HERCULES CAPITAL INC

Ticker: HTGC CUSIP: 427096508 Class: COM

Note: Option positions (PUT/CALL) are excluded.

InstitutionSharesValue ($000)
VAN ECK ASSOCIATES CORP3,458,277$65
Sound Income Strategies, LLC2,703,275$51,119
TWO SIGMA ADVISERS, LP1,922,200$36,176
LPL Financial LLC1,823,405$34,316
UBS Group AG1,671,860$31,464
TWO SIGMA INVESTMENTS, LP1,616,456$30,422
Qube Research & Technologies Ltd1,526,526$28,729
MILLENNIUM MANAGEMENT LLC1,392,476$26,206
Legal & General Group Plc1,382,084$26,004
Muzinich & Co., Inc.1,335,787$25,140
BlackRock, Inc.1,333,016$25,087
MORGAN STANLEY1,114,173$20,969
Sumitomo Mitsui Trust Holdings, Inc.1,018,759$19,173
FRANKLIN RESOURCES INC975,355$18,356
Advisors Capital Management, LLC828,258$15,588
D. E. Shaw & Co., Inc.825,537$15,537
Melia Wealth LLC802,185$15,097
TECTONIC ADVISORS LLC759,746$14,298
WELLS FARGO & COMPANY/MN740,481$13,936
VOLORIDGE INVESTMENT MANAGEMENT, LLC707,651$13,318
RAYMOND JAMES FINANCIAL INC691,064$13,006
ROYAL BANK OF CANADA643,770$12,115
STIFEL FINANCIAL CORP607,140$11,426
Gilman Hill Asset Management, LLC580,440$10,924
Point72 Asset Management, L.P.557,660$10,495
CITADEL ADVISORS LLC472,139$8,886
HRT FINANCIAL LP441,316$8
Trexquant Investment LP402,892$7,582
Border to Coast Pensions Partnership Ltd400,000$8
AMERIPRISE FINANCIAL INC385,996$7,265
Advisors Asset Management, Inc.364,211$6,854
Jump Financial, LLC361,092$6,796
Schonfeld Strategic Advisors LLC360,446$6,784
JANE STREET GROUP, LLC358,937$6,755
JPMORGAN CHASE & CO320,215$6,026
MARSHALL WACE, LLP312,719$5,885
D.A. DAVIDSON & CO.309,211$5,819
NEUBERGER BERMAN GROUP LLC302,845$5,700
Left Brain Wealth Management, LLC295,753$5,566
CONFLUENCE INVESTMENT MANAGEMENT LLC289,789$5,454
Janney Montgomery Scott LLC255,335$5
PREVAIL INNOVATIVE WEALTH ADVISORS, LLC239,614$4,510
PNC Financial Services Group, Inc.234,058$4,405
DENALI ADVISORS LLC233,249$4,390
COMMONWEALTH EQUITY SERVICES, LLC220,042$4,141
GREAT WEST LIFE ASSURANCE CO /CAN/215,596$4
Cetera Investment Advisers215,036$4,047
STATE STREET CORP213,833$4,024
Quantbot Technologies LP213,689$4,022
BNP PARIBAS ARBITRAGE, SA207,439$3,904
BANK OF AMERICA CORP /DE/205,420$3,866
GOLDMAN SACHS GROUP INC205,311$3,864
ARES MANAGEMENT LLC201,606$3,794
NORTHERN TRUST CORP201,385$3,790
Cerity Partners LLC197,961$3,726
S&T Bank/PA197,893$3,724
BLAIR WILLIAM & CO/IL195,593$3,681
Naviter Wealth, LLC193,963$3,650
XTX Topco Ltd193,304$3,638
Waterloo Capital, L.P.185,319$3,488
FAS Wealth Partners, Inc.182,746$3,439
Truvestments Capital LLC181,726$3,420
BARCLAYS PLC176,373$3,319
Walleye Trading LLC171,395$3,226
FJ Capital Management LLC169,984$3,199
Cambridge Investment Research Advisors, Inc.167,690$3
Taylor Frigon Capital Management LLC163,288$3,073
DEUTSCHE BANK AG\141,281$2,659
Rockefeller Capital Management L.P.140,996$2,654
Private Advisor Group, LLC135,477$2,550
Engineers Gate Manager LP132,688$2,497
SAGE ADVISORS, LLC119,974$2,258
NATIXIS118,377$2,228
Verition Fund Management LLC116,530$2,193
Bank of New York Mellon Corp113,607$2,138
CIBC Private Wealth Group, LLC111,276$2,094
PFG Investments, LLC111,111$2,091
Steward Partners Investment Advisory, LLC109,897$2,068
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC109,555$1,527
DnB Asset Management AS107,922$2,031
CENTAURUS FINANCIAL, INC.106,394$2
Triad Investment Management104,063$1,958
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC102,959$1,916
Brevan Howard Capital Management LP100,713$1,895
SHARPEPOINT LLC100,621$1,894
OSAIC HOLDINGS, INC.99,697$1,876
NATIONS FINANCIAL GROUP INC, /IA/ /ADV98,337$1,851
KESTRA PRIVATE WEALTH SERVICES, LLC97,735$1,839
PENNINGTON PARTNERS & CO., LLC96,700$1,820
Capital Advisory Group Advisory Services, LLC91,125$1,715
Legacy Capital Wealth Partners, LLC89,597$1,686
IHT Wealth Management, LLC86,883$1,635
Lansforsakringar Fondforvaltning AB (publ)83,979$1,580
Invesco Ltd.79,650$1,499
Toroso Investments, LLC78,874$1,484
DELPHI MANAGEMENT INC /MA/78,512$1
Creegan & Nassoura Financial Group, LLC78,420$1,476
CREDIT AGRICOLE S A77,368$1,456
NAPLES GLOBAL ADVISORS, LLC71,569$1,347
J.M. Arbour, LLC69,603$1,310
250 other institutions4,534,997$163,607
Total (350 institutions)49,730,477$917,545