Stock Transactions — HERCULES CAPITAL INC

Total Bought
37,650,175
175 transactions
Total Sold
2,948,421
122 transactions
Net
+34,701,754
shares
Filing Period:Transaction:
FundPrevious Shares
Current Shares
▲▼
Change in Shares
▲▼
Previous Portfolio Weightage (%)
Current Portfolio Weightage (%)
▲▼
Change in Weight (%)
▲▼
Type
Kingstone Capital Partners Texas, LLC028,419,870+28,419,8700.000.21+0.21buy
MILLENNIUM MANAGEMENT LLC388,4392,909,160+2,520,7210.010.05+0.04buy
Qube Research & Technologies Ltd110,425580,414+469,9890.000.01+0.01buy
GOLDMAN SACHS GROUP INC35,740382,964+347,2240.000.00+0.00buy
UBS Group AG811,0551,153,006+341,9510.000.00+0.00buy
Atom Investors LP56,898388,483+331,5850.130.63+0.49buy
HRT FINANCIAL LP277,812558,010+280,1980.030.04+0.01buy
VAN ECK ASSOCIATES CORP3,363,3993,618,427+255,0280.080.07-0.01buy
FRANKLIN RESOURCES INC595,252843,114+247,8620.000.00+0.00buy
Jump Financial, LLC18,713263,509+244,7960.010.06+0.06buy
Neuberger Berman Group LLC119,453349,374+229,9210.000.00+0.00buy
Muzinich & Co., Inc.510,371738,169+227,7985.996.16+0.17buy
VOLORIDGE INVESTMENT MANAGEMENT, LLC439,016630,644+191,6280.030.04+0.01buy
BlackRock, Inc.882,2991,066,818+184,5190.000.00+0.00buy
LPL Financial LLC1,130,3621,296,534+166,1720.010.01-0.00buy
BALYASNY ASSET MANAGEMENT L.P.0153,113+153,1130.000.01+0.01buy
TWINBEECH CAPITAL LP111,431262,822+151,3910.040.11+0.07buy
Campbell & CO Investment Adviser LLC22,014168,436+146,4220.030.19+0.16buy
Schonfeld Strategic Advisors LLC0134,533+134,5330.000.02+0.02buy
Engineers Gate Manager LP111,719240,946+129,2270.040.05+0.02buy
Quantbot Technologies LP16,765141,787+125,0220.010.07+0.06buy
Sumitomo Mitsui Trust Group, Inc.499,699621,724+122,0250.010.01+0.00buy
STATE STREET CORP48,947168,362+119,4150.000.00+0.00buy
NORTHERN TRUST CORP10,295123,352+113,0570.000.00+0.00buy
Cubist Systematic Strategies, LLC336,988447,641+110,6530.080.09+0.00buy
STIFEL FINANCIAL CORP478,896569,202+90,3060.010.01+0.00buy
TECTONIC ADVISORS LLC531,792621,562+89,7700.640.66+0.02buy
PREVAIL INNOVATIVE WEALTH ADVISORS, LLC088,148+88,1480.000.36+0.36buy
Legal & General Group Plc1,176,0171,253,204+77,1870.010.01-0.00buy
Brevan Howard Capital Management LP073,910+73,9100.000.01+0.01buy
JANE STREET GROUP, LLC067,341+67,3410.000.00+0.00buy
Y-Intercept (Hong Kong) Ltd31,39697,439+66,0430.040.04+0.00buy
TWO SIGMA ADVISERS, LP2,019,6002,081,600+62,0000.090.08-0.01buy
D. E. Shaw & Co., Inc.283,311342,857+59,5460.010.01-0.00buy
FJ Capital Management LLC93,829150,435+56,6060.190.29+0.11buy
Sound Income Strategies, LLC2,874,4552,930,340+55,8853.263.07-0.19buy
TWO SIGMA INVESTMENTS, LP1,265,0841,320,316+55,2320.050.04-0.01buy
GROUP ONE TRADING LLC1,85156,817+54,9660.000.03+0.03buy
TUDOR INVESTMENT CORP ET AL79,723128,987+49,2640.010.02+0.00buy
BNP PARIBAS FINANCIAL MARKETS156,840201,867+45,0270.000.00+0.00buy
Summit Financial, LLC040,817+40,8170.000.02+0.02buy
CENTAURUS FINANCIAL, INC.037,144+37,1440.000.04+0.04buy
Taylor Frigon Capital Management LLC114,664151,535+36,8711.311.47+0.16buy
Bryce Point Capital, LLC036,842+36,8420.000.57+0.57buy
Verition Fund Management LLC42,90077,234+34,3340.000.01+0.00buy
CAXTON ASSOCIATES LLP034,323+34,3230.000.02+0.02buy
Americana Partners, LLC032,250+32,2500.000.02+0.02buy
MQS Management LLC031,240+31,2400.000.31+0.31buy
Melia Wealth LLC762,512793,586+31,0747.566.95-0.61buy
BARCLAYS PLC71,702102,522+30,8200.000.00+0.00buy
OXFORD ASSET MANAGEMENT LLP030,338+30,3380.000.18+0.18buy
Corient Private Wealth LLC25,95355,252+29,2990.000.00+0.00buy
ExodusPoint Capital Management, LP025,800+25,8000.000.01+0.01buy
Border to Coast Pensions Partnership Ltd350,000375,000+25,0000.140.13-0.01buy
NATIXIS93,368117,971+24,6030.010.01+0.00buy
AIGEN INVESTMENT MANAGEMENT, LP023,367+23,3670.000.06+0.06buy
Diversify Advisory Services, LLC022,345+22,3450.000.02+0.02buy
Naviter Wealth, LLC184,454203,691+19,2370.430.46+0.03buy
Beacon Pointe Advisors, LLC14,04931,717+17,6680.000.01+0.00buy
Magnetar Financial LLC017,657+17,6570.000.00+0.00buy
Sciencast Management LP015,442+15,4420.000.06+0.06buy
UNITED CAPITAL FINANCIAL ADVISORS, LLC014,679+14,6790.000.00+0.00buy
Point72 Asset Management, L.P.21,65136,299+14,6480.000.00+0.00buy
ELEVATION POINT WEALTH PARTNERS, LLC153,851167,190+13,3390.250.24-0.01buy
KESTRA PRIVATE WEALTH SERVICES, LLC90,876103,832+12,9560.030.03-0.00buy
COMMONWEALTH EQUITY SERVICES, LLC274,413287,158+12,7450.010.01-0.00buy
Cambridge Investment Research Advisors, Inc.153,147164,755+11,6080.010.01-0.00buy
IHT Wealth Management, LLC69,66980,797+11,1280.040.04-0.00buy
SHARPEPOINT LLC75,69686,457+10,7611.201.63+0.42buy
Prospera Financial Services Inc010,078+10,0780.000.00+0.00buy
D.A. DAVIDSON & CO.285,929295,514+9,5850.040.04-0.01buy
J.W. COLE ADVISORS, INC.51,19559,061+7,8660.030.02-0.01buy
Baker Avenue Asset Management, LP165,898173,508+7,6100.100.09-0.01buy
JONES FINANCIAL COMPANIES LLLP1,0007,215+6,2150.000.00+0.00buy
NAPLES GLOBAL ADVISORS, LLC64,07469,924+5,8500.120.11-0.01buy
Mariner, LLC38,39344,141+5,7480.000.00-0.00buy
Bayforest Capital Ltd05,289+5,2890.000.04+0.04buy
TFG Advisers LLC60,18865,371+5,1830.420.41-0.01buy
Left Brain Wealth Management, LLC278,894284,068+5,1742.341.83-0.51buy
Kestra Advisory Services, LLC32,99438,115+5,1210.000.00+0.00buy
SteelPeak Wealth, LLC33,16038,264+5,1040.030.03+0.00buy
Allworth Financial LP1,1355,972+4,8370.000.00+0.00buy
Inspire Investing, LLC21,18525,816+4,6310.050.05+0.00buy
CANADA LIFE ASSURANCE Co151,384155,832+4,4480.010.00-0.00buy
Concurrent Investment Advisors, LLC28,59732,993+4,3960.010.01-0.00buy
Virtus Investment Advisers, LLC43,32847,438+4,1100.230.29+0.07buy
DELPHI MANAGEMENT INC /MA/72,57076,455+3,8851.421.35-0.07buy
Graypoint LLC165,597169,462+3,8650.200.17-0.02buy
CAPITAL ADVISORY GROUP ADVISORY SERVICES, LLC87,05390,904+3,8510.640.60-0.04buy
Diligent Investors, LLC24,48328,005+3,5220.110.12+0.01buy
Kovitz Investment Group Partners, LLC28,34831,775+3,4270.000.00-0.00buy
Chicago Partners Investment Group LLC15,53018,772+3,2420.010.01+0.00buy
BLAIR WILLIAM & CO/IL200,000203,205+3,2050.010.01-0.00buy
WFA of San Diego, LLC03,000+3,0000.000.04+0.04buy
Sigma Planning Corp46,81149,791+2,9800.030.03-0.00buy
MTM Investment Management, LLC02,900+2,9000.000.02+0.02buy
PRIVATE TRUST CO NA5003,381+2,8810.000.01+0.00buy
Integrated Wealth Concepts LLC17,24120,106+2,8650.000.00-0.00buy
First Horizon Advisors, Inc.02,566+2,5660.000.00+0.00buy
NewEdge Advisors, LLC14,46116,875+2,4140.000.00-0.00buy
Page 1 of 4