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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
51 AMERIPRISE FINANCIAL INC 13,033 173,000 0.04%
52 WealthTrust Axiom LLC 13,500 178,000 0.04%
53 1st Global Advisors, Inc. 13,447 178,000 0.04%
54 FJ Capital Management LLC 14,100 187,000 0.04%
55 KEMPNER CAPITAL MANAGEMENT INC. 14,200 188,000 0.04%
56 First Allied Advisory Services, Inc. 14,251 189,000 0.04%
57 SUNTRUST BANKS INC 14,510 192,000 0.04%
58 OXFORD ASSET MANAGEMENT LLP 14,836 196,000 0.04%
59 SALZHAUER MICHAEL 15,000 199,000 0.04%
60 BRINKER CAPITAL INC 15,194 201,000 0.04%
61 LIDO ADVISORS, LLC 15,222 202,000 0.04%
62 Stratos Wealth Partners, LTD. 15,535 206,000 0.04%
63 QUEST INVESTMENT MANAGEMENT LLC 15,900 211,000 0.04%
64 Magnetar Financial LLC 16,302 216,000 0.05%
65 WOLVERINE TRADING LP /BD 17,200 229,000 0.05% Put
66 Argent Trust Co 17,558 232,000 0.05%
67 SEI INVESTMENTS CO 19,138 253,000 0.05%
68 Private Advisor Group, LLC 18,955 255,000 0.05%
69 HBK INVESTMENTS L P 19,500 258,000 0.05%
70 COMERICA BANK 21,357 284,000 0.06%
71 SPOT TRADING LLC /BD 21,700 287,000 0.06% Call
72 Nationwide Fund Advisors 21,681 287,000 0.06%
73 TCW GROUP INC 22,302 295,000 0.06%
74 STATE STREET CORP 22,793 300,000 0.06%
75 PineBridge Investments, L.P. 24,946 330,000 0.07%
76 GSA CAPITAL PARTNERS LLP 26,340 349,000 0.07%
77 BLACK SWIFT GROUP, LLC 26,500 351,000 0.07%
78 CITIGROUP INC 26,564 352,000 0.07%
79 US BANCORP \DE\ 27,624 366,000 0.08%
80 STEPHENS INC /AR/ 27,949 370,000 0.08%
81 WEALTHSOURCE PARTNERS, LLC 29,136 386,000 0.08%
82 CAPITAL FUND MANAGEMENT S.A. 29,500 391,000 0.08%
83 Creative Planning 30,231 400,000 0.08%
84 Raymond James Financial Services Advisors, Inc. 30,733 407,000 0.09%
85 CIBC Private Wealth Group LLC 31,330 415,000 0.09%
86 TUDOR INVESTMENT CORP ET AL 31,692 420,000 0.09%
87 CALIFORNIA PUBLIC EMPLOYEES RETIREMENT SYSTEM 33,000 437,000 0.09%
88 North Star Investment Management Corp. 33,200 440,000 0.09%
89 LPL Financial LLC 36,764 487,000 0.10%
90 CIBC WORLD MARKET INC. 37,598 498,000 0.11%
91 Commonwealth Equity Services, Inc 46,302 613,000 0.13%
92 SILVER CAPITAL MANAGEMENT LLC 49,173 651,000 0.14%
93 BUCKHEAD CAPITAL MANAGEMENT LLC 51,400 681,000 0.14%
94 NEW YORK STATE COMMON RETIREMENT FUND 53,562 709,000 0.15%
95 A.R.T. Advisors, LLC 54,011 715,000 0.15%
96 BB&T SECURITIES, LLC 55,940 740,000 0.16%
97 Tufton Capital Management 56,906 753,000 0.16%
98 Cambridge Investment Research Advisors, Inc. 58,246 771,000 0.16%
99 Cipher Capital LP 59,842 792,000 0.17%
100 ADVANTAGE INVESTMENT MANAGEMENT, LLC 60,244 798,000 0.17%
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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.