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Hercules Capital, Inc. 13F holders

332 funds reported a position in Hercules Capital, Inc. in their 13F for the quarter ended 30 June 2026, together 54.3 million shares worth $832.7 million. Against the quarter before, 24 opened a position, 127 added, 98 trimmed and 46 sold out; together they bought a net 1.1 million shares. The largest holders: Van Eck Associates Corp., Sound Income Strategies, LLC and Citadel Advisors LLC.

Funds holding332-18 on Q1 2026
Shares they held54.3Mworth $832.7 million
Net bought on the quarter1.1M sharesabout $16.4 million at the funds' values
Funds buying to selling151 to 144opened or added, to cut or sold
Opened 24Added 127Held 80Trimmed 98Sold out 46
Opened: 24 fundsAdded: 127 fundsHeld: 80 fundsTrimmed: 98 fundsSold out: 46 funds

What each fund did in HTGC against its 13F for the quarter before; a change under 0.1% of a holding counts as held

Q3 2024: 299 funds, 32.2 million shares299Q3 2024Q4 2024: 334 funds, 37.9 million shares334Q4 2024Q1 2025: 326 funds, 40.4 million shares326Q1 2025Q2 2025: 327 funds, 47.1 million shares327Q2 2025Q3 2025: 344 funds, 47.4 million shares344Q3 2025Q4 2025: 354 funds, 52.4 million shares354Q4 2025Q1 2026: 350 funds, 53.0 million shares350Q1 2026Q2 2026: 332 funds, 54.3 million shares332Q2 2026

Funds reporting a position in HTGC in their 13F, each quarter; hover a bar for the shares they held

Filed so far for the quarter to 30 September 2026

2,671 funds have filed their 13F for the quarter so far; the rest are due by 16 November 2026. Of those, 96 reported a position in Hercules Capital, Inc.: 10 opened one, 50 added, 17 trimmed and 3 sold out, a net 714,289 shares bought.

FundChange in sharesShares nowStatusFiling
Prevail Innovative Wealth Advisors, LLC+131,888131,888new13F
Sound Income Strategies, LLC+110,1773,777,695added13F
Independent Financial Group, LLC+101,568241,026added13F
Muzinich & Co., Inc.+98,2221,455,235added13F
Tectonic Advisors LLC+95,3821,101,790added13F
CMH Wealth Management LLC-28,00018,270trimmed13F
B. Riley Wealth Advisors, Inc.+26,31126,311new13F
GEN Financial Management, INC.+21,90221,902new13F
Hennion & Walsh Asset Management, Inc.+17,74251,471added13F
ShoreHaven Wealth Partners, LLC+16,00016,000new13F
Total Clarity Wealth Management, Inc.+12,60012,600new13F
Sigma Planning Corp+11,43461,803added13F
Capital Investment Advisors, LLC+10,77810,778new13F
Davenport & Co LLC+10,44410,444new13F
Whipplewood Advisors, LLC+9,24492,707added13F
Legacy Capital Wealth Partners, LLC+7,580116,126added13F
Confluence Investment Management LLC+7,577283,759added13F
Concurrent Investment Advisors, LLC+7,14427,336added13F
Triad Investment Management+6,652131,661added13F
Abundance Wealth Counselors+6,14769,927added13F
Wealth Enhancement Advisory Services, LLC-5,43773,946trimmed13F
Investment Research Partners LLC+4,83630,613added13F
Fiduciary Alliance LLC+4,50018,532added13F
Secure Asset Management, LLC+4,49682,333added13F
HB Wealth Management, LLC+4,30019,902added13F

The largest moves in the name among the funds that have filed, against each fund's previous 13F.

The well-known funds

Of the 44 funds followed here, 3 reported a position in Hercules Capital, Inc. in a 13F for the quarter ended 30 June 2026. The largest: Citadel Advisors, 2.9 million shares worth $46.3 million, 0.0% of its reported book. In the quarter, 1 fund added or opened a position and 2 trimmed or sold out; together they bought a net 1.1 million shares, about $18.0 million at the funds' own value per share on 30 June 2026. A change under 0.1% of a holding counts as held.

FundSharesValueOf its bookChange on the quarterStatusQuarter endedFiling
Citadel Advisors2,937,122$46.3 million0.0%+2,121,737added30 June 202613F
Two Sigma Investments2,265,824$35.7 million0.0%-59,035trimmed30 June 202613F
Millennium Management64,189$1.0 million0.0%-920,971trimmed30 June 202613F
Value is what the fund reported.
Read moreChange is shares against the fund's previous 13F; a fund with one filing read shows no change. 13Fs cover long US positions of managers above $100 million and are filed up to 45 days after the quarter.

The largest holders

FundSharesShare of allValueOf its bookChange in sharesFiling
Van Eck Associates Corp.3,877,6347.14%$61.2 million0.04%+713,65313F
Sound Income Strategies, LLC3,667,5186.76%$57.8 million2.60%+285,46013F
Citadel Advisors LLC2,937,1225.41%$46.3 million0.03%+2,121,73713F
UBS Group AG2,645,7444.87%$41.7 million0.01%+151,75213F
Two Sigma Investments, LP2,265,8244.17%$35.7 million0.03%-59,03513F
LPL Financial LLC1,857,2723.42%$29.3 million0.01%+61,59513F
Morgan Stanley1,812,4843.34%$28.6 million0.00%+547,86813F
Legal & General Group Plc1,681,3333.10%$26.5 million0.01%+182,68013F
Franklin Resources Inc.1,383,9052.55%$21.8 million0.01%+248,41613F
D. E. Shaw & Co., Inc.1,373,4602.53%$21.7 million0.01%-175,50013F
Muzinich & Co., Inc.1,357,0132.50%$21.4 million7.31%+6,88813F
Union Bancaire Privee, UBP SA6,4490.01%$16.3 million0.18%no change13F
Sumitomo Mitsui Trust Group, Inc.1,027,4341.89%$16.2 million0.01%+2,09713F
Tectonic Advisors LLC1,006,4081.85%$15.9 million0.76%+113,30613F
BlackRock, Inc.924,1051.70%$14.6 million0.00%+69,05313F
Advisors Capital Management, LLC919,5421.69%$14.5 million0.15%+63,32613F
JPMorgan Chase & Co.837,5611.54%$13.3 million0.00%-41,03913F
Ares Management LLC776,6061.43%$12.2 million0.56%no change13F
Wells Fargo & Company735,3671.35%$11.6 million0.00%-13,84013F
Qube Research & Technologies Ltd694,3411.28%$10.9 million0.01%-1,541,40913F
Gilman Hill Asset Management, LLC646,6821.19%$10.2 million1.40%+28,84913F
HRT Financial LP613,0031.13%$9.7 million0.02%+117,72513F
Border to Coast Pensions Partnership Ltd600,0001.11%$9.5 million0.14%+125,00013F
Melia Wealth LLC553,8741.02%$8.7 million5.03%-245,83413F
Raymond James Financial Inc.532,0940.98%$8.4 million0.00%+55,52613F
Stifel Financial Corp.486,4190.90%$7.7 million0.01%-15,30913F
Ameriprise Financial Inc.485,1560.89%$7.7 million0.00%+47,07913F
Royal Bank of Canada460,5460.85%$7.3 million0.00%-35,86013F
Susquehanna International Group, LLP338,2710.62%$5.3 million0.01%-104,30013F
D.a. Davidson & Co.335,8900.62%$5.3 million0.03%+12,49313F
Janney Montgomery Scott LLC329,0900.61%$5.2 million0.01%new13F
Cambridge Investment Research Advisors, Inc.312,4240.58%$4.9 million0.01%+155,32713F
Neuberger Berman Group LLC304,5730.56%$4.8 million0.00%+2,90013F
Advisors Asset Management, Inc.291,4010.54%$4.6 million0.07%-15,61513F
Confluence Investment Management LLC276,1820.51%$4.4 million0.07%+2,83913F
Goldman Sachs Group Inc.264,2230.49%$4.2 million0.00%-120,14913F
State Street Corp.262,5210.48%$4.1 million0.00%+39,34913F
Bank of America Corp.259,6400.48%$4.1 million0.00%+32,63013F
Cetera Investment Advisers257,0020.47%$4.1 million0.00%+38113F
FJ Capital Management LLC249,0390.46%$3.9 million0.51%-28,62713F
Balyasny Asset Management L.P.232,7000.43%$3.7 million0.01%+80,76013F
PNC Financial Services Group, Inc.230,5850.42%$3.6 million0.00%-3,50713F
Cerity Partners LLC217,7530.40%$3.4 million0.00%+19,78613F
Naviter Wealth, LLC217,6660.40%$3.4 million0.31%+7,22113F
Canada LIFE Assurance Co211,4790.39%$3.3 million0.01%+26,89913F
Denali Advisors LLC210,6330.39%$3.3 million0.33%-13,71713F
Elevation Point Wealth Partners, LLC207,7860.38%$3.3 million0.06%+1,48313F
BNP Paribas Financial Markets202,9900.37%$3.2 million0.00%+9,68013F
Blair William & Co.191,1930.35%$3.0 million0.01%no change13F
FAS Wealth Partners, Inc.190,9140.35%$3.0 million0.16%+10,15813F
The 50 largest of the 332 funds that reported a position in HTGC in their 13F for the quarter ended 30 June 2026, by the value each reported.
Read moreShare of all is the fund's part of all the shares the funds reported. Change is shares against the fund's 13F for the quarter before. A 13F lists a manager's long positions in US-listed shares at the quarter's end. What is a 13F?

Options the funds reported on HTGC

FundOptionShares under the optionsValue of those sharesQuarter endedFiling
Citadel AdvisorsPuts238,800$3.8 million30 June 202613F
Citadel AdvisorsCalls222,100$3.5 million30 June 202613F
A 13F lists calls and puts by the shares they cover and what those shares were worth at the quarter's end, not what the options cost.
Read moreThey are not counted in the holdings above. A put gains when the stock falls, a call when it rises, and a fund may hold either to hedge.

Schedule 13D and 13G filed on the name, last twelve months

None in the last twelve months: no holder crossed 5%, changed materially, or filed an annual 13G in the window.

Fails to deliver

Settlement dateShares failedPriceFile
30 September 202615,176$16.97SEC
24 September 2026308$16.97SEC
23 September 2026408$17.22SEC
22 September 202611,268$17.37SEC
21 September 20262,481$17.33SEC
18 September 2026534$17.76SEC
17 September 20266,612$17.57SEC
16 September 202655,752$17.64SEC
15 September 20267,467$17.58SEC
14 September 20267,249$17.41SEC
11 September 20267,062$17.39SEC
10 September 202620,368$17.61SEC
9 September 20266,700$17.72SEC
8 September 20262,097$17.63SEC
4 September 20267,974$17.72SEC
31 August 20269,331$17.48SEC
28 August 202639,673$17.52SEC
26 August 202642$17.59SEC
25 August 202684$17.50SEC
24 August 20261,753$17.13SEC
21 August 2026300$17.03SEC
20 August 2026847$16.90SEC
19 August 202626$16.65SEC
17 August 202615,472$16.70SEC
Shares that failed to deliver at settlement, per day, from the SEC's half-month files, which arrive about two weeks after the period.
Read moreLargest in the window: 55,752 on 16 September 2026. A fail is an operational fact about settlement, not a position.