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Prospect Capital
PSEC

Overview Fund Activity

210 hedge funds and large institutions have $380M invested in Prospect Capital in 2017 Q3 according to their latest regulatory filings, with 29 funds opening new positions, 72 increasing their positions, 74 reducing their positions, and 29 closing their positions.

Holders
210
Holders Change
-3
Holders Change %
-1.41%
% of All Funds
5.24%
Holding in Top 10
2
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.05%
New
29
Increased
72
Reduced
74
Closed
29
Calls
$18.7M
Puts
$51.1M
Net Calls
-$32.4M
Net Calls Change
+$14.9M

Top Buyers

1
UBS Group
1
UBS Group
Switzerland
$16.1M
2
Morgan Stanley
2
Morgan Stanley
New York
$20.1M
3
Arrowstreet Capital
3
Arrowstreet Capital
Massachusetts
$11.2M
4
PMLI
4
Penn Mutual Life Insurance
Pennsylvania
$3.99M
5
AM
5
Ares Management
California
$2.86M

Top Sellers

1
PAM
1
Panagora Asset Management
Massachusetts
$0
2
MC
2
Muzinich & Co
New York
$62.6M
3
BC
3
Barnett & Company
Tennessee
$0
4
BCM
4
Beck Capital Management
Texas
$0
5
JPMPWA
5
J.P. Morgan Private Wealth Advisors
California
$12.6M
Name Market Value Shares Shares
Change 		Shares
Change %
CIM
226
Contravisory Investment Management
Massachusetts
– – -15,742 Closed
Brown Advisory
227
Brown Advisory
Maryland
– – -13,952 Closed
FIM
228
Frontier Investment Management
Texas
– – -10,740 Closed
NFG
229
Nadler Financial Group
Illinois
– – -10,500 Closed
Simplex Trading
230
Simplex Trading
Illinois
– – -7,631 Closed
VWA
231
V Wealth Advisors
Kansas
– – -7,141 Closed
CLOS
232
Compagnie Lombard Odier SCmA
Switzerland
– – -6,208 Closed
EFSCE
233
Enterprise Financial Services Corp (EFSC)
Missouri
– – -4,500 Closed
HAG
234
HighPoint Advisor Group
Illinois
– – -3,613 Closed
Fifth Third Bancorp
235
Fifth Third Bancorp
Ohio
– – -3,000 Closed
BWM
236
Baystate Wealth Management
Massachusetts
– – -1,142 Closed
TCM
237
Tradewinds Capital Management
Washington
– – -1,014 Closed
Northwestern Mutual Wealth Management
238
Northwestern Mutual Wealth Management
Wisconsin
– – -900 Closed
Walleye Trading
239
Walleye Trading
New York
– – – –
PG
240
PEAK6 Group
Illinois
– – – –
ST
241
Spot Trading
Illinois
– – – –
PC
242
Pomelo Capital
New York
– – – –
CS
243
Credit Suisse
Switzerland
– – – –
HT
244
HAP Trading
New York
– – – –
ID
245
Integral Derivatives
New York
– – – –
BTIS
246
BB&T Investment Services
North Carolina
$0 13 +12 +1,200%
6 7 8 9
10