Hercules Capital Inc

Q3 2021 vs Q4 2021

Comparing institutional holders between quarters

Compare Detailed Historical Funds Options 13D/13G Peers Targeting Trading Summary Profile

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D. E. Shaw & Co., Inc.

INCREASED

Shares40,019,000 from 20,319,000

Change+19,700,000 (+97%)

Value$41.3K (+$20.2K)

Filed 2022-02-14

Citadel Advisors LLC

NEW

Shares38,525,000

Change+38,525,000

Value$39.8K

Filed 2022-02-14

CQS (US), LLC

INCREASED

Shares13,415,000 from 10,200,000

Change+3,215,000 (+32%)

Value$14.1K (+$3.3K)

Filed 2022-02-10

Income Research & Management

UNCHANGED

Shares11,932,000 from 11,932,000

Change0 (0%)

Value$12.2K (-$200)

Filed 2022-01-24

Warberg Asset Management LLC

INCREASED

Shares10,304,000 from 4,004,000

Change+6,300,000 (+157%)

Value$10.6K (+$6.5K)

Filed 2022-02-14

Bank of Nova Scotia

NEW

Shares9,500,000

Change+9,500,000

Value$10.1K

Filed 2022-02-11

Skaana Management L.P.

NEW

Shares9,450,000

Change+9,450,000

Value$9.7K

Filed 2022-02-14

Conning Inc.

UNCHANGED

Shares4,520,000 from 4,520,000

Change0 (0%)

Value$4.7K (-$50)

Filed 2022-01-27

DZ Bank AG Deutsche Zentral Genossenschafts Bank, Frankfurt am Main

UNCHANGED

Shares4,500,000 from 4,500,000

Change0 (0%)

Value$4.7M (-$27.9K)

Filed 2026-05-04

Palisade Capital Management, LP

DECREASED

Shares4,033,000 from 4,143,000

Change-110,000 (-3%)

Value$4.2K (-$165)

Filed 2022-04-21

Fort Baker Capital Management LP

INCREASED

Shares2,937,000 from 2,248,000

Change+689,000 (+31%)

Value$3.1K (+$724)

Filed 2022-02-14

JPMorgan Chase & Co

DECREASED

Shares2,661,000 from 7,243,000

Change-4,582,000 (-63%)

Value$2.8K (-$4.9K)

Filed 2022-02-11

Wells Fargo & Company

INCREASED

Shares2,387,000 from 28,000

Change+2,359,000 (+8425%)

Value$2.5K (+$2.4K)

Filed 2022-02-14

AQR Arbitrage LLC

UNCHANGED

Shares1,220,000 from 1,220,000

Change0 (0%)

Value$1.3K (-$21)

Filed 2022-02-14

Westwood Holdings Group Inc

UNCHANGED

Shares1,000,000 from 1,000,000

Change0 (0%)

Value$1.1K (+$1)

Filed 2022-02-25

Kemper Corp

UNCHANGED

Shares900,000 from 900,000

Change0 (0%)

Value$928 (-$10)

Filed 2022-02-14

BNP Paribas Financial Markets

NEW

Shares655,000

Change+655,000

Value$677.1K

Filed 2022-02-09

Bank of New York Mellon Corp

UNCHANGED

Shares650,000 from 650,000

Change0 (0%)

Value$675 (-$9)

Filed 2022-02-11

North Star Investment Management Corp.

UNCHANGED

Shares575,000 from 575,000

Change0 (0%)

Value$590 (-$10)

Filed 2022-02-07

SSI Investment Management LLC

UNCHANGED

Shares458,000 from 458,000

Change0 (0%)

Value$471 (-$7)

Filed 2022-02-11

Wellington Management Group LLP

UNCHANGED

Shares300,000 from 300,000

Change0 (0%)

Value$308 (-$5)

Filed 2022-02-11

Raymond James & Associates

DECREASED

Shares265,000 from 279,000

Change-14,000 (-5%)

Value$272 (-$19)

Filed 2022-02-08

Regions Financial Corp

UNCHANGED

Shares95,000 from 95,000

Change0 (0%)

Value$97 (-$2)

Filed 2022-01-31

First Hawaiian Bank

UNCHANGED

Shares65,000 from 65,000

Change0 (0%)

Value$67 (-$1)

Filed 2022-01-12

Osaic Holdings, Inc.

DECREASED

Shares44,000 from 53,000

Change-9,000 (-17%)

Value$46 (-$10)

Filed 2022-02-03

Walleye Capital LLC

INCREASED

Shares21,685 from 19,000

Change+2,685 (+14%)

Value$22.3K (+$20.3K)

Filed 2022-05-27

Morgan Stanley

UNCHANGED

Shares21,000 from 21,000

Change0 (0%)

Value$22 ($0)

Filed 2022-02-14

Delta Asset Management LLC

UNCHANGED

Shares12,000 from 12,000

Change0 (0%)

Value$12 (-$1)

Filed 2022-02-09

Steward Partners Investment Advisory, LLC

UNCHANGED

Shares7,000 from 7,000

Change0 (0%)

Value$7 ($0)

Filed 2022-02-08

UBS Group AG

UNCHANGED

Shares5,000 from 5,000

Change0 (0%)

Value$5 ($0)

Filed 2022-02-14

Laffer Tengler Investments, Inc.

DECREASED

Shares2,352 from 2,386

Change-34 (-1%)

Value$2.5M (-$21.1K)

Filed 2022-02-11

Bluefin Capital Management, LLC

NEW

Shares0

Change0

Value$5.5K

Filed 2022-02-14

Steelhead Partners LLC

CLOSED

Shares0 from 37,590,000

Change-37,590,000 (-100%)

Value$0 (-$39.1K)

Filed 2022-02-14

SMH Capital Advisors Inc

CLOSED

Shares0 from 9,574,000

Change-9,574,000 (-100%)

Value$0 (-$10.0K)

Filed 2022-02-02

Mizuho Securities USA Inc.

CLOSED

Shares0 from 6,240,000

Change-6,240,000 (-100%)

Value$0 (-$6.5K)

Filed 2022-01-28

Lazard Asset Management LLC

CLOSED

Shares0 from 2,359,000

Change-2,359,000 (-100%)

Value$0 (-$2.5K)

Filed 2022-02-09

Deutsche Bank Ag\

CLOSED

Shares0 from 1,004,000

Change-1,004,000 (-100%)

Value$0 (-$1.0K)

Filed 2022-02-16

Royal Bank of Canada

CLOSED

Shares0 from 25,000

Change-25,000 (-100%)

Value$0 (-$26)

Filed 2022-02-14

United Capital Financial Advisors, LLC

CLOSED

Shares0 from 5,000

Change-5,000 (-100%)

Value$0 (-$522)

Filed 2022-02-14

Proequities, Inc.

UNCHANGED

Shares0 from 0

Change0

Value$0 ($0)

Filed 2022-02-07

	Status
D. E. Shaw & Co., Inc.	INCREASED	40,019,000	20,319,000	+19,700,000	+97%	$21.1K	$41.3K	+$20.2K	2022-02-14
Citadel Advisors LLC	NEW	38,525,000	—	+38,525,000	—	—	$39.8K	—	2022-02-14
CQS (US), LLC	INCREASED	13,415,000	10,200,000	+3,215,000	+32%	$10.8K	$14.1K	+$3.3K	2022-02-10
Income Research & Management	UNCHANGED	11,932,000	11,932,000	0	0%	$12.4K	$12.2K	-$200	2022-01-24
Warberg Asset Management LLC	INCREASED	10,304,000	4,004,000	+6,300,000	+157%	$4.2K	$10.6K	+$6.5K	2022-02-14
Bank of Nova Scotia	NEW	9,500,000	—	+9,500,000	—	—	$10.1K	—	2022-02-11
Skaana Management L.P.	NEW	9,450,000	—	+9,450,000	—	—	$9.7K	—	2022-02-14
Conning Inc.	UNCHANGED	4,520,000	4,520,000	0	0%	$4.7K	$4.7K	-$50	2022-01-27
DZ Bank AG Deutsche Zentral Genossenschafts Bank, Frankfurt am Main	UNCHANGED	4,500,000	4,500,000	0	0%	$4.7M	$4.7M	-$27.9K	2026-05-04
Palisade Capital Management, LP	DECREASED	4,033,000	4,143,000	-110,000	-3%	$4.3K	$4.2K	-$165	2022-04-21
Fort Baker Capital Management LP	INCREASED	2,937,000	2,248,000	+689,000	+31%	$2.4K	$3.1K	+$724	2022-02-14
JPMorgan Chase & Co	DECREASED	2,661,000	7,243,000	-4,582,000	-63%	$7.6K	$2.8K	-$4.9K	2022-02-11
Wells Fargo & Company	INCREASED	2,387,000	28,000	+2,359,000	+8425%	$29	$2.5K	+$2.4K	2022-02-14
AQR Arbitrage LLC	UNCHANGED	1,220,000	1,220,000	0	0%	$1.3K	$1.3K	-$21	2022-02-14
Westwood Holdings Group Inc	UNCHANGED	1,000,000	1,000,000	0	0%	$1.1K	$1.1K	+$1	2022-02-25
Kemper Corp	UNCHANGED	900,000	900,000	0	0%	$938	$928	-$10	2022-02-14
BNP Paribas Financial Markets	NEW	655,000	—	+655,000	—	—	$677.1K	—	2022-02-09
Bank of New York Mellon Corp	UNCHANGED	650,000	650,000	0	0%	$684	$675	-$9	2022-02-11
North Star Investment Management Corp.	UNCHANGED	575,000	575,000	0	0%	$600	$590	-$10	2022-02-07
SSI Investment Management LLC	UNCHANGED	458,000	458,000	0	0%	$478	$471	-$7	2022-02-11
Wellington Management Group LLP	UNCHANGED	300,000	300,000	0	0%	$313	$308	-$5	2022-02-11
Raymond James & Associates	DECREASED	265,000	279,000	-14,000	-5%	$291	$272	-$19	2022-02-08
Regions Financial Corp	UNCHANGED	95,000	95,000	0	0%	$99	$97	-$2	2022-01-31
First Hawaiian Bank	UNCHANGED	65,000	65,000	0	0%	$68	$67	-$1	2022-01-12
Osaic Holdings, Inc.	DECREASED	44,000	53,000	-9,000	-17%	$56	$46	-$10	2022-02-03
Walleye Capital LLC	INCREASED	21,685	19,000	+2,685	+14%	$2.0K	$22.3K	+$20.3K	2022-05-27
Morgan Stanley	UNCHANGED	21,000	21,000	0	0%	$22	$22	$0	2022-02-14
Delta Asset Management LLC	UNCHANGED	12,000	12,000	0	0%	$13	$12	-$1	2022-02-09
Steward Partners Investment Advisory, LLC	UNCHANGED	7,000	7,000	0	0%	$7	$7	$0	2022-02-08
UBS Group AG	UNCHANGED	5,000	5,000	0	0%	$5	$5	$0	2022-02-14
Laffer Tengler Investments, Inc.	DECREASED	2,352	2,386	-34	-1%	$2.5M	$2.5M	-$21.1K	2022-02-11
Bluefin Capital Management, LLC	NEW	0	—	0	—	—	$5.5K	—	2022-02-14
Steelhead Partners LLC	CLOSED	0	37,590,000	-37,590,000	-100%	$39.1K	$0	-$39.1K	2022-02-14
SMH Capital Advisors Inc	CLOSED	0	9,574,000	-9,574,000	-100%	$10.0K	$0	-$10.0K	2022-02-02
Mizuho Securities USA Inc.	CLOSED	0	6,240,000	-6,240,000	-100%	$6.5K	$0	-$6.5K	2022-01-28
Lazard Asset Management LLC	CLOSED	0	2,359,000	-2,359,000	-100%	$2.5K	$0	-$2.5K	2022-02-09
Deutsche Bank Ag\	CLOSED	0	1,004,000	-1,004,000	-100%	$1.0K	$0	-$1.0K	2022-02-16
Royal Bank of Canada	CLOSED	0	25,000	-25,000	-100%	$26	$0	-$26	2022-02-14
United Capital Financial Advisors, LLC	CLOSED	0	5,000	-5,000	-100%	$522	$0	-$522	2022-02-14
Proequities, Inc.	UNCHANGED	0	0	0	—	$0	$0	$0	2022-02-07

Showing 40 of 40 institutions