What does CUSIP 427096508 represent in this 13F holders report?

CUSIP 427096508 is the security identifier for HTGC - Hercules Capital, Inc. - COM used to aggregate holder disclosures.

How many institutions held HTGC - Hercules Capital, Inc. - COM in Q3 2016?

147 institutional investors reported HTGC - Hercules Capital, Inc. - COM for Q3 2016. Use the holders table for investor-level position and value details.

Hercules Capital, Inc. - COM (HTGC)

CUSIP: 427096508

Q3 2016 13F Holders as of 30 Sep 2016

Type / Class: Equity / COM
Total 13F shares: 31,741,762
Share change: +1,637,391
Total reported value: $430,381,383
Put/Call ratio: 60%
Price per share: $13.56
Number of holders: 147
Value change: +$22,838,354
Number of buys: 86
Number of sells: 50

Quarterly Holders Quick Answers

What is CUSIP 427096508?
CUSIP 427096508 identifies HTGC - Hercules Capital, Inc. - COM in SEC institutional holdings data.

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Back to full security ownership history for the broader multi-quarter picture.
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Latest Schedule 13D/13G reports for ownership changes outside the 13F cadence.
SEC investors directory for manager drilldown.

Explore More Reporting Periods

Jump to adjacent filing periods for faster comparison and easier crawl discovery.

Newer quarter: Q4 2016
Previous quarter: Q2 2016

Recent filing periods for CUSIP 427096508:

Q1 2026 Q4 2025 Q3 2025 Q2 2025 Q1 2025 Q4 2024 Q3 2024 Q2 2024

Top shareholders of HTGC - Hercules Capital, Inc. - COM (13F + 13D/G + 3/4/5)

Grouped by holder across the latest SEC ownership disclosures. Ownership % is shown only when it is directly reported or safely comparable across share classes.

Methodology: rows are grouped by holder and ranked by the holder's primary source value. — indicates unavailable or non-comparable values; "mixed-class rows" means the latest filing spans non-comparable classes.

Holder	Source	Role / Reporting	Ownership %	Shares	Holdings Value	12M Net Δ	As of	Details
PRICE T ROWE ASSOCIATES INC /MD/	13F	Company	— class O/S missing	2,964,210	$36,815,000	—	30 Jun 2016	13F
ROYAL BANK OF CANADA	13F	Company	— class O/S missing	1,694,411	$21,045,000	—	30 Jun 2016	13F
WELLS FARGO & COMPANY/MN	13F	Company	— class O/S missing	1,619,821	$20,118,000	—	30 Jun 2016	13F
EDGE ASSET MANAGEMENT, INC	13F	Company	— class O/S missing	1,589,221	$19,738,000	—	30 Jun 2016	13F
WELLINGTON MANAGEMENT GROUP LLP	13F	Company	— class O/S missing	1,586,949	$19,710,000	—	30 Jun 2016	13F
UBS Group AG	13F	Company	— class O/S missing	1,538,312	$19,106,000	—	30 Jun 2016	13F
ALLIANCEBERNSTEIN L.P.	13F	Company	— class O/S missing	1,348,206	$16,745,000	—	30 Jun 2016	13F
NORTHPOINTE CAPITAL LLC	13F	Company	— class O/S missing	1,131,126	$14,049,000	—	30 Jun 2016	13F
PRINCIPAL FINANCIAL GROUP INC	13F	Company	— class O/S missing	1,112,270	$13,814,000	—	30 Jun 2016	13F
Invesco Ltd.	13F	Company	— class O/S missing	947,565	$11,769,000	—	30 Jun 2016	13F
Advisors Capital Management, LLC	13F	Company	— class O/S missing	914,343	$11,357,000	—	30 Jun 2016	13F
LSV ASSET MANAGEMENT	13F	Company	— class O/S missing	908,176	$11,279,000	—	30 Jun 2016	13F
LOOMIS SAYLES & CO L P	13F	Company	— class O/S missing	843,516	$10,476,000	—	30 Jun 2016	13F
MORGAN STANLEY	13F	Company	— class O/S missing	747,190	$9,281,000	—	30 Jun 2016	13F
CONFLUENCE INVESTMENT MANAGEMENT LLC	13F	Company	— class O/S missing	693,914	$8,618,000	—	30 Jun 2016	13F
Yorktown Management & Research Co Inc	13F	Company	— class O/S missing	670,000	$8,321,000	—	30 Jun 2016	13F
CARDINAL CAPITAL MANAGEMENT LLC /CT	13F	Company	— class O/S missing	606,677	$7,535,000	—	30 Jun 2016	13F
Muzinich & Co., Inc.	13F	Company	— class O/S missing	560,338	$6,959,000	—	30 Jun 2016	13F
PUTNAM INVESTMENTS LLC	13F	Company	— class O/S missing	478,298	$5,940,000	—	30 Jun 2016	13F
GUGGENHEIM CAPITAL LLC	13F	Company	— class O/S missing	426,102	$5,292,000	—	30 Jun 2016	13F
RAYMOND JAMES & ASSOCIATES	13F	Company	— class O/S missing	398,213	$4,946,000	—	30 Jun 2016	13F
BlackRock Group LTD	13F	Company	— class O/S missing	386,604	$4,802,000	—	30 Jun 2016	13F
ING GROEP NV	13F	Company	— class O/S missing	369,211	$4,578,000	—	30 Jun 2016	13F
Gilman Hill Asset Management, LLC	13F	Company	— class O/S missing	361,344	$4,488,000	—	30 Jun 2016	13F
VAN ECK ASSOCIATES CORP	13F	Company	— class O/S missing	327,959	$4,073,000	—	30 Jun 2016	13F
NWQ INVESTMENT MANAGEMENT COMPANY, LLC	13F	Company	— class O/S missing	317,572	$3,944,000	—	30 Jun 2016	13F
MILLER HOWARD INVESTMENTS INC /NY	13F	Company	— class O/S missing	308,552	$3,832,000	—	30 Jun 2016	13F
CHARTWELL INVESTMENT PARTNERS, LLC	13F	Company	— class O/S missing	285,332	$3,544,000	—	30 Jun 2016	13F
Benchmark Capital Advisors	13F	Company	— class O/S missing	255,211	$3,170,000	—	30 Jun 2016	13F
CLOUGH CAPITAL PARTNERS L P	13F	Company	— class O/S missing	253,700	$3,151,000	—	30 Jun 2016	13F
BRINKER CAPITAL INC	13F	Company	— class O/S missing	232,002	$2,881,000	—	30 Jun 2016	13F
STIFEL FINANCIAL CORP	13F	Company	— class O/S missing	165,621	$2,057,000	—	30 Jun 2016	13F
DEUTSCHE BANK AG\	13F	Company	— class O/S missing	160,219	$1,989,000	—	30 Jun 2016	13F
Legal & General Group Plc	13F	Company	— class O/S missing	144,380	$1,790,000	—	30 Jun 2016	13F
West Family Investments, Inc.	13F	Company	— class O/S missing	142,502	$1,770,000	—	30 Jun 2016	13F
Janney Montgomery Scott LLC	13F	Company	— class O/S missing	131,768	$1,636,000	—	30 Jun 2016	13F
PARAMETRIC PORTFOLIO ASSOCIATES LLC	13F	Company	— class O/S missing	130,512	$1,621,000	—	30 Jun 2016	13F
ADVISORY RESEARCH INC	13F	Company	— class O/S missing	123,340	$1,532,000	—	30 Jun 2016	13F
NORTHERN TRUST CORP	13F	Company	— class O/S missing	122,793	$1,525,000	—	30 Jun 2016	13F
PEAR TREE ADVISORS INC	13F	Company	— class O/S missing	122,636	$1,523,000	—	30 Jun 2016	13F
Polaris Capital Management, LLC	13F	Company	— class O/S missing	122,636	$1,523,000	—	30 Jun 2016	13F
Employees Retirement System of Texas	13F	Company	— class O/S missing	112,108	$1,392,000	—	30 Jun 2016	13F
ASHFORD CAPITAL MANAGEMENT INC	13F	Company	— class O/S missing	110,000	$1,366,000	—	30 Jun 2016	13F
Sumitomo Mitsui DS Asset Management Company, Ltd	13F	Company	— class O/S missing	108,860	$1,352,000	—	30 Jun 2016	13F
Advisor Group, Inc.	13F	Company	— class O/S missing	107,677	$1,336,000	—	30 Jun 2016	13F
TWO SIGMA ADVISERS, LP	13F	Company	— class O/S missing	99,775	$1,239,000	—	30 Jun 2016	13F
Advisors Asset Management, Inc.	13F	Company	— class O/S missing	92,531	$1,149,000	—	30 Jun 2016	13F
Creegan & Nassoura Financial Group, LLC	13F	Company	— class O/S missing	87,745	$1,090,000	—	30 Jun 2016	13F
IMPAX ASSET MANAGEMENT LLC	13F	Company	— class O/S missing	86,000	$1,068,000	—	30 Jun 2016	13F
MILLENNIUM MANAGEMENT LLC	13F	Company	— class O/S missing	85,920	$1,067,000	—	30 Jun 2016	13F

Institutional Holders of Hercules Capital, Inc. - COM (HTGC) as of Q3 2016

As of 30 Sep 2016, Hercules Capital, Inc. - COM (HTGC) was held by 147 institutional shareholders that filed Form 13F with the SEC. Together, they reported ownership of 31,741,762 shares. The largest 10 holders included PRICE T ROWE ASSOCIATES INC /MD/, ROYAL BANK OF CANADA, EDGE ASSET MANAGEMENT, INC, UBS Group AG, WELLINGTON MANAGEMENT GROUP LLP, WELLS FARGO & COMPANY/MN, NORTHPOINTE CAPITAL LLC, PRINCIPAL FINANCIAL GROUP INC, ALLIANCEBERNSTEIN L.P., and Muzinich & Co., Inc.. This page lists 147 institutional shareholders reporting positions in this security for the Q3 2016 filing period.

Investor	Option	Weight %	Change %	Value $	* Price	Shares	Share Change	Activity	Report Period

Compare Q3 2016 vs Q2 2016 Across Filers

Q2 2016 holders

145

Q3 2016 holders

147

Holder diff

Investor	Q2 2016 Shares	Q3 2016 Shares	Share Diff	Share Chg %	Q2 2016 Value $	Q3 2016 Value $	Value Diff $	Value Chg %

Trend: ostatnie 8 kwartałów (+ wybrane okresy porównania).

Quarterly Holders Trend

Quarterly Value Trend

Quarterly Shares Trend

* Reported Price is the price of the security as of the portfolio date. This value is significant in that it is the last known price at which the security was still held.
An asterisk sign (*) next to the price indicates that the price is likely invalid.