HTGC · Hercules Capital, Inc. · Holdings

$16.28 +0.21 (+1.31%)

Market Cap

$3.01B

187.16M

Volume · Oct 20 855.87K Avg daily vol (3M) 1.44M

Institutional ownership from SEC Form 13F filings. Investment managers with more than $100 million in U.S. equities must disclose their positions every quarter, within 45 days of quarter-end, so the holdings shown can lag the market by up to a quarter.

Use institutional holdings through the 13F API or MCP → See every holder of HTGC: 13F, 13D and 13G, insiders and funds →

Institutional holdings are being reconciled with SEC filings. Holder totals and changes may be incomplete until reconciliation finishes.

The Sep 30, 2026 filing window is still open — showing the latest known positions. Funds that have not filed yet carry their prior-quarter positions; a fund that filed without this stock counts as sold out. Each fund's Change is measured against its own previous reported quarter, shown in the Reported column. Pick a completed quarter in the Quarter selector below to put every fund on one quarter and see the stock-wide activity breakdown.

Quarter:

Holders: 339

Total Value: $906,394,779

Total Shares: 57,023,000

Showing 1–100 of 348 holdings by value · page 1 of 4

Institutional Ownership Trend

27 quarters

Holder Concentration

Across 338 13F filers

Top Holder

6.8%

of institutional value

Top 5

28.4%

of institutional value

Top 10

44.3%

of institutional value

HHI

269

Broadly held

Who Holds HTGC

Last 8 quarters through Sep 30, 2026 (filing window open)

Each kind of 13F filer's share of the common shares 13F filers report. Holder type comes from regulatory records, never the filer's name; style, turnover and horizon are measured from each filer's own 13F book. The quarter selector does not change this card.

Jun 30, 2026, the newest closed quarter: 332 filers, like-for-like change +2.0%; actively managed books -0.7%; index-like books +15.5%.

Holder type	Share	Filers	Change	New	Exited
Registered adviser	48.9%	197	+6.5%	19	32
Exempt adviser	1.7%	3	-61.7%	1	0
Adviser	4.6%	7	+29.9%	1	1
Bank	12.8%	17	+1.2%	0	0
Broker-dealer	3.5%	2	+0.1%	0	0
Non-US	0.6%	3	-3.3%	0	0
Holding company	6.5%	6	+17.2%	0	0
Insurer	0.0%	0	—	0	0
Benefit plan	0.0%	0	—	0	0
Unknown	21.4%	97	-2.2%	9	13

Style	Share	Filers	Change	New	Exited
Index-like	18.7%	13	+15.5%	0	1
Systematic-like	15.5%	21	-17.9%	3	7
Concentrated	12.5%	57	-0.1%	8	10
Diversified active	53.3%	241	+5.7%	19	28
Not measured	0.0%	0	—	0	0
Unknown	0.0%	0	—	0	0

Turnover	Share	Filers	Change	New	Exited
Low turnover	56.1%	214	+6.4%	15	22
Medium turnover	19.1%	54	+9.9%	4	10
High turnover	18.5%	36	-15.2%	7	11
Unknown	6.4%	28	+3.1%	4	3
Not measured	0.0%	0	—	0	0

Holding horizon	Share	Filers	Change	New	Exited
Short horizon	7.3%	38	+2.4%	7	12
Medium horizon	7.1%	66	-19.3%	8	11
Long horizon	76.7%	211	+10.5%	14	20
Unknown	8.9%	17	-29.8%	1	3
Not measured	0.0%	0	—	0	0

13F book size	Share	Filers	Change	New	Exited
Under $1B	16.2%	118	-3.2%	9	17
$1B to $10B	21.0%	112	+2.8%	17	20
$10B to $100B	11.1%	63	-22.9%	3	9
$100B or more	51.7%	39	+11.2%	1	0
Not measured	0.0%	0	—	0	0

Client base	Share	Filers	Change	New	Exited
Individuals and high net worth	24.0%	160	+3.3%	15	18
Pooled investment vehicles	15.6%	18	+13.0%	3	10
Registered funds and BDCs	8.2%	11	+17.8%	0	0
Pension and profit sharing plans	0.2%	2	+17.9%	0	0
Charitable organizations	0.0%	1	new	1	0
Governments and sovereign funds	0.6%	2	-56.3%	0	0
Corporations	0.0%	1	-92.3%	0	1
Diversified	0.3%	2	-27.1%	0	3
Other	0.0%	0	—	0	0
Insurance companies	0.0%	0	—	0	0
Other investment advisers	0.0%	0	—	0	0
Unknown	51.1%	135	-2.0%	11	14

Private funds	Share	Filers	Change	New	Exited
Hedge funds	14.8%	28	-9.5%	6	7
Private equity funds	0.9%	13	+5.5%	0	0
Venture capital funds	0.0%	1	-1.2%	0	1
Real estate funds	0.1%	3	+1.3%	0	1
Securitized asset funds	0.0%	1	0.0%	0	0
Other private funds	2.9%	15	+3.9%	1	3
Mixed private funds	3.0%	2	-1.3%	0	0
Private funds, type not stated	7.2%	1	+19.6%	0	3
No private funds	21.7%	136	+2.7%	13	17
Unknown	49.4%	132	+3.5%	10	14

Location	Share	Filers	Change	New	Exited
United States	85.4%	310	+5.5%	27	37
Outside the US	14.6%	22	-14.6%	3	9

The Sep 30, 2026 filing window is still open, so its bar carries the Jun 30, 2026 positions of filers that have not filed yet.

How the mix is measured

Shares are 13F common shares restated to today's split basis; options and principal amounts are left out. The change compares only filers with a 13F in both quarters and keeps each filer in its bucket of the later quarter on both sides; a filer that continues under a new CIK is compared through its successor. Holder type comes from each filer's current regulatory profile; client base and private funds come from the Form ADV roster current at each quarter end (rosters from December 2019, so an earlier quarter reads Unknown). Style, turnover, horizon and book size are measured from each filer's 13F book in the newest measured quarter, and Not measured means none was. Actively managed books are those measured systematic-like, concentrated or diversified active.

Excluded 4 holders with no observed 2026-03-31 13F and 6 holders with no observed 2026-06-30 13F.

Conviction and Crowding

332 13F filers, quarter ended Jun 30, 2026

Measured across every 13F filer's common-share book once the quarter's filing window closed. Crowding counts filers with high turnover or that advise private funds on Form ADV.

Conviction holders

1.81% of filers hold it in their top 10

Mar 31, 2026: 6

Holders above 5%

median weight 0.008%

Mar 31, 2026: 3

Crowding

9.81%

of shares outstanding, 29th percentile

Mar 31, 2026: 10.6%

Private-fund advisers

8.35%

of shares outstanding

Institutional ownership

28.9%

29.5% of the estimated free float

Top 10 holders

45.5%

of 13F shares, Herfindahl 0.028

Active holders

-0.7%

like-for-like share change of active filers

5% stakes on record

0 13D, 0 13G

How long holders have held it value-weighted 18.3 quarters

Under 1 year 11.0% 1 to 3 years 19.1% 3 years or more 69.9% Since coverage start 0.000%

Managers in the top fifth by current three-year FundScore alpha were net buyers of $0 (0 buying, 0 selling).

Estimated Holder Cost Basis

Quarter ended Jun 30, 2026, on that quarter's share basis

Estimated, never filed: each 13F buy is costed at its quarter's average traded price and each sale keeps the average cost, so this is what holders paid on average if they traded evenly through each quarter.

Estimated avg cost

$17.10

estimated per share

Mar 31, 2026: $17.59

Quarter-end price

$15.77

implied by 13F values

Estimated gain or loss

-7.8%

price against the estimated cost

Estimated at a loss

91.8%

of costed 13F value

Estimated cost covers 37.3% of the 13F shares; positions already held when a filer's 13F history starts, or bought in a quarter without a trusted average price, have no estimate.

Shared Holders

Companies HTGC's active holders also own, quarter ended Jun 30, 2026

#	Company	Shared holders	Similarity
1	GBDC GOLUB CAPITAL BDC, Inc.	25	0.309
2	TSLX Sixth Street Specialty Lending, Inc.	18	0.299
3	ARCC Ares Capital Corp	39	0.281
4	CSWC Capital Southwest Corp	12	0.234
5	BXSL Blackstone Secured Lending Fund	20	0.226
6	MAIN Main Street Capital CORP	16	0.216
7	TRIN Trinity Capital Inc.	8	0.183
8	CGBD Carlyle Secured Lending, Inc.	7	0.169
9	BCSF Bain Capital Specialty Finance, Inc.	7	0.166
10	FDUS FIDUS INVESTMENT Corp	6	0.165

Shareholder Targets

13F filers that own its peers but not HTGC, quarter ended Jun 30, 2026

Found through its holder-overlap peers: GBDC, TSLX, ARCC, CSWC, BXSL, MAIN, TRIN, CGBD, BCSF, FDUS, TCPC, FLNG, LADR, OBDC, SLRC, GSBD, ABR, OCSL, MSDL, PFLT. 1,204 filers in all.

#	Filer	In peers	Of book	Largest peers
1	STRS OHIO Benefit plan, Diversified active	$769,023,058 7 held	2.89%	GBDC, ARCC, OBDC
2	Generali Asset Management SPA SGR Unknown, Diversified active	$366,501,702 7 held	6.57%	ARCC, BXSL, OBDC
3	OMERS ADMINISTRATION Corp Benefit plan, Diversified active	$222,472,557 5 held	1.34%	ARCC, BXSL, GBDC
4	CALIFORNIA STATE TEACHERS RETIREMENT SYSTEM Benefit plan, Index-like	$181,180,362 4 held	0.170%	OBDC, LADR, ABR
5	State of New Jersey Common Pension Fund A Unknown, Unknown	$165,918,299 1 held	74.3%	OBDC
6	OREGON PUBLIC EMPLOYEES RETIREMENT FUND Unknown, Index-like	$158,601,329 2 held	1.71%	OBDC, ABR
7	Cresset Asset Management, LLC Registered adviser, Diversified active	$152,664,489 8 held	0.680%	OBDC, BCSF, BXSL
8	Ensign Peak Advisors, Inc Unknown, Diversified active	$148,304,399 6 held	0.250%	BXSL, ARCC, GBDC
9	Bain Capital Credit, LP Registered adviser, Concentrated	$148,016,861 1 held	40.2%	BCSF
10	FMR LLC Holding company, Diversified active	$144,908,880 10 held	0.010%	OBDC, BXSL, ABR

Fund Ownership of HTGC by Fund Type

Registered funds' Form N-PORT reports for the quarter ended Jun 30, 2026

Index funds and index ETFs hold 1.83% of shares outstanding.

Fund type	Of shares outstanding	Change	Shares	Funds
Index funds	0.00%	0.00 pp	7,785	1
Index ETFs	1.83%	+0.32 pp	3,418,062	5
Active ETFs	0.83%	+0.65 pp	1,560,064	4
Active funds	0.08%	0.00 pp	158,138	4
Unclassified	0.00%	-0.01 pp	0	0
All registered funds	2.75%	+0.97 pp	5,144,049	14

How fund types are measured

Each fund series counts once, with its latest Form N-PORT report dated inside the quarter; only long share positions count, restated to today's split basis. The fund type is the series' latest Form N-CEN answer on or before the quarter end (the index-fund box and the exchange-traded flag), never its name. Unclassified funds have no usable N-CEN; unit investment trusts are among them, so index ownership is a floor. Funds sit inside their advisers' 13F reports, so these shares overlap the 13F figures and are never added to them.

Holder type: Registered adviser 199 Exempt adviser 3 Adviser 7 Bank 17 Broker-dealer 3 Non-US 3 Holding company 6 Unknown 101

Showing 100 of 348

All Common Calls Puts

Compact Export CSV

Holder

Value (USD)

% of 13F

Sound Income Strategies, LLC

$63,503,052

7.01%

3,777,695

VAN ECK ASSOCIATES CORP

$61,150,287

6.75%

3,877,634

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
VanEck Investments Limited	720,971	$11,369,712	18.6%	Sole
Held directly	3,156,663	$49,780,575	81.4%	Sole

CITADEL ADVISORS LLC

$46,318,413

5.11%

2,937,122

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Citadel Securities GP LLC	446,568	$7,042,377	15.2%	Defined
Held directly	2,490,554	$39,276,036	84.8%	Defined

UBS Group AG

$41,723,382

4.60%

2,645,744

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
UBS Financial Services Inc	72,639	$1,145,517	2.7%	Defined
UBS AG	2,567,504	$40,489,538	97.0%	Defined
UBS Securities LLC	5,601	$88,327	0.2%	Defined

Pandowealth. LLC

$39,544,852

4.36%

2,507,600

TWO SIGMA INVESTMENTS, LP

$35,732,044

3.94%

2,265,824

LPL Financial LLC

$29,289,179

3.23%

1,857,272

MORGAN STANLEY

$28,582,870

3.15%

1,812,484

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
MORGAN STANLEY & CO. LLC	756,900	$11,936,313	41.8%	Defined
MORGAN STANLEY CAPITAL SERVICES, LLC	238,584	$3,762,469	13.2%	Defined
MORGAN STANLEY SMITH BARNEY LLC	714,168	$11,262,429	39.4%	Defined
Morgan Stanley Bank, N.A.	91,651	$1,445,336	5.1%	Defined
PARAMETRIC PORTFOLIO ASSOCIATES LLC	11,181	$176,323	0.6%	Defined

Legal & General Group Plc

$26,514,621

2.93%

1,681,333

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Legal & General Investment Management Ltd	1,681,333	$26,514,621	100.0%	Defined

FRANKLIN RESOURCES INC

$21,824,181

2.41%

1,383,905

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
PUTNAM INVESTMENT MANAGEMENT LLC	1,383,905	$21,824,181	100.0%	Defined

D. E. Shaw & Co., Inc.

$21,659,464

2.39%

1,373,460

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
D. E. SHAW & CO, L.P.	1,373,460	$21,659,464	100.0%	Defined

Muzinich & Co., Inc.

$21,400,095

2.36%

1,357,013

Sumitomo Mitsui Trust Group, Inc.

$16,202,634

1.79%

1,027,434

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Amova Asset Management Co., Ltd.	1,027,434	$16,202,634	100.0%	Defined

TECTONIC ADVISORS LLC

$15,871,053

1.75%

1,006,408

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
CAIN, WATTERS & ASSOCIATES, LLC	994,446	$15,682,413	98.8%	Other
Held directly	11,962	$188,640	1.2%	Sole

BlackRock, Inc.

$14,573,134

1.61%

924,105

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
BlackRock Asset Management Ireland Ltd	638,294	$10,065,896	69.1%	Sole
Aperio Group, LLC	285,340	$4,499,811	30.9%	Sole
SpiderRock Advisors, LLC	471	$7,427	0.1%	Sole

Advisors Capital Management, LLC

$14,501,177

1.60%

919,542

JPMORGAN CHASE & CO

$13,208,336

1.46%

837,561

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
J.P. Morgan Investment Management Inc.	33	$520	0.0%	Defined
J.P. Morgan Securities LLC	837,528	$13,207,816	100.0%	Defined

SUSQUEHANNA INTERNATIONAL GROUP, LLP

$13,202,644

1.46%

837,200

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
SUSQUEHANNA SECURITIES, LLC	837,200	$13,202,644	100.0%	Other

ARES MANAGEMENT LLC

$12,247,076

1.35%

776,606

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Ares Capital Management III LLC	776,606	$12,247,076	100.0%	Defined

WELLS FARGO & COMPANY/MN

$11,596,736

1.28%

735,367

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
WELLS FARGO BANK N A	266	$4,194	0.0%	Defined
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC	194,537	$3,067,848	26.5%	Defined
WELLS FARGO CLEARING SERVICES, LLC	535,264	$8,441,113	72.8%	Defined
WELLS FARGO INVESTMENT INSTITUTE, INC.	5,300	$83,581	0.7%	Defined

Qube Research & Technologies Ltd

$10,949,757

1.21%

694,341

Gilman Hill Asset Management, LLC

$10,916,363

1.20%

649,397

Border to Coast Pensions Partnership Ltd

$10,086,000

1.11%

600,000

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Manager 1	600,000	$10,086,000	100.0%	Sole

HRT FINANCIAL LP

$9,667,057

1.07%

613,003

Melia Wealth LLC

$8,734,592

0.96%

553,874

RAYMOND JAMES FINANCIAL INC

$8,391,121

0.93%

532,094

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
RAYMOND JAMES & ASSOCIATES	406,715	$6,413,895	76.4%	Defined
Raymond James Financial Services Advisors, Inc.	125,379	$1,977,226	23.6%	Defined

STIFEL FINANCIAL CORP

$7,670,827

0.85%

486,419

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
STIFEL NICOLAUS & CO INC \MO\	484,019	$7,632,979	99.5%	Defined
1919 Investment Counsel, LLC	2,400	$37,848	0.5%	Defined

AMERIPRISE FINANCIAL INC

$7,650,908

0.84%

485,156

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Columbia Management Investment Advisers, LLC	209	$3,295	0.0%	Defined
Ameriprise Financial Services, LLC joint	483,287	$7,621,435	99.6%	Defined
Ameriprise Bank, FSB	1,660	$26,178	0.3%	Defined

ROYAL BANK OF CANADA

$7,262,809

0.80%

460,546

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
RBC Capital Markets, LLC	363,978	$5,739,933	79.0%	Defined
RBC Dominion Securities Inc.	1,353	$21,336	0.3%	Defined
RBC Rochdale, LLC	95,215	$1,501,540	20.7%	Defined

SUSQUEHANNA INTERNATIONAL GROUP, LLP

$5,334,533

0.59%

338,271

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
SUSQUEHANNA SECURITIES, LLC	307,708	$4,852,555	91.0%	Other
G1 EXECUTION SERVICES, LLC	30,563	$481,978	9.0%	Other

D.A. DAVIDSON & CO.

$5,296,985

0.58%

335,890

Janney Montgomery Scott LLC

$5,189,749

0.57%

329,090

NEUBERGER BERMAN GROUP LLC

$4,803,116

0.53%

304,573

CONFLUENCE INVESTMENT MANAGEMENT LLC

$4,769,988

0.53%

283,759

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
First Trust Advisors LP	240,904	$4,049,596	84.9%	Defined
Held directly	42,855	$720,392	15.1%	Sole

Advisors Asset Management, Inc.

$4,595,393

0.51%

291,401

SUSQUEHANNA INTERNATIONAL GROUP, LLP

$4,320,980

0.48%

274,000

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
SUSQUEHANNA SECURITIES, LLC	274,000	$4,320,980	100.0%	Other

GOLDMAN SACHS GROUP INC

$4,166,796

0.46%

264,223

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
GOLDMAN SACHS & CO. LLC	264,223	$4,166,796	100.0%	Defined

STATE STREET CORP

$4,139,956

0.46%

262,521

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
STATE STREET GLOBAL ADVISORS TRUST COMPANY	262,521	$4,139,956	100.0%	Defined

BANK OF AMERICA CORP /DE/

$4,094,522

0.45%

259,640

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
BANK OF AMERICA NA	141,816	$2,236,438	54.6%	Defined
MERRILL LYNCH, PIERCE, FENNER & SMITH INC.	55,059	$868,280	21.2%	Defined
BOFA SECURITIES, INC.	62,765	$989,804	24.2%	Defined

Cetera Investment Advisers

$4,052,921

0.45%

257,002

INDEPENDENT FINANCIAL GROUP, LLC

$4,051,647

0.45%

241,026

CITIGROUP INC

$3,942,500

0.43%

250,000

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Citigroup Financial Products Inc. joint	250,000	$3,942,500	100.0%	Defined

FJ Capital Management LLC

$3,927,345

0.43%

249,039

CITADEL ADVISORS LLC

$3,765,876

0.42%

238,800

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Citadel Securities GP LLC	238,800	$3,765,876	100.0%	Defined

Balyasny Asset Management L.P.

$3,669,679

0.40%

232,700

PNC FINANCIAL SERVICES GROUP, INC.

$3,636,325

0.40%

230,585

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
PNC Bank, National Association	230,585	$3,636,325	100.0%	Defined

CITADEL ADVISORS LLC

$3,502,517

0.39%

222,100

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Citadel Securities GP LLC	222,100	$3,502,517	100.0%	Defined

Jefferies Financial Group Inc.

$3,469,400

0.38%

220,000

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
JEFFERIES LLC	220,000	$3,469,400	100.0%	Defined

Cerity Partners LLC

$3,433,963

0.38%

217,753

Naviter Wealth, LLC

$3,432,592

0.38%

217,666

CANADA LIFE ASSURANCE Co

$3,335,023

0.37%

211,479

DENALI ADVISORS LLC

$3,321,682

0.37%

210,633

ELEVATION POINT WEALTH PARTNERS, LLC

$3,276,785

0.36%

207,786

BNP PARIBAS ARBITRAGE, SA

$3,201,152

0.35%

202,990

BLAIR WILLIAM & CO/IL

$3,015,113

0.33%

191,193

FAS Wealth Partners, Inc.

$3,010,713

0.33%

190,914

Waterloo Capital, L.P.

$3,010,666

0.33%

190,911

OSAIC HOLDINGS, INC.

$3,004,751

0.33%

190,536

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
OSAIC WEALTH, INC.	143,242	$2,258,926	75.2%	Defined
OSAIC INSTITUTIONS, INC.	485	$7,648	0.3%	Defined
CW Advisors, LLC	23,621	$372,503	12.4%	Sole
Osaic Advisory Services, LLC	23,188	$365,674	12.2%	Defined

JANE STREET GROUP, LLC

$2,986,838

0.33%

189,400

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Jane Street Capital, LLC	189,400	$2,986,838	100.0%	Defined

COMMONWEALTH EQUITY SERVICES, LLC

$2,880,280

0.32%

182,643

BARCLAYS PLC

$2,569,074

0.28%

162,909

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
BARCLAYS BANK PLC	162,907	$2,569,043	100.0%	Defined
BARCLAYS CAPITAL SECURITIES LTD	2	$31	0.0%	Defined

Taylor Frigon Capital Management LLC

$2,534,585

0.28%

160,722

Cambridge Investment Research Advisors, Inc.

$2,463,463

0.27%

156,212

Apollon Wealth Management, LLC

$2,402,985

0.27%

152,377

LAZARD ASSET MANAGEMENT LLC

$2,345,834

0.26%

148,753

SHARPEPOINT LLC

$2,331,547

0.26%

147,847

Ilex Capital Partners (UK) LLP

$2,299,455

0.25%

145,812

Rockefeller Capital Management L.P.

$2,246,577

0.25%

142,459

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
ROCKEFELLER & CO. LLC	918	$14,476	0.6%	Defined
ROCKEFELLER FINANCIAL LLC	141,541	$2,232,101	99.4%	Defined

Triad Investment Management

$2,213,221

0.24%

131,661

AE Wealth Management LLC

$2,133,570

0.24%

135,293

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Beacon Capital Management, LLC	0	$0	0.0%	Other
Held directly	135,293	$2,133,570	100.0%	Sole

Elemental Capital Partners LLC

$2,097,551

0.23%

124,780

Bank of New York Mellon Corp

$2,067,682

0.23%

131,115

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Mellon Investments Corporation	111,872	$1,764,221	85.3%	Defined
BNY Mellon, NA joint	19,242	$303,446	14.7%	Defined
Held directly	1	$15	0.0%	Defined

Abundance Wealth Counselors

$2,016,904

0.22%

127,895

NORTHERN TRUST CORP

$2,004,839

0.22%

127,130

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
NORTHERN TRUST CO joint	127,130	$2,004,839	100.0%	Defined

Schonfeld Strategic Advisors LLC

$2,004,067

0.22%

127,081

Significant Wealth Partners LLC

$1,990,473

0.22%

126,219

IHT Wealth Management, LLC

$1,974,167

0.22%

125,185

RESOLUTE CAPITAL, LLC

$1,950,197

0.22%

123,665

Summit Financial, LLC

$1,911,623

0.21%

121,219

JANE STREET GROUP, LLC

$1,878,207

0.21%

119,100

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Jane Street Capital, LLC	119,100	$1,878,207	100.0%	Defined

OCCUDO QUANTITATIVE STRATEGIES LP

$1,766,555

0.19%

112,020

PFG Investments, LLC

$1,760,704

0.19%

111,649

CIBC Bancorp USA Inc.

$1,754,821

0.19%

111,276

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
CIBC Private Wealth Advisors, Inc.	3,801	$59,941	3.4%	Defined
CIBC National Trust Co	107,475	$1,694,880	96.6%	Defined

MATHER GROUP, LLC.

$1,752,089

0.19%

104,229

&PARTNERS

$1,712,937

0.19%

108,620

Legacy Capital Wealth Partners, LLC

$1,711,770

0.19%

108,546

CENTAURUS FINANCIAL, INC.

$1,694,265

0.19%

107,436

Triumph Capital Management

$1,559,665

0.17%

92,782

NATIONS FINANCIAL GROUP INC, /IA/ /ADV

$1,555,142

0.17%

98,614

NATIXIS

$1,550,064

0.17%

98,292

PENNINGTON PARTNERS & CO., LLC

$1,524,959

0.17%

96,700

Trexquant Investment LP

$1,465,127

0.16%

92,906

Creative Planning

$1,453,883

0.16%

92,193

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
CREATIVE PLANNING TRUST Co LLC	85	$1,340	0.1%	Defined
Held directly	92,108	$1,452,543	99.9%	Sole

RIVERBRIDGE PARTNERS LLC

$1,434,959

0.16%

90,993

Jefferies Financial Group Inc.

$1,419,300

0.16%

90,000

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
JEFFERIES LLC	90,000	$1,419,300	100.0%	Defined

Lido Advisors, LLC

$1,394,856

0.15%

88,450

Secure Asset Management, LLC

$1,384,017

0.15%

82,333

Truvestments Capital LLC

$1,377,446

0.15%

87,346

Whipplewood Advisors, LLC

$1,316,211

0.15%

83,463

NAPLES GLOBAL ADVISORS, LLC

$1,302,349

0.14%

82,584

Showing the top 100 of 348 holders. Create a free account to see every holder, past quarters, search, filters and CSV export.

Key facts CIK 1280784 CUSIP 427096508 13F (30d) 50 filings 50 filers Visit website Investor relations