HTGC · Hercules Capital, Inc.

$17.65 -0.07 (-0.37%)

Market Cap

$3.28B

187.16M

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.

Quarter:

Holders: 338

Total Value: $895,048,744

Total Shares: 56,756,431

Showing 1–100 of 347 holdings by value · page 1 of 4

Institutional Ownership Trend

26 quarters

Holder Concentration

Across 338 13F filers · Δ vs Mar 31, 2026

Top Holder

6.8%

+0.8 pts

Top 5

28.4%

+3.6 pts

Top 10

44.3%

+3.5 pts

HHI

269

Broadly held+34

Quarterly Activity

vs Mar 31, 2026

New

Increased

134

Decreased

103

Sold Out

Unchanged

Holder count: -20

Institutional value: +8.0%

Shares held: +1.2%

Top Buyers

vs Mar 31, 2026

Institution	Added	Now Holds
Mega CITADEL ADVISORS LLC	+2,037,337	3,398,022
Mega VAN ECK ASSOCIATES CORP	+713,653	3,877,634
Mega MORGAN STANLEY	+547,868	1,812,484
Mid Sound Income Strategies, LLC	+285,460	3,667,518
Mega FRANKLIN RESOURCES INC	+248,416	1,383,905

Top Sellers

vs Mar 31, 2026

Institution	Sold	Now Holds
Mega Qube Research & Technologies Ltd	−1,541,409	694,341
Mega MILLENNIUM MANAGEMENT LLC	−920,971	64,189
Mega SUSQUEHANNA INTERNATIONAL GROUP, LLP	−504,400	1,449,471
Large Trexquant Investment LP	−377,635	92,906
Mid Engineers Gate Manager LP	−353,559	38,413

Top New Positions

vs Mar 31, 2026

Institution	Acquired	Value (USD)
Large Janney Montgomery Scott LLC	329,090	$5,189,749
Mid Ilex Capital Partners (UK) LLP	145,812	$2,299,455
Small Elemental Capital Partners LLC	120,680	$1,903,123
Mid OCCUDO QUANTITATIVE STRATEGIES LP	112,020	$1,766,555
Micro GEN Financial Management, INC.	76,382	$1,204,544

Top Sold-Out Positions

vs Mar 31, 2026

Institution	Previously Held	Last Value (USD)
Small Rare Wolf Capital LLC	130,771	$1,931,487
Large Lansforsakringar Fondforvaltning AB (publ)	106,912	$1,579,090
Large DNB Asset Management AS	59,801	$883,260
Mid Campbell & CO Investment Adviser LLC	51,378	$758,853
Small Autumn Glory Partners, LLC	45,000	$664,650

Filter: New 35 Increased 134 Reduced 103 Sold out 55 Unchanged 66

Showing 100 of 347

All Common Calls Puts

Compact Export CSV

Holder

Value (USD)

% of 13F

VAN ECK ASSOCIATES CORP

$61,150,287

6.83%

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

Sound Income Strategies, LLC

$57,836,758

6.46%

3,667,518

CITADEL ADVISORS LLC

$46,318,413

5.17%

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

4.66%

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

4.42%

2,507,600

TWO SIGMA INVESTMENTS, LP

$35,732,044

3.99%

2,265,824

LPL Financial LLC

$29,289,179

3.27%

1,857,272

MORGAN STANLEY

$28,582,870

3.19%

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

2.96%

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

2.44%

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

2.42%

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

2.39%

1,357,013

Sumitomo Mitsui Trust Group, Inc.

$16,202,634

1.81%

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

1.77%

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

1.63%

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

1.62%

919,542

JPMORGAN CHASE & CO

$13,208,336

1.48%

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

1.48%

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

1.37%

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

1.30%

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

1.22%

694,341

Gilman Hill Asset Management, LLC

$10,198,175

1.14%

646,682

HRT FINANCIAL LP

$9,667,057

1.08%

613,003

Border to Coast Pensions Partnership Ltd

$9,462,000

1.06%

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	$9,462,000	100.0%	Sole

Melia Wealth LLC

$8,734,592

0.98%

553,874

RAYMOND JAMES FINANCIAL INC

$8,391,121

0.94%

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

0.86%

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

0.85%

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

0.81%

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

0.60%

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

0.59%

335,890

Janney Montgomery Scott LLC

$5,189,749

0.58%

329,090

NEUBERGER BERMAN GROUP LLC

$4,803,116

0.54%

304,573

Advisors Asset Management, Inc.

$4,595,393

0.51%

291,401

CONFLUENCE INVESTMENT MANAGEMENT LLC

$4,355,389

0.49%

276,182

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

Manager	Shares	Value (USD)	% of position	Discretion
Manager 1	229,506	$3,619,309	83.1%	Defined
Held directly	46,676	$736,080	16.9%	Sole

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

0.47%

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

0.46%

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

CITIGROUP INC

$3,942,500

0.44%

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

0.44%

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

0.41%

232,700

PNC FINANCIAL SERVICES GROUP, INC.

$3,636,325

0.41%

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

0.39%

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

0.37%

207,786

BNP PARIBAS ARBITRAGE, SA

$3,201,152

0.36%

202,990

BLAIR WILLIAM & CO/IL

$3,015,113

0.34%

191,193

FAS Wealth Partners, Inc.

$3,010,713

0.34%

190,914

Waterloo Capital, L.P.

$3,010,666

0.34%

190,911

OSAIC HOLDINGS, INC.

$3,004,751

0.34%

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

0.29%

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

0.28%

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

0.26%

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

INDEPENDENT FINANCIAL GROUP, LLC

$2,199,252

0.25%

139,458

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

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

0.23%

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

Triad Investment Management

$1,971,391

0.22%

125,009

RESOLUTE CAPITAL, LLC

$1,950,197

0.22%

123,665

Summit Financial, LLC

$1,911,623

0.21%

121,219

Elemental Capital Partners LLC

$1,903,123

0.21%

120,680

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

0.20%

112,020

PFG Investments, LLC

$1,760,704

0.20%

111,649

CIBC Bancorp USA Inc.

$1,754,821

0.20%

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

&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

MATHER GROUP, LLC.

$1,654,667

0.18%

104,925

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

Triumph Capital Management

$1,456,816

0.16%

92,379

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

0.16%

88,450

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

0.15%

82,584

S&T Bank/PA

$1,295,899

0.14%

82,175

Key facts CIK 1280784 CUSIP 427096508 13F (30d) 197 filings 192 filers Visit website Investor relations