48 QUEST INVESTMENT MANAGEMENT LLC 11,200 135,000 0.04%
49 Cetera Advisors LLC 12,363 148,000 0.04%
50 BB&T SECURITIES, LLC 12,861 154,000 0.04%
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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.