DaveManuel.com · Institutional Ownership · Who Owns It
HERCULES CAPITAL INC (HTGC)
Institutional ownership reported to the SEC as of Q2 2026, across 32 quarters.
338
Reporting holders
$870.1M
Reported value
29.0%
Of shares outstanding
2.1%
Calls
3.9%
Puts
-20
Holder change
Institutions report 54,348,602 shares against 187,164,000 outstanding. Shares only - option lines are excluded, which is why this can be compared with the company at all. The count comes from the cover page of the company's own most recent report, so it is dated when that was filed rather than at quarter end.
Calls and puts are the parts of reported value carried in derivative lines rather than shares, and they point in opposite directions: a manager holding calls is positioned for the security, one holding puts against it - or hedging shares they already own, which is why index funds carry so many. Most sites add the two together and report one figure, which averages away the only interesting part.
Holders
| Filer | Value | Shares | Their book | Held | Change |
|---|---|---|---|---|---|
| VAN ECK ASSOCIATES CORP | $61.2M | 3,877,634 | 0.04% | 31q | +22.6%+$11.3M |
| Sound Income Strategies, LLC | $57.8M | 3,667,518 | 2.60% | 31q | +8.4%+$4.5M |
| CITADEL ADVISORS LLC | $53.6M incl. $7.3M options CALL+PUT | 2,937,122 | 0.01% | 31q | +260.2%+$38.7M |
| UBS Group AG | $41.7M | 2,645,744 | 0.01% | 31q | +6.1%+$2.4M |
| TWO SIGMA INVESTMENTS, LP | $35.7M | 2,265,824 | 0.03% | 21q | -2.5%-$931.0K |
| LPL Financial LLC | $29.3M | 1,857,272 | 0.01% | 31q | +3.4%+$971.4K |
| MORGAN STANLEY | $28.6M | 1,812,484 | 0.00% | 35q | +43.3%+$8.6M |
| Legal & General Group Plc | $26.5M | 1,681,333 | 0.01% | 31q | +12.2%+$2.9M |
| SUSQUEHANNA INTERNATIONAL GROUP, LLP | $22.9M incl. $17.5M options CALL+PUT | 338,271 | 0.00% | 31q | -23.6%-$7.0M |
| FRANKLIN RESOURCES INC | $21.8M | 1,383,905 | 0.00% | 10q | +21.9%+$3.9M |
| D. E. Shaw & Co., Inc. | $21.7M | 1,373,460 | 0.01% | 13q | -11.3%-$2.8M |
| Muzinich & Co., Inc. | $21.4M | 1,357,013 | 7.31% | 31q | +0.5%+$108.6K |
| Union Bancaire Privee, UBP SA | $16.3M | 6,449? | 0.18% | 7q | |
| Sumitomo Mitsui Trust Group, Inc. | $16.2M | 1,027,434 | 0.01% | 26q | HELD |
| TECTONIC ADVISORS LLC | $15.9M | 1,006,408 | 0.76% | 23q | +12.7%+$1.8M |
| BlackRock, Inc. | $14.6M | 924,105 | 0.00% | 8q | +8.1%+$1.1M |
| Advisors Capital Management, LLC | $14.5M | 919,542 | 0.15% | 31q | +7.4%+$998.7K |
| JPMORGAN CHASE & CO | $13.3M | 837,561 | 0.00% | 31q | -4.7%-$651.7K |
| ARES MANAGEMENT LLC | $12.2M | 776,606 | 0.53% | 12q | HELD |
| WELLS FARGO & COMPANY/MN | $11.6M | 735,367 | 0.00% | 31q | -1.8%-$218.3K |
| Qube Research & Technologies Ltd | $10.9M | 694,341 | 0.01% | 6q | -68.9%-$24.3M |
| Gilman Hill Asset Management, LLC | $10.2M | 646,682 | 1.40% | 31q | +4.7%+$454.9K |
| HRT FINANCIAL LP | $9.7M | 613,003 | 0.02% | 12q | +23.8%+$1.9M |
| Border to Coast Pensions Partnership Ltd | $9.5M | 600,000 | 0.14% | 18q | +26.3%+$2.0M |
| Melia Wealth LLC | $8.7M | 553,874 | 5.03% | 11q | -30.7%-$3.9M |
| RAYMOND JAMES FINANCIAL INC | $8.4M | 532,094 | 0.00% | 7q | +11.7%+$875.6K |
| STIFEL FINANCIAL CORP | $7.7M | 486,419 | 0.01% | 31q | -3.1%-$241.4K |
| AMERIPRISE FINANCIAL INC | $7.7M | 485,156 | 0.00% | 28q | +10.7%+$742.8K |
| ROYAL BANK OF CANADA | $7.3M | 460,546 | 0.00% | 31q | -7.2%-$565.5K |
| GROUP ONE TRADING LLC | $7.2M incl. $6.5M options CALL+PUT | 43,135 | 0.01% | 25q | -57.7%-$9.8M |
| D.A. DAVIDSON & CO. | $5.3M | 335,890 | 0.03% | 20q | +3.9%+$197.0K |
| Janney Montgomery Scott LLC | $5.2M | 329,090 | 0.01% | new | NEW |
| Jefferies Financial Group Inc. | $5.2M incl. $4.9M options CALL+PUT | 16,884 | 0.03% | 4q | -81.7%-$23.0M |
| Cambridge Investment Research Advisors, Inc. | $4.9M | 312,424 | 0.01% | 31q | +98.9%+$2.4M |
| JANE STREET GROUP, LLC | $4.9M CALL+PUT | options only | 0.00% | 13q | OPTIONS |
| NEUBERGER BERMAN GROUP LLC | $4.8M | 304,573 | 0.00% | 31q | +1.0%+$45.7K |
| Advisors Asset Management, Inc. | $4.6M | 291,401 | 0.07% | 17q | -5.1%-$246.2K |
| IMC-Chicago, LLC | $4.5M incl. $3.7M options CALL+PUT | 51,011 | 0.00% | 2q | -20.0%-$1.1M |
| CONFLUENCE INVESTMENT MANAGEMENT LLC | $4.4M | 276,182 | 0.07% | 31q | +1.0%+$44.8K |
| GOLDMAN SACHS GROUP INC | $4.2M | 264,223 | 0.00% | 31q | -31.3%-$1.9M |
| STATE STREET CORP | $4.1M | 262,521 | 0.00% | 6q | +17.6%+$620.5K |
| BANK OF AMERICA CORP /DE/ | $4.1M | 259,640 | 0.00% | 31q | +14.4%+$514.6K |
| Cetera Investment Advisers | $4.1M | 257,002 | 0.00% | 17q | HELD |
| CITIGROUP INC | $3.9M incl. $3.9M options PUT | 447 | 0.00% | 4q | +12.9%+$450.6K |
| FJ Capital Management LLC | $3.9M | 249,039 | 0.51% | 7q | -10.3%-$451.4K |
| Balyasny Asset Management L.P. | $3.7M | 232,700 | 0.00% | 5q | +53.2%+$1.3M |
| PNC Financial Services Group, Inc. | $3.6M | 230,585 | 0.00% | 31q | -1.5%-$55.3K |
| Cerity Partners LLC | $3.4M | 217,753 | 0.00% | 10q | +10.0%+$312.0K |
| Naviter Wealth, LLC | $3.4M | 217,666 | 0.31% | 10q | +3.4%+$113.9K |
| CANADA LIFE ASSURANCE Co | $3.3M | 211,479 | 0.01% | 27q | +14.6%+$423.3K |
| DENALI ADVISORS LLC | $3.3M | 210,633 | 0.33% | 8q | -6.1%-$216.3K |
| ELEVATION POINT WEALTH PARTNERS, LLC | $3.3M | 207,786 | 0.06% | 2q | +0.7%+$23.4K |
| BNP PARIBAS FINANCIAL MARKETS | $3.2M | 202,990 | 0.00% | 31q | +5.0%+$152.7K |
| BLAIR WILLIAM & CO/IL | $3.0M | 191,193 | 0.01% | 21q | HELD |
| FAS Wealth Partners, Inc. | $3.0M | 190,914 | 0.16% | 23q | +5.6%+$160.2K |
| Waterloo Capital, L.P. | $3.0M | 190,911 | 0.17% | 11q | +2.2%+$65.5K |
| OSAIC HOLDINGS, INC. | $3.0M | 190,536 | 0.00% | 26q | +90.1%+$1.4M |
| COMMONWEALTH EQUITY SERVICES, LLC | $2.9M | 182,643 | 0.00% | 31q | -14.4%-$484.2K |
| BARCLAYS PLC | $2.6M | 162,909 | 0.00% | 7q | -32.2%-$1.2M |
| Taylor Frigon Capital Management LLC | $2.5M | 160,722 | 1.19% | 31q | +1.4%+$35.2K |
| Apollon Wealth Management, LLC | $2.4M | 152,377 | 0.03% | 7q | HELD |
| LAZARD ASSET MANAGEMENT LLC | $2.3M | 148,753 | 0.00% | 2q | +19.6%+$384.8K |
| SHARPEPOINT LLC | $2.3M | 147,847 | 1.17% | 7q | +3.8%+$84.5K |
| Ilex Capital Partners (UK) LLP | $2.3M | 145,812 | 0.05% | new | NEW |
| Rockefeller Capital Management L.P. | $2.2M | 142,459 | 0.00% | 27q | HELD |
| INDEPENDENT FINANCIAL GROUP, LLC | $2.2M | 139,458 | 0.04% | 17q | +65.3%+$869.1K |
| AE Wealth Management LLC | $2.1M | 135,293 | 0.01% | 25q | +34.4%+$545.6K |
| Bank of New York Mellon Corp | $2.1M | 131,115 | 0.00% | 10q | -9.2%-$210.4K |
| NORTHERN TRUST CORP | $2.0M | 127,130 | 0.00% | 31q | +47.4%+$644.9K |
| Schonfeld Strategic Advisors LLC | $2.0M | 127,081 | 0.01% | 5q | -1.1%-$23.2K |
| Significant Wealth Partners LLC | $2.0M | 126,219 | 2.16% | 2q | +0.9%+$17.1K |
| IHT Wealth Management, LLC | $2.0M | 125,185 | 0.04% | 19q | +24.1%+$383.1K |
| Triad Investment Management | $2.0M | 125,009 | 2.17% | 17q | +19.6%+$322.4K |
| RESOLUTE CAPITAL, LLC | $2.0M | 123,665 | 0.67% | 3q | +61.1%+$739.6K |
| Summit Financial, LLC | $1.9M | 121,219 | 0.02% | 5q | +200.9%+$1.3M |
| Elemental Capital Partners LLC | $1.9M | 120,680 | 0.40% | new | NEW |
| OCCUDO QUANTITATIVE STRATEGIES LP | $1.8M | 112,020 | 0.09% | new | NEW |
| PFG Investments, LLC | $1.8M | 111,649 | 0.07% | 14q | -1.8%-$32.0K |
| CIBC Bancorp USA Inc. | $1.8M | 111,276 | 0.00% | 2q | HELD |
| &PARTNERS | $1.7M | 108,620 | 0.01% | 18q | +41.3%+$500.9K |
| Legacy Capital Wealth Partners, LLC | $1.7M | 108,546 | 0.33% | 9q | +10.4%+$161.1K |
| CENTAURUS FINANCIAL, INC. | $1.7M | 107,436 | 0.07% | 5q | HELD |
| SIMPLEX TRADING, LLC | $1.7M incl. $1.6M options CALL+PUT | 6,429 | 0.00% | 31q | HELD |
| MATHER GROUP, LLC. | $1.7M | 104,925 | 0.01% | 2q | -3.8%-$65.6K |
| NATIONS FINANCIAL GROUP INC, /IA/ /ADV | $1.6M | 98,614 | 0.07% | 15q | +4.2%+$63.0K |
| NATIXIS | $1.6M | 98,292 | 0.01% | 24q | -17.1%-$320.8K |
| PENNINGTON PARTNERS & CO., LLC | $1.5M | 96,700 | 0.49% | 7q | HELD |
| Trexquant Investment LP | $1.5M | 92,906 | 0.01% | 4q | -80.3%-$6.0M |
| Triumph Capital Management | $1.5M | 92,379 | 0.26% | 3q | +12.8%+$165.9K |
| Creative Planning | $1.5M | 92,193 | 0.00% | 31q | +34.0%+$369.2K |
| RIVERBRIDGE PARTNERS LLC | $1.4M | 90,993 | 0.04% | 2q | HELD |
| Lido Advisors, LLC | $1.4M | 88,450 | 0.00% | 11q | +14.1%+$171.9K |
| Truvestments Capital LLC | $1.4M | 87,346 | 0.20% | 11q | -6.8%-$101.1K |
| Palogic Value Management, L.P. | $1.4M | 86,116 | 0.22% | 2q | +147.6%+$809.5K |
| Whipplewood Advisors, LLC | $1.3M | 83,463 | 0.89% | 4q | +41.4%+$385.1K |
| NAPLES GLOBAL ADVISORS, LLC | $1.3M | 82,584 | 0.08% | 31q | +3.4%+$42.3K |
| S&T Bank/PA | $1.3M | 82,175 | 0.39% | 31q | -22.7%-$380.7K |
| Quantbot Technologies LP | $1.3M | 81,135 | 0.05% | 15q | +26.8%+$270.5K |
| WEALTH ENHANCEMENT ADVISORY SERVICES, LLC | $1.3M | 79,383 | 0.00% | 8q | +11.6%+$132.4K |
| Private Advisor Group, LLC | $1.3M | 79,479 | 0.01% | 31q | -24.0%-$395.2K |
Showing the largest 100 of 339 reported holders. The count of 338 above leaves out 1 position whose reported value failed our price check; it is listed here as filed.
What the company announced
Form 8-K filings from the last 120 days, showing only the items worth a reader's attention. Earnings releases, exhibit attachments and general disclosures are filed constantly and are left out. Filed is when the SEC received it; event is the date the company says the thing happened.
| Filed | Event date | What | Source |
|---|---|---|---|
| 2026-10-08 | 2026-10-05 | Material agreement entered | filing |
| 2026-09-17 | 2026-09-17 | Directors or officers departed or appointed | filing |
Quarter by quarter
Coverage begins with the quarter ending 2018-12-31. Earlier filings exist only as occasional late amendments, too sparse to describe a market, so they are not shown.
| Quarter | Holders | Value | Shares | New | Added | Trimmed | Options |
|---|---|---|---|---|---|---|---|
| Q3 2026 | 120 | $211.5M | 12,628,215 | 17 | 50 | 20 | 0.0% |
| Q2 2026 | 338 | $870.1M | 54,348,602 | 33 | 124 | 97 | 6.0% |
| Q1 2026 | 358 | $804.4M | 52,996,288 | 53 | 122 | 102 | 7.5% |
| Q4 2025 | 357 | $994.1M | 52,394,474 | 43 | 125 | 92 | 5.6% |
| Q3 2025 | 345 | $917.3M | 47,362,075 | 45 | 114 | 95 | 2.9% |
| Q2 2025 | 328 | $885.1M | 47,114,945 | 38 | 128 | 80 | 2.7% |
| Q1 2025 | 329 | $801.7M | 40,375,736 | 36 | 135 | 76 | 3.3% |
| Q4 2024 | 340 | $796.3M | 37,932,997 | 45 | 127 | 64 | 4.3% |
| Q3 2024 | 303 | $691.0M | 32,211,329 | 37 | 113 | 77 | 6.5% |
| Q2 2024 | 293 | $710.4M | 32,808,258 | 29 | 113 | 80 | 4.3% |
| Q1 2024 | 301 | $714.8M | 36,729,454 | 39 | 114 | 67 | 4.2% |
| Q4 2023 | 293 | $601.8M | 33,728,379 | 36 | 105 | 62 | 6.6% |
| Q3 2023 | 269 | $532.0M | 29,555,188 | 32 | 83 | 63 | 8.8% |
| Q2 2023 | 254 | $466.0M | 28,393,478 | 22 | 83 | 74 | 9.8% |
| Q1 2023 | 265 | $455.9M | 31,466,711 | 36 | 103 | 61 | 11.0% |
| Q4 2022 | 267 | $477.6M | 32,893,459 | 42 | 92 | 67 | 8.3% |
| Q3 2022 | 233 | $1.3B | 112,826,161 | 27 | 84 | 60 | 1.7% |
| Q2 2022 | 246 | $1.5B | 110,557,800 | 39 | 86 | 64 | 0.8% |
| Q1 2022 | 243 | $1.0B | 55,577,566 | 26 | 81 | 67 | 1.9% |
| Q4 2021 | 248 | $1.9B | 112,339,597 | 32 | 84 | 53 | 1.5% |
| Q3 2021 | 221 | $1.9B | 114,168,900 | 28 | 76 | 53 | 1.2% |
| Q2 2021 | 216 | $1.9B | 110,393,382 | 30 | 60 | 66 | 1.2% |
| Q1 2021 | 209 | $1.4B | 87,127,622 | 32 | 67 | 61 | 0.7% |
| Q4 2020 | 194 | $1.3B | 85,575,083 | 27 | 61 | 50 | 1.4% |
| Q3 2020 | 177 | $995.4M | 85,219,766 | 19 | 61 | 53 | 1.0% |
| Q2 2020 | 184 | $926.1M | 87,575,674 | 17 | 71 | 59 | 1.0% |
| Q1 2020 | 197 | $896.6M | 117,061,961 | 37 | 67 | 58 | 0.3% |
| Q4 2019 | 185 | $722.8M | 51,495,414 | 32 | 56 | 42 | 0.2% |
| Q3 2019 | 173 | $640.7M | 47,753,170 | 22 | 56 | 46 | 0.3% |
| Q2 2019 | 180 | $2.2B | 171,177,177 | 35 | 55 | 49 | 0.3% |
| Q1 2019 | 168 | $2.2B | 176,526,018 | 32 | 54 | 50 | 0.2% |
| Q4 2018 | 169 | $1.3B | 115,851,380 | 5 | 7 | 3 | 0.1% |