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Prospect Capital

221 hedge funds and large institutions have $350M invested in Prospect Capital in 2019 Q4 according to their latest regulatory filings, with 39 funds opening new positions, 77 increasing their positions, 64 reducing their positions, and 24 closing their positions.

New
Increased
Maintained
Reduced
Closed

63% more first-time investments, than exits

New positions opened: 39 | Existing positions closed: 24

20% more repeat investments, than reductions

Existing positions increased: 77 | Existing positions reduced: 64

14% more capital invested

Capital invested by funds: $306M → $350M (+$43.5M)

7% more funds holding

Funds holding: 207221 (+14)

2.14% more ownership

Funds ownership: 12.66%14.8% (+2.1%)

25% less funds holding in top 10

Funds holding in top 10: 43 (-1)

89% less call options, than puts

Call options by funds: $1.95M | Put options by funds: $17M

Holders
221
Holders Change
+14
Holders Change %
+6.76%
% of All Funds
4.35%
Holding in Top 10
3
Holding in Top 10 Change
-1
Holding in Top 10 Change %
-25%
% of All Funds
0.06%
New
39
Increased
77
Reduced
64
Closed
24
Calls
$1.95M
Puts
$17M
Net Calls
-$15.1M
Net Calls Change
+$1.3M
Name Holding Trade Value Shares
Change
Change in
Stake
QSS
226
Quantitative Systematic Strategies
Florida
-$118K -17,928 Closed
PAM
227
PVG Asset Management
Colorado
-$90.5K -13,730 Closed
Sumitomo Mitsui Trust Group
228
Sumitomo Mitsui Trust Group
Japan
-$77K -11,654 Closed
MWP
229
MYCIO Wealth Partners
Pennsylvania
-$67K -10,229 Closed
FNBOO
230
First National Bank of Omaha
Nebraska
-$66K -10,000 Closed
AIP
231
Ameritas Investment Partners
Nebraska
-$45K -6,919 Closed
GSWM
232
Golden State Wealth Management
California
-$16K -2,450 Closed
FANJ
233
Financial Architects (New Jersey)
New Jersey
-$13K -2,000 Closed
PO
234
Private Ocean
California
-$9K -1,346 Closed
BC
235
Barnett & Company
Tennessee
-$9K -1,300 Closed
LC
236
Lindbrook Capital
California
-$7K -1,114 Closed
TC
237
Truvestments Capital
Florida
-$6K -900 Closed
CIAS
238
Capital Investment Advisory Services
North Carolina
-$4K -665 Closed
VRM
239
Vectors Research Management
New York
-$2K -300 Closed
RFM
240
Royal Fund Management
Florida
-$1K -293 Closed
AIS
241
Accurate Investment Solutions
Pennsylvania
+$13 +2 +3%
Fidelity Investments
242
Fidelity Investments
Massachusetts
+$20 +3 +150%
RMAM
243
Raab & Moskowitz Asset Management
New Jersey
+$39 +6 New
Toronto Dominion Bank
244
Toronto Dominion Bank
Ontario, Canada
+$195 +30 New

PSEC Hedge Fund Activity: Q4 2019 in Review

221 of the 5,075 institutional investors tracked by Wall St. Rank reported a position in Prospect Capital (PSEC) for Q4 2019, worth a combined $350M — up 14% from $306M a quarter earlier.

Buyers outnumbered sellers: 39 funds opened new PSEC positions and 24 closed out — a net gain of 15 holders — while 77 added to existing stakes and 64 trimmed.

The largest buyer was Independent Advisor Alliance, adding an estimated $10.7M. The largest seller was Allianz Asset Management, cutting an estimated $5.26M.

  • 221 institutional investors held Prospect Capital (PSEC) as of Q4 2019, up from 207 in Q3 2019.
  • Funds reported $350M of Prospect Capital stock for Q4 2019, up 14% quarter-over-quarter.
  • 39 funds opened new Prospect Capital positions in Q4 2019 and 24 closed out, a net change of +15 holders.
  • The largest Prospect Capital buyer in Q4 2019 was Independent Advisor Alliance, an estimated $10.7M added.
  • The largest Prospect Capital seller in Q4 2019 was Allianz Asset Management, an estimated $5.26M sold.

Based on aggregated 13F filings for Q4 2019.