HERCULES CAPITAL INC
| Fund | Previous Shares | Current Shares ▲▼ | Change in Shares ▲▼ | Previous Portfolio Weightage (%) | Current Portfolio Weightage (%) ▲▼ | Change in Weight (%) | Type |
|---|---|---|---|---|---|---|---|
| Muzinich & Co., Inc. | 738,169 | 992,820 | +254,651 | 6.16 | 7.28 | +1.11 | buy |
| Connor, Clark & Lunn Investment Management Ltd. | 218,061 | 434,118 | +216,057 | 0.01 | 0.03 | +0.01 | buy |
| Sound Income Strategies, LLC | 2,930,340 | 2,752,867 | +177,473 | 3.07 | 2.57 | 0.00 | sell |
| TECTONIC ADVISORS LLC | 621,562 | 689,511 | +67,949 | 0.66 | 0.71 | +0.05 | buy |
| INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC | 19,455 | 79,555 | +60,100 | 0.03 | 0.12 | +0.09 | buy |
| FJ Capital Management LLC | 150,435 | 203,991 | +53,556 | 0.29 | 0.41 | +0.12 | buy |
| Global Retirement Partners, LLC | 23,516 | 69,615 | +46,099 | 0.01 | 0.03 | 0.00 | buy |
| Y-Intercept (Hong Kong) Ltd | 97,439 | 52,678 | +44,761 | 0.05 | 0.03 | 0.00 | sell |
| Advisors Capital Management, LLC | 754,521 | 794,251 | +39,730 | 0.19 | 0.19 | -0.00 | buy |
| Magnetar Financial LLC | 17,657 | 40,379 | +22,722 | 0.00 | 0.00 | +0.00 | buy |
| Truvestments Capital LLC | 211,138 | 188,618 | +22,520 | 0.77 | 0.64 | 0.00 | sell |
| Melia Wealth LLC | 793,586 | 813,540 | +19,954 | 6.95 | 6.74 | -0.21 | buy |
| PREVAIL INNOVATIVE WEALTH ADVISORS, LLC | 88,148 | 107,148 | +19,000 | 0.36 | 0.39 | +0.03 | buy |
| Monument Capital Management | 15,534 | 34,447 | +18,913 | 0.07 | 0.16 | +0.09 | buy |
| SIT INVESTMENT ASSOCIATES INC | 18,050 | 35,000 | +16,950 | 0.01 | 0.01 | +0.01 | buy |
| Gilman Hill Asset Management, LLC | 570,379 | 584,051 | +13,672 | 1.70 | 1.73 | +0.03 | buy |
| Golden State Wealth Management, LLC | 75,538 | 64,577 | +10,961 | 0.17 | 0.14 | 0.00 | sell |
| Accel Wealth Management | 21,956 | 32,901 | +10,945 | 0.13 | 0.18 | +0.05 | buy |
| Penbrook Management LLC | 24,982 | 14,775 | +10,207 | 0.36 | 0.20 | 0.00 | sell |
| Advisors Asset Management, Inc. | 382,751 | 391,629 | +8,878 | 0.13 | 0.13 | 0.00 | buy |
| TWO SIGMA INVESTMENTS, LP | 1,320,316 | 1,328,016 | +7,700 | 0.05 | 0.04 | 0.00 | buy |
| Left Brain Wealth Management, LLC | 284,068 | 290,883 | +6,815 | 1.83 | 1.73 | -0.10 | buy |
| Waterloo Capital, L.P. | 151,351 | 158,053 | +6,702 | 0.22 | 0.22 | -0.00 | buy |
| Naviter Wealth, LLC | 203,691 | 209,005 | +5,314 | 0.46 | 0.46 | +0.00 | buy |
| EAGLE GLOBAL ADVISORS LLC | 26,125 | 31,175 | +5,050 | 0.02 | 0.02 | +0.00 | buy |
| D.A. DAVIDSON & CO. | 295,514 | 300,139 | +4,625 | 0.04 | 0.04 | -0.00 | buy |
| ELEVATION POINT WEALTH PARTNERS, LLC | 167,190 | 171,516 | +4,326 | 0.24 | 0.23 | -0.01 | buy |
| Inspire Investing, LLC | 25,816 | 29,068 | +3,252 | 0.05 | 0.05 | +0.00 | buy |
| Taylor Frigon Capital Management LLC | 151,535 | 154,414 | +2,879 | 1.47 | 1.45 | -0.02 | buy |
| NATIONS FINANCIAL GROUP INC, /IA/ /ADV | 94,063 | 96,690 | +2,627 | 0.12 | 0.11 | -0.00 | buy |
| MAS Advisors LLC | 20,992 | 23,323 | +2,331 | 0.63 | 0.70 | +0.07 | buy |
| NAPA WEALTH MANAGEMENT | 109,030 | 111,045 | +2,015 | 0.95 | 0.98 | +0.03 | buy |
| CHILTON CAPITAL MANAGEMENT LLC | 7,000 | 8,905 | +1,905 | 0.00 | 0.01 | +0.00 | buy |
| SHARPEPOINT LLC | 86,457 | 88,336 | +1,879 | 1.63 | 1.51 | -0.12 | buy |
| CAPITAL ADVISORY GROUP ADVISORY SERVICES, LLC | 90,904 | 92,486 | +1,582 | 0.60 | 0.54 | -0.05 | buy |
| NAPLES GLOBAL ADVISORS, LLC | 69,924 | 71,449 | +1,525 | 0.11 | 0.11 | -0.00 | buy |
| ELEVATION WEALTH PARTNERS, LLC | 1,778 | 3,111 | +1,333 | 0.01 | 0.02 | +0.01 | buy |
| Diversify Advisory Services, LLC | 22,345 | 23,534 | +1,189 | 0.02 | 0.01 | -0.00 | buy |
| Prime Capital Investment Advisors, LLC | 23,881 | 25,066 | +1,185 | 0.01 | 0.01 | 0.00 | buy |
| Balboa Wealth Partners | 29,949 | 31,017 | +1,068 | 0.11 | 0.10 | -0.01 | buy |
| Abundance Wealth Counselors | 58,923 | 59,957 | +1,034 | 0.20 | 0.19 | -0.01 | buy |
| Beacon Pointe Advisors, LLC | 31,717 | 32,697 | +980 | 0.01 | 0.01 | 0.00 | buy |
| WEDBUSH SECURITIES INC | 14,734 | 13,916 | +818 | 0.01 | 0.01 | 0.00 | sell |
| Cornerstone Wealth Management, LLC | 20,440 | 21,176 | +736 | 0.02 | 0.02 | -0.00 | buy |
| Dakota Wealth Management | 37,985 | 38,720 | +735 | 0.01 | 0.01 | +0.00 | buy |
| FOUNDATIONS INVESTMENT ADVISORS, LLC | 25,170 | 25,902 | +732 | 0.01 | 0.01 | 0.00 | buy |
| Kozak & Associates, Inc. | 2,877 | 3,437 | +560 | 0.01 | 0.01 | +0.00 | buy |
| RMR Wealth Builders | 19,655 | 20,062 | +407 | 0.03 | 0.03 | -0.00 | buy |
| Sand Hill Global Advisors, LLC | 15,503 | 15,832 | +329 | 0.01 | 0.01 | +0.00 | buy |
| Beaumont Financial Advisors, LLC | 12,240 | 12,524 | +284 | 0.02 | 0.02 | -0.00 | buy |
| Penbrook Management LLC | 14,563 | 14,775 | +212 | 0.20 | 0.20 | -0.01 | buy |
| FourThought Financial Partners, LLC | 12,840 | 13,035 | +195 | 0.02 | 0.02 | -0.00 | buy |
| NATIXIS | 117,971 | 118,163 | +192 | 0.01 | 0.01 | 0.00 | buy |
| CreativeOne Wealth, LLC | 13,950 | 14,135 | +185 | 0.01 | 0.01 | 0.00 | buy |
| Security National Bank | 4,248 | 4,353 | +105 | 0.01 | 0.01 | -0.00 | buy |
| CALDWELL SUTTER CAPITAL, INC. | 4,036 | 4,141 | +105 | 0.03 | 0.03 | -0.00 | buy |
| Tradewinds Capital Management, LLC | 3,728 | 3,806 | +78 | 0.02 | 0.02 | -0.00 | buy |
| Estabrook Capital Management | 1,961 | 2,002 | +41 | 0.01 | 0.01 | +0.00 | buy |
| Apollon Wealth Management, LLC | 19,103 | 19,144 | +41 | 0.01 | 0.01 | 0.00 | buy |
| Modern Wealth Management, LLC | 13,724 | 13,765 | +41 | 0.01 | 0.01 | -0.00 | buy |
| ARMSTRONG ADVISORY GROUP, INC | 2,816 | 2,837 | +21 | 0.00 | 0.00 | -0.00 | buy |
| Register Financial Advisors LLC | 15,317 | 15,338 | +21 | 0.12 | 0.11 | -0.01 | buy |
| Painted Porch Advisors LLC | 1,541 | 1,544 | +3 | 0.01 | 0.01 | -0.00 | buy |
| Roble, Belko & Company, Inc | 55 | 56 | +1 | 0.00 | 0.00 | -0.00 | buy |
| West Financial Advisors, LLC | 52 | 53 | +1 | 0.00 | 0.00 | +0.00 | buy |
| HAGER INVESTMENT MANAGEMENT SERVICES, LLC | 50 | 51 | +1 | 0.00 | 0.00 | -0.00 | buy |
| SWAN Capital LLC | 253 | 189 | -64 | 0.00 | 0.00 | -0.00 | sell |
| ADVISORY RESEARCH INC | 11,948 | 11,836 | -112 | 0.03 | 0.03 | -0.00 | sell |
| Future Financial Wealth Managment LLC | 30,375 | 30,175 | -200 | 0.38 | 0.36 | -0.02 | sell |
| SteelPeak Wealth, LLC | 38,264 | 38,016 | -248 | 0.03 | 0.02 | -0.00 | sell |
| Inspire Advisors, LLC | 18,253 | 17,971 | -282 | 0.03 | 0.03 | -0.00 | sell |
| 1620 INVESTMENT ADVISORS, INC. | 31,345 | 31,063 | -282 | 0.41 | 0.40 | -0.01 | sell |
| Legacy Capital Wealth Partners, LLC | 82,035 | 81,662 | -373 | 0.34 | 0.34 | -0.01 | sell |
| Creegan & Nassoura Financial Group, LLC | 80,170 | 79,670 | -500 | 0.95 | 0.97 | +0.02 | sell |
| Pasadena Private Wealth, LLC | 18,440 | 17,940 | -500 | 0.06 | 0.05 | -0.01 | sell |
| Cedar Wealth Management, LLC | 9,759 | 8,959 | -800 | 0.06 | 0.05 | -0.01 | sell |
| Colonial River Investments, LLC | 16,232 | 15,382 | -850 | 0.13 | 0.11 | -0.02 | sell |
| AXXCESS WEALTH MANAGEMENT, LLC | 16,232 | 15,382 | -850 | 0.01 | 0.01 | -0.00 | sell |
| NOMURA ASSET MANAGEMENT CO LTD | 15,017 | 14,157 | -860 | 0.00 | 0.00 | -0.00 | sell |
| Bramshill Investments, LLC | 38,019 | 37,133 | -886 | 0.07 | 0.05 | -0.02 | sell |
| Mirador Capital Partners LP | 45,600 | 44,167 | -1,433 | 0.14 | 0.12 | -0.02 | sell |
| FAS Wealth Partners, Inc. | 186,543 | 185,046 | -1,497 | 0.25 | 0.24 | -0.02 | sell |
| DELPHI MANAGEMENT INC /MA/ | 76,455 | 74,694 | -1,761 | 1.35 | 1.31 | -0.04 | sell |
| Chung Wu Investment Group, LLC | 15,178 | 12,978 | -2,200 | 0.29 | 0.20 | -0.08 | sell |
| Atom Investors LP | 388,483 | 385,594 | -2,889 | 0.63 | 0.55 | -0.08 | sell |
| Diligent Investors, LLC | 28,005 | 24,525 | -3,480 | 0.12 | 0.12 | -0.00 | sell |
| Anfield Capital Management, LLC | 14,748 | 10,828 | -3,920 | 0.09 | 0.06 | -0.03 | sell |
| Essex Financial Services, Inc. | 61,141 | 56,409 | -4,732 | 0.07 | 0.06 | -0.01 | sell |
| Global Endowment Management, LP | 20,000 | 15,000 | -5,000 | 0.05 | 0.04 | -0.01 | sell |
| Virtus Investment Advisers, LLC | 47,438 | 40,996 | -6,442 | 0.29 | 0.22 | -0.07 | sell |
| CAXTON ASSOCIATES LLP | 34,323 | 27,400 | -6,923 | 0.02 | 0.01 | -0.00 | sell |
| BigSur Wealth Management LLC | 38,500 | 29,500 | -9,000 | 0.18 | 0.14 | -0.04 | sell |
| S&T BANK/PA | 288,396 | 249,016 | -39,380 | 1.60 | 1.32 | -0.28 | sell |
| DENALI ADVISORS LLC | 333,853 | 265,576 | -68,277 | 0.64 | 0.57 | -0.07 | sell |
| Legal & General Group Plc | 1,253,204 | 1,172,230 | -80,974 | 0.01 | 0.01 | -0.00 | sell |
| CONFLUENCE INVESTMENT MANAGEMENT LLC | 383,778 | 302,513 | -81,265 | 0.10 | 0.08 | -0.02 | sell |
| Baker Avenue Asset Management, LP | 173,508 | 11,015 | -162,493 | 0.09 | 0.00 | -0.09 | sell |
| TWINBEECH CAPITAL LP | 262,822 | 22,056 | -240,766 | 0.11 | 0.02 | -0.09 | sell |