Stock Transactions — HERCULES CAPITAL INC

Total Bought
5,764,786
163 transactions
Total Sold
33,640,641
126 transactions
Net
-27,875,855
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
MARSHALL WACE, LLP0592,242+592,2420.000.01+0.01buy
LPL Financial LLC1,296,5341,794,113+497,5790.010.01+0.00buy
Qube Research & Technologies Ltd580,4141,027,274+446,8600.010.03+0.01buy
Trexquant Investment LP0380,520+380,5200.000.07+0.07buy
Janney Montgomery Scott LLC0287,545+287,5450.000.01+0.01buy
BlackRock, Inc.1,066,8181,339,037+272,2190.000.00+0.00buy
Sumitomo Mitsui Trust Group, Inc.621,724884,946+263,2220.010.01+0.00buy
Muzinich & Co., Inc.738,169992,820+254,6516.167.28+1.11buy
CITADEL ADVISORS LLC664,210904,135+239,9250.010.01+0.00buy
Connor, Clark & Lunn Investment Management Ltd.218,061434,118+216,0570.010.03+0.01buy
D. E. Shaw & Co., Inc.342,857516,362+173,5050.010.01+0.00buy
UBS Group AG1,153,0061,318,768+165,7620.000.00+0.00buy
DEUTSCHE BANK AG\3,249140,746+137,4970.000.00+0.00buy
BARCLAYS PLC102,522202,927+100,4050.000.00+0.00buy
NORTHERN TRUST CORP123,352215,039+91,6870.000.00+0.00buy
FRANKLIN RESOURCES INC843,114928,629+85,5150.000.00+0.00buy
Schonfeld Strategic Advisors LLC134,533217,329+82,7960.020.03+0.01buy
RAYMOND JAMES FINANCIAL INC633,741705,969+72,2280.000.00+0.00buy
TECTONIC ADVISORS LLC621,562689,511+67,9490.660.71+0.05buy
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC19,45579,555+60,1000.030.12+0.09buy
SAGE ADVISORS, LLC058,030+58,0300.000.79+0.79buy
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC32,77889,575+56,7970.000.00+0.00buy
FJ Capital Management LLC150,435203,991+53,5560.290.41+0.12buy
CANADA LIFE ASSURANCE Co155,832206,341+50,5090.000.01+0.00buy
BANK OF AMERICA CORP /DE/96,608145,518+48,9100.000.00+0.00buy
Global Retirement Partners, LLC23,51669,615+46,0990.010.03+0.02buy
Kestra Advisory Services, LLC38,11583,526+45,4110.000.01+0.00buy
SMH CAPITAL ADVISORS INC040,565+40,5650.001.48+1.48buy
Advisors Capital Management, LLC754,521794,251+39,7300.190.19-0.00buy
Point72 Asset Management, L.P.36,29975,400+39,1010.000.00+0.00buy
PRICE T ROWE ASSOCIATES INC /MD/038,125+38,1250.000.00+0.00buy
DRW Securities, LLC035,947+35,9470.000.03+0.03buy
VAN ECK ASSOCIATES CORP3,618,4273,647,184+28,7570.070.06-0.01buy
ExodusPoint Capital Management, LP25,80054,074+28,2740.010.01+0.01buy
Virtu Financial LLC024,898+24,8980.000.03+0.03buy
FOX RUN MANAGEMENT, L.L.C.023,697+23,6970.000.07+0.07buy
Magnetar Financial LLC17,65740,379+22,7220.000.00+0.00buy
CX Institutional021,857+21,8570.000.01+0.01buy
Melia Wealth LLC793,586813,540+19,9546.956.74-0.21buy
PREVAIL INNOVATIVE WEALTH ADVISORS, LLC88,148107,148+19,0000.360.39+0.03buy
Monument Capital Management15,53434,447+18,9130.070.16+0.09buy
Founders Financial Alliance, LLC018,591+18,5910.000.07+0.07buy
Cetera Investment Advisers192,823211,342+18,5190.010.00-0.00buy
Laird Norton Wetherby Wealth Management, LLC017,018+17,0180.000.01+0.01buy
SIT INVESTMENT ASSOCIATES INC18,05035,000+16,9500.010.01+0.01buy
Belpointe Asset Management LLC016,522+16,5220.000.01+0.01buy
CWA Asset Management Group, LLC015,570+15,5700.000.01+0.01buy
Whipplewood Advisors, LLC015,318+15,3180.000.19+0.19buy
Massar Capital Management, LP014,575+14,5750.000.10+0.10buy
Walleye Trading LLC014,471+14,4710.000.00+0.00buy
Brevan Howard Capital Management LP73,91088,366+14,4560.010.02+0.01buy
Gilman Hill Asset Management, LLC570,379584,051+13,6721.701.73+0.03buy
Farther Finance Advisors, LLC4,42017,869+13,4490.000.01+0.00buy
Arax Advisory Partners1,68214,798+13,1160.000.00+0.00buy
HB Wealth Management, LLC011,928+11,9280.000.00+0.00buy
Mariner, LLC44,14155,689+11,5480.000.00+0.00buy
WORLD EQUITY GROUP, INC.011,333+11,3330.000.05+0.05buy
ARGA Investment Management, LP011,223+11,2230.000.01+0.01buy
Accel Wealth Management21,95632,901+10,9450.130.18+0.05buy
LM Advisors LLC010,900+10,9000.000.03+0.03buy
OCCUDO QUANTITATIVE STRATEGIES LP010,486+10,4860.000.02+0.02buy
Empowered Funds, LLC20,95031,422+10,4720.000.01+0.00buy
Triumph Capital Management09,478+9,4780.000.02+0.02buy
Advisors Asset Management, Inc.382,751391,629+8,8780.130.13+0.00buy
SG Americas Securities, LLC08,700+8,7000.000.00+0.00buy
ENVESTNET ASSET MANAGEMENT INC41,82449,886+8,0620.000.00+0.00buy
TWO SIGMA INVESTMENTS, LP1,320,3161,328,016+7,7000.040.04-0.00buy
Wealthspire Advisors, LLC07,505+7,5050.000.00+0.00buy
State of Alaska, Department of Revenue07,500+7,5000.000.00+0.00buy
Lido Advisors, LLC55,95863,046+7,0880.010.00-0.00buy
Left Brain Wealth Management, LLC284,068290,883+6,8151.831.73-0.10buy
&PARTNERS29,85836,598+6,7400.000.00+0.00buy
Waterloo Capital, L.P.151,351158,053+6,7020.220.22-0.00buy
Focus Partners Wealth12,80718,836+6,0290.000.00+0.00buy
Tidal Investments LLC77,17883,114+5,9360.010.01-0.00buy
Allspring Global Investments Holdings, LLC13,10018,700+5,6000.000.00+0.00buy
Naviter Wealth, LLC203,691209,005+5,3140.460.46+0.00buy
EAGLE GLOBAL ADVISORS LLC26,12531,175+5,0500.020.02+0.00buy
Heartwood Wealth Advisors LLC05,000+5,0000.000.01+0.01buy
Guerra Advisors Inc04,835+4,8350.000.03+0.03buy
STATE STREET CORP168,362173,065+4,7030.000.00-0.00buy
D.A. DAVIDSON & CO.295,514300,139+4,6250.040.04-0.00buy
Creative Planning36,10040,615+4,5150.000.00+0.00buy
ELEVATION POINT WEALTH PARTNERS, LLC167,190171,516+4,3260.240.23-0.01buy
Stratos Wealth Partners, LTD.12,93716,722+3,7850.000.00+0.00buy
WELLS FARGO & COMPANY/MN753,654757,054+3,4000.000.00-0.00buy
IHT Wealth Management, LLC80,79784,077+3,2800.040.04-0.00buy
Inspire Investing, LLC25,81629,068+3,2520.050.05+0.00buy
OPPENHEIMER & CO INC21,28024,517+3,2370.010.01+0.00buy
Taylor Frigon Capital Management LLC151,535154,414+2,8791.471.45-0.02buy
Bank Julius Baer & Co. Ltd, Zurich02,740+2,7400.000.00+0.00buy
WOLVERINE TRADING, LLC12,72515,444+2,7190.010.01+0.00buy
Cambridge Investment Research Advisors, Inc.164,755167,468+2,7130.010.01-0.00buy
NATIONS FINANCIAL GROUP INC, /IA/ /ADV94,06396,690+2,6270.120.11-0.00buy
Sigma Planning Corp49,79152,415+2,6240.030.03+0.00buy
ProShare Advisors LLC30,38932,755+2,3660.000.00+0.00buy
PFG Investments, LLC109,832112,183+2,3510.120.11-0.01buy
MAS Advisors LLC20,99223,323+2,3310.630.70+0.07buy
Atlantic Union Bankshares Corp02,017+2,0170.000.00+0.00buy
NAPA WEALTH MANAGEMENT109,030111,045+2,0150.950.98+0.03buy
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