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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
51 EMERALD ACQUISITION LTD. 81,785 1,016,000 0.27%
52 PNC FINANCIAL SERVICES GROUP, INC. 78,362 973,000 0.26%
53 D. E. Shaw & Co., Inc. 77,175 959,000 0.25%
54 OPTIMUM INVESTMENT ADVISORS 76,500 950,000 0.25%
55 SUSQUEHANNA INTERNATIONAL GROUP, LLP 75,600 939,000 0.25% Call
56 Cambridge Investment Research Advisors, Inc. 68,968 857,000 0.23%
57 CIBC Private Wealth Group LLC 67,168 834,000 0.22%
58 Homrich & Berg 66,547 827,000 0.22%
59 NAPLES GLOBAL ADVISORS, LLC 65,831 818,000 0.22%
60 NJ State Employees Deferred Compensation Plan 65,000 807,000 0.21%
61 EVENTIDE ASSET MANAGEMENT, LLC 64,000 795,000 0.21%
62 TEACHERS RETIREMENT SYSTEM OF THE STATE OF KENTUCKY 60,743 754,000 0.20%
63 Nationwide Fund Advisors 60,550 752,000 0.20%
64 CITIGROUP INC 58,688 728,000 0.19%
65 TCW GROUP INC 52,900 657,000 0.17%
66 BUCKHEAD CAPITAL MANAGEMENT LLC 51,800 643,000 0.17%
67 Raymond James Financial Services Advisors, Inc. 50,401 626,000 0.17%
68 DnB Asset Management AS 48,939 607,333 0.16%
69 VSR Financial Services, Inc. 44,321 550,000 0.15%
70 US BANCORP \DE\ 39,950 496,000 0.13%
71 SILVER CAPITAL MANAGEMENT LLC 39,573 491,000 0.13%
72 BANK OF AMERICA CORP /DE/ 38,990 484,000 0.13%
73 TUDOR INVESTMENT CORP ET AL 36,978 459,000 0.12%
74 ARES MANAGEMENT LLC 34,368 426,000 0.11%
75 GSA CAPITAL PARTNERS LLP 33,351 414,000 0.11%
76 CIBC WORLD MARKET INC. 32,042 398,000 0.11%
77 First Allied Advisory Services, Inc. 30,142 373,000 0.10%
78 CREDIT SUISSE AG/ 29,388 365,000 0.10%
79 Investors Capital Advisory Services 29,487 365,000 0.10%
80 PineBridge Investments, L.P. 29,237 363,000 0.10%
81 STATE STREET CORP 28,443 352,000 0.09%
82 MCKINLEY CAPITAL MANAGEMENT LLC 27,998 348,000 0.09%
83 STEPHENS INC /AR/ 27,714 344,000 0.09%
84 Commonwealth Equity Services, Inc 27,564 342,000 0.09%
85 NUVEEN ASSET MANAGEMENT INC. 26,370 328,000 0.09%
86 LPL Financial LLC 24,678 307,000 0.08%
87 COMERICA BANK 21,196 297,000 0.08%
88 WEALTHSOURCE PARTNERS, LLC 23,268 289,000 0.08%
89 LADENBURG THALMANN FINANCIAL SERVICES INC. 20,516 256,000 0.07%
90 Sequoia Financial Advisors, LLC 19,629 244,000 0.06%
91 Hillsdale Investment Management Inc. 19,600 243,000 0.06%
92 TRILLIUM ASSET MANAGEMENT, LLC 19,500 242,000 0.06%
93 WealthTrust Axiom LLC 18,500 229,000 0.06%
94 PEAK6 Group LLC 17,500 217,000 0.06% Call
95 Stratos Wealth Partners, LTD. 16,635 207,000 0.05%
96 WESTPORT RESOURCES MANAGEMENT INC 15,651 194,000 0.05%
97 SOCIETE GENERALE 15,560 193,000 0.05%
98 SG Americas Securities, LLC 15,560 193,000 0.05%
99 WASATCH ADVISORS LP 15,262 190,000 0.05%
100 LIDO ADVISORS, LLC 15,224 189,000 0.05%
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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.