Hercules Capital, Inc.
HTGC- Exchange
- NYSE
- SEC CIK
- 0001280784
No open-market purchases or sales by Hercules Capital, Inc. insiders were filed in the last 90 days; 332 institutions reported holding it in 13F filings for Q2 2026, worth $815.0M in total; no superinvestor holds it.
Other share classesHCXY
13F holders, Q3 2021
Institutional positions in Hercules Capital, Inc. as of Sep 30, 2021. Investment managers with $100 million or more in US stocks report their long positions on Form 13F within 45 days after each quarter ends. How 13F works
- Institutional holders
- 219
- +7 vs. Q2 2021
- Shares held
- 30.7M
- −757.3K (−2.4%) vs. Q2 2021
- Total value
- $511.5M
- −$25.3M (−4.7%) vs. Q2 2021
- New holders
- 28
- 83 more added
- Sold out
- 21
- 60 more reduced
2 institutions that held it in Q2 2021 haven't filed for Q3 2021 yet. Not filing isn't selling, so they aren't counted as sold out or in the changes above.
Compare with Q2 2021: new holders, sold out and not filed yet
Holders and value by quarter
Institutions reporting HTGC on Form 13F each quarter since Q1 2021, and the total value they reported. Values are as of each quarter end, so they also move with the share price.
| Quarter | Holders | Value |
|---|---|---|
| Q2 2026 | 332 | $815.0M |
| Q1 2026 | 349 | $744.0M |
| Q4 2025 | 354 | $937.8M |
| Q3 2025 | 343 | $882.3M |
| Q2 2025 | 326 | $843.8M |
| Q1 2025 | 326 | $774.9M |
| Q4 2024 | 334 | $760.4M |
| Q3 2024 | 299 | $640.1M |
| Q2 2024 | 288 | $671.2M |
| Q1 2024 | 294 | $618.4M |
| Q4 2023 | 290 | $535.2M |
| Q3 2023 | 266 | $482.0M |
| Q2 2023 | 249 | $418.2M |
| Q1 2023 | 257 | $403.7M |
| Q4 2022 | 263 | $434.2M |
| Q3 2022 | 237 | $364.1M |
| Q2 2022 | 249 | $410.2M |
| Q1 2022 | 241 | $537.2M |
| Q4 2021 | 246 | $515.4M |
| Q3 2021 | 219 | $511.5M |
| Q2 2021 | 214 | $537.2M |
| Q1 2021 | 213 | $509.7M |
Institutions, Q3 2021
Shares, value and share of portfolio for each institution holding Hercules Capital, Inc.; share changes are against Q2 2021.
| Institution | Shares | Value | % of portfolio | Change in shares | Action |
|---|---|---|---|---|---|
| Avantax Advisory Services, Inc. | 35,133 | $589.0K | 0.01% | −19,421−35.6% | Reduced |
| Raymond James Financial Services Advisors, Inc. | 35,457 | $589.0K | 0.00% | +11,315+46.9% | Added |
| Lindbrook Capital, LLC | 33,272 | $553.0K | 0.14% | −2,000−5.7% | Reduced |
| Allianz Asset Management GmbH | 33,055 | $549.0K | 0.00% | +1,952+6.3% | Added |
| Claybrook Capital, LLC | 32,620 | $542.0K | 0.27% | +32,620 | New |
| Caxton Associates LP | 30,823 | $512.0K | 0.07% | +16,214+111.0% | Added |
| Pathstone Family Office, LLC | 29,866 | $498.0K | 0.01% | +18,866+171.5% | Added |
| Cerity Partners LLC | 29,793 | $495.0K | 0.01% | +363+1.2% | Added |
| Stratos Wealth Partners, LTD. | 29,744 | $494.0K | 0.01% | −1,332−4.3% | Reduced |
| Prelude Capital Management, LLC | 29,575 | $491.0K | 0.03% | 00.0% | Unchanged |
| First National Bank of Mount Dora, Trust Investment Services | 29,246 | $486.0K | 0.16% | 00.0% | Unchanged |
| Golden State Wealth Management, LLC | 29,086 | $483.0K | 0.11% | +29,086 | New |
| Exchange Traded Concepts, LLC | 28,460 | $473.0K | 0.01% | −781−2.7% | Reduced |
| North Star Investment Management Corp. | 27,803 | $462.0K | 0.04% | +44+0.2% | Added |
| Sit Investment Associates Inc | 26,675 | $443.0K | 0.01% | 00.0% | Unchanged |
| Wealthsource Partners, LLC | 26,010 | $432.0K | 0.04% | +645+2.5% | Added |
| Geneos Wealth Management Inc. | 25,219 | $419.0K | 0.02% | +314+1.3% | Added |
| Kovack Advisors, Inc. | 24,708 | $410.0K | 0.04% | +432+1.8% | Added |
| Continuum Advisory, LLC | 22,051 | $366.0K | 0.10% | −1,500−6.4% | Reduced |
| Jane Street Group, LLC | 21,804 | $362.0K | 0.00% | +21,804 | New |
| Creative Planning | 21,483 | $357.0K | 0.00% | −1,073−4.8% | Reduced |
| Toroso Investments, LLC | 20,080 | $334.0K | 0.01% | +20,080 | New |
| Kestra Advisory Services, LLC | 19,975 | $332.0K | 0.00% | −4,319−17.8% | Reduced |
| First National Trust Co | 19,634 | $326.0K | 0.02% | 00.0% | Unchanged |
| Founders Financial Alliance, LLC | 19,541 | $325.0K | 0.15% | +424+2.2% | Added |
| Barclays PLC | 19,300 | $321.0K | 0.00% | 00.0% | Unchanged |
| SEI Investments Co | 19,335 | $321.0K | 0.00% | −73−0.4% | Reduced |
| Principle Wealth Partners LLC | 18,975 | $315.0K | 0.04% | 00.0% | Unchanged |
| Cubist Systematic Strategies, LLC | 18,656 | $310.0K | 0.00% | +7,873+73.0% | Added |
| Vestmark Advisory Solutions, Inc. | 18,038 | $300.0K | 0.02% | +3,890+27.5% | Added |
| Victory Capital Management Inc | 17,376 | $289.0K | 0.00% | −863−4.7% | Reduced |
| Bank of New York Mellon Corp | 17,339 | $288.0K | 0.00% | −107,952−86.2% | Reduced |
| Old Port Advisors | 16,506 | $278.0K | 0.10% | −1,960−10.6% | Reduced |
| Essex Financial Services, Inc. | 16,665 | $277.0K | 0.03% | +1,100+7.1% | Added |
| Alberta Investment Management Corp | 16,009 | $266.0K | 0.00% | 00.0% | Unchanged |
| CAPROCK Group, Inc. | 16,000 | $266.0K | 0.02% | 00.0% | Unchanged |
| Shelton Capital Management | 15,550 | $258.0K | 0.01% | −6,700−30.1% | Reduced |
| Quest Investment Management LLC | 15,315 | $254.0K | 0.02% | 00.0% | Unchanged |
| WMS Partners, LLC | 15,200 | $252.0K | 0.04% | +15,200 | New |
| Man Group plc | 14,593 | $242.0K | 0.00% | +14,593 | New |
| Busey Wealth Management | 14,450 | $240.0K | 0.01% | +14,450 | New |
| Eagle Global Advisors LLC | 14,210 | $236.0K | 0.02% | −25,180−63.9% | Reduced |
| Stephens Inc | 14,050 | $233.0K | 0.00% | +14,050 | New |
| United Capital Financial Advisers, LLC | 13,900 | $231.0K | 0.00% | +3,150+29.3% | Added |
| Cetera Advisor Networks LLC | 13,683 | $227.0K | 0.00% | +3,190+30.4% | Added |
| Williams Jones Wealth Management, LLC. | 13,555 | $225.0K | 0.00% | +252+1.9% | Added |
| National Asset Management, Inc. | 12,905 | $215.0K | 0.01% | +12,905 | New |
| Quantedge Capital Pte Ltd | 12,891 | $214.0K | 0.10% | 00.0% | Unchanged |
| American Portfolios Advisors | 12,814 | $212.8K | 0.01% | +184+1.5% | Added |
| Beacon Pointe Advisors, LLC | 12,200 | $203.0K | 0.01% | 00.0% | Unchanged |
| Proequities, Inc. | 11,748 | $195.0K | 0.01% | −740−5.9% | Reduced |
| Belpointe Asset Management LLC | 11,663 | $193.0K | 0.01% | +15+0.1% | Added |
| Boston Trust Walden Corp | 11,400 | $189.0K | 0.00% | +11,400 | New |
| Sheaff Brock Investment Advisors, LLC | 11,037 | $184.0K | 0.02% | +838+8.2% | Added |
| Diligent Investors, LLC | 10,419 | $178.0K | 0.06% | 00.0% | Unchanged |
| Mid Atlantic Financial Management Inc | 10,449 | $174.0K | 0.01% | +10,449 | New |
| Total Clarity Wealth Management, Inc. | 10,414 | $173.0K | 0.08% | +10,414 | New |
| Zuckerman Investment Group, LLC | 10,000 | $166.0K | 0.03% | 00.0% | Unchanged |
| Telemus Capital, LLC | 10,000 | $166.0K | 0.01% | 00.0% | Unchanged |
| Private Ocean, LLC | 7,505 | $125.0K | 0.02% | 00.0% | Unchanged |
| Brewin Dolphin Ltd | 7,000 | $116.3K | 0.00% | 00.0% | Unchanged |
| Walled Lake Planning & Wealth Management, LLC | 6,050 | $100.0K | 0.06% | +6,050 | New |
| Harbour Investments, Inc. | 5,481 | $91.0K | 0.00% | +1,530+38.7% | Added |
| Berman Capital Advisors, LLC | 4,000 | $66.0K | 0.01% | 00.0% | Unchanged |
| Carolinas Wealth Consulting LLC | 3,866 | $64.0K | 0.01% | +2,091+117.8% | Added |
| Highlander Capital Management, LLC | 3,532 | $59.0K | 0.03% | 00.0% | Unchanged |
| Exane Derivatives | 3,464 | $57.5K | 0.01% | −1,336−27.8% | Reduced |
| Tower Research Capital LLC (TRC) | 3,430 | $57.0K | 0.00% | +2,774+422.9% | Added |
| Joseph P. Lucia & Associates, LLC | 3,171 | $53.0K | 0.03% | −7−0.2% | Reduced |
| Fifth Third Bancorp | 3,145 | $52.0K | 0.00% | +3,145 | New |
| Orion Capital Management LLC | 3,000 | $50.0K | 0.03% | 00.0% | Unchanged |
| Tradewinds Capital Management, LLC | 2,648 | $44.0K | 0.01% | +50+1.9% | Added |
| FNY Investment Advisers, LLC | 2,500 | $41.0K | 0.02% | −1,500−37.5% | Reduced |
| Covington Capital Management | 2,492 | $41.0K | 0.00% | 00.0% | Unchanged |
| Koshinski Asset Management, Inc. | 2,000 | $33.2K | 0.00% | +2,000 | New |
| Cullen/Frost Bankers, Inc. | 2,000 | $33.0K | 0.00% | +2,000 | New |
| Sonora Investment Management, LLC | 1,800 | $30.0K | 0.00% | −200−10.0% | Reduced |
| Lake Point Wealth Management | 1,750 | $29.0K | 0.01% | 00.0% | Unchanged |
| Plante Moran Financial Advisors, LLC | 1,747 | $29.0K | 0.01% | +32+1.9% | Added |
| Hexagon Capital Partners LLC | 1,766 | $29.0K | 0.01% | +1,766 | New |
| NEXT Financial Group, Inc | 1,668 | $28.0K | 0.00% | +1,050+169.9% | Added |
| Meridian Wealth Partners, LLC | 1,670 | $28.0K | 0.01% | +1,670 | New |
| Northwestern Mutual Wealth Management Co | 1,500 | $25.0K | 0.00% | 00.0% | Unchanged |
| Bedel Financial Consulting, Inc. | 1,500 | $25.0K | 0.01% | 00.0% | Unchanged |
| Cordasco Financial Network | 1,483 | $25.0K | 0.02% | +33+2.3% | Added |
| Parallel Advisors, LLC | 1,500 | $25.0K | 0.00% | +119+8.6% | Added |
| Private Capital Group, LLC | 1,346 | $22.0K | 0.00% | +148+12.4% | Added |
| Ancora Advisors, LLC | 1,250 | $21.0K | 0.00% | 00.0% | Unchanged |
| CoreFirst Bank & Trust | 1,226 | $20.0K | 0.01% | −1,398−53.3% | Reduced |
| Global Retirement Partners, LLC | 1,214 | $20.0K | 0.00% | 00.0% | Unchanged |
| BDO Wealth Advisors, LLC | 1,195 | $20.0K | 0.00% | +27+2.3% | Added |
| Clearstead Advisors, LLC | 1,117 | $19.0K | 0.00% | +1,117 | New |
| Atticus Wealth Management, LLC | 1,081 | $18.0K | 0.01% | −1,345−55.4% | Reduced |
| Optimum Investment Advisors | 1,100 | $18.0K | 0.01% | 00.0% | Unchanged |
| MV Capital Management, Inc. | 1,100 | $18.0K | 0.00% | 00.0% | Unchanged |
| Webster Bank, N. A. | 905 | $15.0K | 0.00% | 00.0% | Unchanged |
| Kozak & Associates, Inc. | 867 | $15.0K | 0.01% | +867 | New |
| TD Private Client Wealth LLC | 903 | $15.0K | 0.00% | +903 | New |
| First Manhattan Co | 825 | $13.0K | 0.00% | 00.0% | Unchanged |
| Delta Asset Management LLC | 800 | $13.0K | 0.00% | 00.0% | Unchanged |