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

Institutional Holders (2016Q2)
Portfolio Summary: 159 Institutional holders with a total value of $378,294,716.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 CUTLER GROUP LLC / CA 500 0 0.00% Call
2 CUTLER GROUP LLC / CA 500 0 0.00% Put
3 WOLVERINE TRADING LP /BD 38 467 0.00%
4 GIERL AUGUSTINE INVESTMENT MANAGEMENT INC 45 1,000 0.00%
5 MassMutual Private Wealth & Trust, FSB 100 1,242 0.00%
6 Creative Planning 2,000 2,000 0.00% Put
7 Endurance Wealth Management, Inc. 200 2,000 0.00%
8 Cable Hill Partners, LLC 95 2,000 0.00%
9 BRONFMAN E.L. ROTHSCHILD, L.P. 250 3,000 0.00%
10 D'Orazio & Associates, Inc. 300 4,000 0.00%
11 BNP PARIBAS FINANCIAL MARKETS 558 6,930 0.00%
12 Financial Management Professionals, Inc. 784 9,000 0.00%
13 PENSERRA CAPITAL MANAGEMENT LLC 750 9,000 0.00%
14 First Horizon Advisors, Inc. 747 9,000 0.00%
15 NEXT Financial Group, Inc 750 9,000 0.00%
16 REILLY FINANCIAL ADVISORS, LLC 1,000 12,000 0.00%
17 FIFTH THIRD BANCORP 1,000 12,000 0.00%
18 JBF Capital, Inc. 1,000 12,000 0.00%
19 PEAK6 Group LLC 1,100 14,000 0.00% Put
20 Tower Research Capital LLC (TRC) 1,178 15,000 0.00%
21 HOWE & RUSLING INC 1,325 16,000 0.00%
22 PROFICIO CAPITAL PARTNERS LLC 1,408 18,000 0.00%
23 IFP ADVISORS, INC 1,608 20,000 0.01%
24 CUTLER GROUP LLC / CA 1,887 23,000 0.01%
25 WHITTIER TRUST CO 2,367 29,000 0.01%
26 Global X Management CO LLC 2,659 33,000 0.01%
27 Spot Trading L.L.C 2,700 34,000 0.01% Put
28 WOLVERINE TRADING LP /BD 28 34,384 0.01% Put
29 MANUFACTURERS LIFE INSURANCE COMPANY, THE 3,343 42,000 0.01%
30 GENEOS WEALTH MANAGEMENT INC. 3,895 48,000 0.01%
31 Chicago Partners Investment Group LLC 4,331 54,000 0.01%
32 ENVESTNET ASSET MANAGEMENT INC 4,513 56,000 0.01%
33 Highlander Capital Management, LLC 4,532 56,000 0.01%
34 FIRST MANHATTAN CO. LLC. 5,300 65,000 0.02%
35 Creative Planning 5,795 72,000 0.02%
36 ADVANTAGE INVESTMENT MANAGEMENT, LLC 6,042 75,000 0.02%
37 MSI Financial Services Inc 6,697 83,000 0.02%
38 LAZARD ASSET MANAGEMENT LLC 7,000 86,000 0.02%
39 BANK OF MONTREAL /CAN/ 7,207 89,000 0.02%
40 North Star Investment Management Corp. 8,500 106,000 0.03%
41 SEI INVESTMENTS CO 8,900 110,000 0.03%
42 JPMORGAN CHASE & CO 8,972 111,000 0.03%
43 M&T BANK CORP 10,080 125,000 0.03%
44 Princeton Alpha Management LP 10,043 125,000 0.03%
45 CALIFORNIA PUBLIC EMPLOYEES RETIREMENT SYSTEM 10,400 129,000 0.03%
46 Capital Investment Advisors, LLC 10,657 132,000 0.03%
47 Advisory Services Network, LLC 11,013 137,000 0.04%
48 WFG Advisors, LP 11,200 139,000 0.04%
49 HBK INVESTMENTS L P 11,638 145,000 0.04%
50 HighTower Advisors, LLC 11,991 147,000 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.