Stock Transactions — HERCULES CAPITAL INC

Total Bought
10,333,132
169 transactions
Total Sold
8,645,205
143 transactions
Net
+1,687,927
shares
Filing Period:Transaction:
FundPrevious Shares
Current Shares
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Change in Shares
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Previous Portfolio Weightage (%)
Current Portfolio Weightage (%)
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Change in Weight (%)
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Type
UBS Group AG1,671,8602,493,992+822,1320.010.01+0.00buy
PANORAMIC INVESTMENT ADVISORS, LLC0799,775+799,7750.003.29+3.29buy
D. E. Shaw & Co., Inc.825,5371,548,960+723,4230.010.02+0.01buy
Qube Research & Technologies Ltd1,526,5262,235,750+709,2240.040.05+0.01buy
TWO SIGMA INVESTMENTS, LP1,616,4562,324,859+708,4030.050.03-0.02buy
Sound Income Strategies, LLC2,703,2753,382,058+678,7832.422.38-0.04buy
ARES MANAGEMENT LLC201,606776,606+575,0000.220.76+0.54buy
JPMORGAN CHASE & CO320,215878,600+558,3850.000.00+0.00buy
SUSQUEHANNA INTERNATIONAL GROUP, LLP20,995442,571+421,5760.000.01+0.01buy
CITADEL ADVISORS LLC472,139815,385+343,2460.010.01+0.00buy
Engineers Gate Manager LP132,688391,972+259,2840.030.07+0.04buy
ELEVATION POINT WEALTH PARTNERS, LLC0206,303+206,3030.000.07+0.07buy
GOLDMAN SACHS GROUP INC205,311384,372+179,0610.000.00+0.00buy
FRANKLIN RESOURCES INC975,3551,135,489+160,1340.000.00-0.00buy
MORGAN STANLEY1,114,1731,264,616+150,4430.000.00-0.00buy
BALYASNY ASSET MANAGEMENT L.P.15,002151,940+136,9380.000.00+0.00buy
TECTONIC ADVISORS LLC759,746893,102+133,3560.750.70-0.06buy
Apollon Wealth Management, LLC19,445151,796+132,3510.010.04+0.03buy
Significant Wealth Partners LLC0125,136+125,1360.002.28+2.28buy
LAZARD ASSET MANAGEMENT LLC0124,353+124,3530.000.00+0.00buy
Legal & General Group Plc1,382,0841,498,653+116,5690.010.01-0.00buy
MATHER GROUP, LLC.0109,084+109,0840.000.02+0.02buy
FJ Capital Management LLC169,984277,666+107,6820.350.46+0.11buy
RIVERBRIDGE PARTNERS LLC090,672+90,6720.000.03+0.03buy
Jefferies Financial Group Inc.2,97792,230+89,2530.000.02+0.02buy
ROMANO BROTHERS AND COMPANY075,900+75,9000.000.13+0.13buy
Border to Coast Pensions Partnership Ltd400,000475,000+75,0000.130.12-0.01buy
Triumph Capital Management9,60581,862+72,2570.040.25+0.21buy
Trexquant Investment LP402,892470,541+67,6490.070.05-0.02buy
CMH Wealth Management LLC065,120+65,1200.000.17+0.17buy
BARCLAYS PLC176,373240,270+63,8970.000.00-0.00buy
HRT FINANCIAL LP441,316495,278+53,9620.030.02-0.01buy
AMERIPRISE FINANCIAL INC385,996438,077+52,0810.000.00-0.00buy
AE Wealth Management LLC53,535100,693+47,1580.010.01+0.00buy
GROUP ONE TRADING LLC56,693101,940+45,2470.030.05+0.02buy
SHARPEPOINT LLC100,621142,488+41,8671.131.25+0.12buy
Cetera Investment Advisers215,036256,621+41,5850.000.00-0.00buy
Campbell & CO Investment Adviser LLC10,75651,378+40,6220.010.04+0.03buy
Fieldview Capital Management, LLC040,418+40,4180.000.17+0.17buy
IMC-Chicago, LLC24,17763,773+39,5960.010.01+0.01buy
Gilman Hill Asset Management, LLC580,440617,833+37,3931.721.38-0.34buy
&PARTNERS40,30176,856+36,5550.000.01+0.00buy
Palogic Value Management, L.P.034,783+34,7830.000.23+0.23buy
Bank of New York Mellon Corp113,607144,459+30,8520.000.00+0.00buy
Advisors Capital Management, LLC828,258856,216+27,9580.180.15-0.04buy
Entropy Technologies, LP027,414+27,4140.000.02+0.02buy
Atom Investors LP024,882+24,8820.000.03+0.03buy
Beacon Pointe Advisors, LLC42,44766,525+24,0780.010.01-0.00buy
ADIRONDACK TRUST CO024,000+24,0000.000.12+0.12buy
Whipplewood Advisors, LLC35,55459,045+23,4910.430.45+0.02buy
Lansforsakringar Fondforvaltning AB (publ)83,979106,912+22,9330.010.01+0.00buy
IFC Advisors LLC022,721+22,7210.000.05+0.05buy
BANK OF AMERICA CORP /DE/205,420227,010+21,5900.000.00-0.00buy
Orion Porfolio Solutions, LLC021,567+21,5670.000.00+0.00buy
Founders Financial Alliance, LLC021,567+21,5670.000.06+0.06buy
Brevan Howard Capital Management LP100,713122,078+21,3650.040.02-0.02buy
DIVERSIFY WEALTH MANAGEMENT, LLC021,032+21,0320.000.01+0.01buy
Virtu Financial LLC019,387+19,3870.000.01+0.01buy
CANTOR FITZGERALD, L. P.018,000+18,0000.000.01+0.01buy
Secure Asset Management, LLC48,51765,539+17,0220.140.15+0.01buy
Naviter Wealth, LLC193,963210,445+16,4820.480.39-0.09buy
Integrated Wealth Concepts LLC016,059+16,0590.000.00+0.00buy
GREAT VALLEY ADVISOR GROUP, INC.015,592+15,5920.000.00+0.00buy
NewEdge Advisors, LLC1,13216,259+15,1270.000.00+0.00buy
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC109,555124,677+15,1220.100.10-0.01buy
FOUNDATIONS INVESTMENT ADVISORS, LLC33,59548,527+14,9320.010.01+0.00buy
Muzinich & Co., Inc.1,335,7871,350,125+14,3387.906.98-0.93buy
D.A. DAVIDSON & CO.309,211323,397+14,1860.040.03-0.01buy
IHT Wealth Management, LLC86,883100,895+14,0120.040.03-0.01buy
KFG WEALTH MANAGEMENT, LLC013,915+13,9150.000.03+0.03buy
EVERGREEN CAPITAL MANAGEMENT LLC12,50425,523+13,0190.010.01+0.00buy
Hennion & Walsh Asset Management, Inc.012,908+12,9080.000.01+0.01buy
Avior Wealth Management, LLC012,774+12,7740.000.01+0.01buy
Wealthfront Advisers LLC012,374+12,3740.000.00+0.00buy
Strategic Financial Concepts, LLC012,150+12,1500.000.04+0.04buy
AIGEN INVESTMENT MANAGEMENT, LP012,089+12,0890.000.05+0.05buy
CHOREO, LLC011,994+11,9940.000.00+0.00buy
Independent Advisor Alliance011,750+11,7500.000.00+0.00buy
Haven Private, LLC24,62536,082+11,4570.200.23+0.03buy
Golden State Equity Partners011,133+11,1330.000.01+0.01buy
ENVESTNET ASSET MANAGEMENT INC33,35144,381+11,0300.000.00-0.00buy
Lido Advisors, LLC66,79477,549+10,7550.000.00-0.00buy
Sovereign Financial Group, Inc.010,755+10,7550.000.03+0.03buy
Wealth Architects, LLC010,736+10,7360.000.01+0.01buy
Catalina Capital Group, LLC010,717+10,7170.000.10+0.10buy
Bridgefront Capital, LLC010,706+10,7060.000.04+0.04buy
Dynamic Technology Lab Private Ltd010,528+10,5280.000.03+0.03buy
KINGSWOOD WEALTH ADVISORS, LLC010,032+10,0320.000.01+0.01buy
Autumn Glory Partners, LLC35,00045,000+10,0000.230.24+0.01buy
American Capital Advisory, LLC010,000+10,0000.000.06+0.06buy
STATE STREET CORP213,833223,172+9,3390.000.00-0.00buy
Legacy Capital Wealth Partners, LLC89,59798,333+8,7360.360.30-0.06buy
WELLS FARGO & COMPANY/MN740,481749,207+8,7260.000.00-0.00buy
Hillsdale Investment Management Inc.08,620+8,6200.000.00+0.00buy
NAPLES GLOBAL ADVISORS, LLC71,56979,899+8,3300.100.09-0.01buy
MACKENZIE FINANCIAL CORP11,74519,920+8,1750.000.00+0.00buy
AREX Capital Management, LP08,000+8,0000.000.20+0.20buy
FOX RUN MANAGEMENT, L.L.C.24,35431,986+7,6320.070.08+0.01buy
Sumitomo Mitsui Trust Group, Inc.1,018,7591,025,337+6,5780.010.01-0.00buy
CALTON & ASSOCIATES, INC.10,37916,929+6,5500.030.04+0.01buy
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