Dark
Light
System
Security
HERCULES CAPITAL INC
HERCULES CAPITAL INC. Institutional holdings reported to the SEC.

Institutional Holders (2017Q2)
Portfolio Summary: 172 Institutional holders with a total value of $471,175,115.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 CUTLER GROUP LLC / CA 500 0 0.00% Call
2 WATERMARK ASSET MANAGEMENT, INC. 2 0 0.00%
3 CUTLER GROUP LLC / CA 1,100 0 0.00% Put
4 ACROSPIRE INVESTMENT MANAGEMENT LLC 95 1,000 0.00%
5 CUTLER GROUP LLC / CA 110 1,000 0.00%
6 CLEAR PERSPECTIVE ADVISORS, LLC 100 1,000 0.00%
7 MassMutual Private Wealth & Trust, FSB 100 1,324 0.00%
8 BRONFMAN E.L. ROTHSCHILD, L.P. 168 2,000 0.00%
9 D'Orazio & Associates, Inc. 150 2,000 0.00%
10 SPOT TRADING LLC /BD 185 2,000 0.00%
11 BDO WEALTH ADVISORS, LLC 200 3,000 0.00%
12 CENTRAL TRUST Co 375 5,000 0.00%
13 THOMPSON SIEGEL & WALMSLEY LLC 356 5,000 0.00%
14 FIFTH THIRD BANCORP 436 6,000 0.00%
15 First Horizon Advisors, Inc. 510 6,000 0.00%
16 STERLING INVESTMENT ADVISORS, LTD. 627 8,000 0.00%
17 Tower Research Capital LLC (TRC) 578 8,000 0.00%
18 SOLARIS ASSET MANAGEMENT LLC 678 9,000 0.00%
19 Financial Management Professionals, Inc. 784 10,000 0.00%
20 JBF Capital, Inc. 1,000 13,000 0.00%
21 PENSERRA CAPITAL MANAGEMENT LLC 1,161 15,000 0.00%
22 PROFICIO CAPITAL PARTNERS LLC 1,229 16,000 0.00%
23 SeaBridge Investment Advisors LLC 1,370 18,000 0.00%
24 NEXT Financial Group, Inc 1,575 21,000 0.00%
25 Tradewinds Capital Management, LLC 1,779 24,000 0.01%
26 BNP PARIBAS FINANCIAL MARKETS 2,238 29,631 0.01%
27 WHITTIER TRUST CO 2,474 33,000 0.01%
28 STEELHEAD PARTNERS LLC 2,532 34,000 0.01%
29 Quantbot Technologies LP 3,068 40,000 0.01%
30 Highlander Capital Management, LLC 3,532 47,000 0.01%
31 FIRST MANHATTAN CO. LLC. 4,650 61,000 0.01%
32 JPMORGAN CHASE & CO 5,213 70,000 0.01%
33 LAZARD ASSET MANAGEMENT LLC 7,000 92,000 0.02%
34 BANK OF MONTREAL /CAN/ 7,209 96,000 0.02%
35 GENEOS WEALTH MANAGEMENT INC. 8,060 106,000 0.02%
36 Advisory Services Network, LLC 8,230 109,000 0.02%
37 MANUFACTURERS LIFE INSURANCE COMPANY, THE 8,858 117,000 0.02%
38 Global X Management CO LLC 9,196 122,000 0.03%
39 WFG Advisors, LP 9,182 122,000 0.03%
40 Cetera Advisors LLC 10,291 138,000 0.03%
41 CETERA INVESTMENT ADVISERS 10,291 138,000 0.03%
42 J.P. Morgan Private Wealth Advisors LLC 10,690 142,000 0.03%
43 Independent Portfolio Consultants, Inc. 11,050 146,000 0.03%
44 D.A. DAVIDSON & CO. 11,155 147,000 0.03%
45 ENVESTNET ASSET MANAGEMENT INC 11,544 153,000 0.03%
46 FINANCIAL COUNSELORS INC 11,650 154,000 0.03%
47 EAGLE GLOBAL ADVISORS LLC 11,610 154,000 0.03%
48 HighTower Advisors, LLC 12,174 162,000 0.03%
49 CITADEL ADVISORS LLC 12,651 167,000 0.04%
50 IFP ADVISORS, INC 12,668 168,000 0.04%
Page 1 of 4

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.