Stock Transactions — HERCULES CAPITAL INC

Total Bought
7,502,945
182 transactions
Total Sold
1,861,383
89 transactions
Net
+5,641,562
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
TWO SIGMA ADVISERS, LP460,2001,406,900+946,7000.020.07+0.04buy
MARSHALL WACE, LLP0740,210+740,2100.000.02+0.02buy
D. E. Shaw & Co., Inc.0592,574+592,5740.000.01+0.01buy
TWO SIGMA INVESTMENTS, LP457,677945,849+488,1720.020.04+0.02buy
CITADEL ADVISORS LLC392,948828,809+435,8610.010.02+0.01buy
MILLENNIUM MANAGEMENT LLC22,181429,125+406,9440.000.01+0.01buy
VOLORIDGE INVESTMENT MANAGEMENT, LLC0386,006+386,0060.000.03+0.03buy
VAN ECK ASSOCIATES CORP3,115,4193,438,447+323,0280.080.09+0.01buy
Schonfeld Strategic Advisors LLC0249,700+249,7000.000.03+0.03buy
Connor, Clark & Lunn Investment Management Ltd.0163,302+163,3020.000.01+0.01buy
BlackRock, Inc.703,352857,515+154,1630.000.00+0.00buy
JPMORGAN CHASE & CO292,978443,114+150,1360.000.00+0.00buy
UBS Group AG302,202450,890+148,6880.000.00+0.00buy
Cubist Systematic Strategies, LLC0124,663+124,6630.000.04+0.04buy
Trexquant Investment LP0107,332+107,3320.000.03+0.03buy
Aquatic Capital Management LLC0103,654+103,6540.000.06+0.06buy
HRT FINANCIAL LP222,766321,965+99,1990.020.03+0.01buy
GOLDMAN SACHS GROUP INC115,797206,840+91,0430.000.00+0.00buy
Atom Investors LP082,393+82,3930.000.21+0.21buy
Sound Income Strategies, LLC2,737,3452,815,214+77,8693.463.50+0.04buy
Quantbot Technologies LP33,852109,791+75,9390.030.08+0.05buy
BARCLAYS PLC071,036+71,0360.000.00+0.00buy
Left Brain Wealth Management, LLC208,661275,876+67,2151.912.09+0.19buy
Advisors Capital Management, LLC955,6001,018,210+62,6100.310.32+0.02buy
TECTONIC ADVISORS LLC433,032493,808+60,7760.560.65+0.09buy
FJ Capital Management LLC054,968+54,9680.000.13+0.13buy
BNP PARIBAS FINANCIAL MARKETS53,068102,674+49,6060.000.00+0.00buy
Wealthfront Advisers LLC048,602+48,6020.000.01+0.01buy
STIFEL FINANCIAL CORP372,692420,279+47,5870.010.01+0.00buy
Sumitomo Mitsui Trust Group, Inc.401,133442,767+41,6340.010.01+0.00buy
Muzinich & Co., Inc.408,362449,996+41,6346.336.38+0.06buy
SVB WEALTH LLC036,563+36,5630.000.01+0.01buy
Bank of New York Mellon Corp49,18982,380+33,1910.000.00+0.00buy
XTX Topco Ltd15,05647,313+32,2570.020.08+0.06buy
Jump Financial, LLC67,25499,252+31,9980.030.04+0.01buy
Bramshill Investments, LLC031,312+31,3120.000.10+0.10buy
AMERIPRISE FINANCIAL INC297,100325,912+28,8120.000.00+0.00buy
ARES MANAGEMENT LLC198,306226,606+28,3000.110.16+0.05buy
ExodusPoint Capital Management, LP026,900+26,9000.000.01+0.01buy
Graypoint LLC140,230164,903+24,6730.180.20+0.02buy
ROYAL BANK OF CANADA764,570788,353+23,7830.000.00+0.00buy
MORGAN STANLEY1,256,9661,279,683+22,7170.000.00+0.00buy
Campbell & CO Investment Adviser LLC020,891+20,8910.000.03+0.03buy
Cetera Investment Advisers132,156152,573+20,4170.010.01+0.00buy
Naviter Wealth, LLC137,931158,087+20,1560.380.38+0.01buy
DARK FOREST CAPITAL MANAGEMENT LP019,462+19,4620.000.06+0.06buy
Melia Wealth LLC743,573760,359+16,7867.567.97+0.42buy
Integrated Wealth Concepts LLC016,282+16,2820.000.00+0.00buy
Magnetar Financial LLC016,113+16,1130.000.01+0.01buy
OPPENHEIMER & CO INC015,866+15,8660.000.00+0.00buy
WELLS FARGO & COMPANY/MN654,838670,674+15,8360.000.00+0.00buy
Apollon Wealth Management, LLC015,622+15,6220.000.01+0.01buy
SUSQUEHANNA INTERNATIONAL GROUP, LLP32,92248,520+15,5980.000.00+0.00buy
ELEVATION POINT WEALTH PARTNERS, LLC132,075147,542+15,4670.250.24-0.01buy
FourThought Financial Partners, LLC015,190+15,1900.000.03+0.03buy
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC17,10732,204+15,0970.000.00+0.00buy
HighTower Advisors, LLC62,43577,276+14,8410.000.00+0.00buy
GSA CAPITAL PARTNERS LLP014,494+14,4940.000.02+0.02buy
Talon Private Wealth, LLC014,469+14,4690.000.04+0.04buy
&PARTNERS19,63433,849+14,2150.010.01+0.00buy
NORTHERN TRUST CORP95,206109,136+13,9300.000.00+0.00buy
DnB Asset Management AS140,106153,965+13,8590.010.01+0.00buy
TFG Advisers LLC36,65450,268+13,6140.260.36+0.10buy
Focus Partners Wealth012,497+12,4970.000.00+0.00buy
NOMURA ASSET MANAGEMENT CO LTD4,08616,388+12,3020.000.00+0.00buy
Empowered Funds, LLC012,295+12,2950.000.00+0.00buy
Keystone Financial Group012,198+12,1980.000.02+0.02buy
STEPHENS INC /AR/012,050+12,0500.000.00+0.00buy
AXA S.A.011,892+11,8920.000.00+0.00buy
Steward Partners Investment Advisory, LLC82,84394,122+11,2790.020.02+0.00buy
EVERGREEN CAPITAL MANAGEMENT LLC010,484+10,4840.000.01+0.01buy
Diversified Enterprises, LLC010,312+10,3120.000.02+0.02buy
GeoWealth Management, LLC010,003+10,0030.000.01+0.01buy
Invesco Ltd.83,84993,680+9,8310.000.00+0.00buy
Cambridge Investment Research Advisors, Inc.152,500162,106+9,6060.010.01+0.00buy
Brookstone Capital Management10,62520,229+9,6040.000.01+0.00buy
Waterloo Capital, L.P.134,229143,000+8,7710.290.30+0.02buy
Engineers Gate Manager LP40,40049,051+8,6510.020.02+0.00buy
MAI Capital Management08,175+8,1750.000.00+0.00buy
Clearstead Advisors, LLC07,850+7,8500.000.00+0.00buy
Truvestments Capital LLC136,275144,104+7,8290.720.75+0.03buy
Private Advisor Group, LLC123,914131,149+7,2350.020.01-0.00buy
Kestra Advisory Services, LLC23,66430,476+6,8120.000.00+0.00buy
Cerity Partners LLC14,61320,908+6,2950.000.00+0.00buy
KESTRA PRIVATE WEALTH SERVICES, LLC76,85482,936+6,0820.030.03+0.00buy
Autumn Glory Partners, LLC14,50020,500+6,0000.110.20+0.09buy
GRIMES & COMPANY, INC.19,45225,414+5,9620.010.01+0.00buy
IHT Wealth Management, LLC61,87567,362+5,4870.030.04+0.01buy
D.A. DAVIDSON & CO.283,850289,183+5,3330.050.05+0.00buy
Bristlecone Advisors, LLC41,98647,184+5,1980.070.07+0.01buy
COMMONWEALTH EQUITY SERVICES, LLC322,476327,372+4,8960.010.01+0.00buy
OCCUDO QUANTITATIVE STRATEGIES LP10,64215,490+4,8480.040.06+0.02buy
BANK OF AMERICA CORP /DE/124,467128,985+4,5180.000.00+0.00buy
Van Hulzen Asset Management, LLC04,300+4,3000.000.01+0.01buy
Point72 Hong Kong Ltd04,003+4,0030.000.01+0.01buy
ProShare Advisors LLC22,99626,966+3,9700.000.00+0.00buy
NAPA WEALTH MANAGEMENT120,294124,195+3,9011.121.08-0.04buy
Sigma Planning Corp43,70547,603+3,8980.030.03+0.00buy
Baker Avenue Asset Management, LP159,668162,850+3,1820.100.10+0.00buy
Principle Wealth Partners LLC16,26519,385+3,1200.020.03+0.00buy
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