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Prospect Capital
PSEC

239 hedge funds and large institutions have $301M invested in Prospect Capital in 2018 Q4 according to their latest regulatory filings, with 52 funds opening new positions, 57 increasing their positions, 76 reducing their positions, and 31 closing their positions.

New
Increased
Maintained
Reduced
Closed

68% more first-time investments, than exits

New positions opened: 52 | Existing positions closed: 31

7% more funds holding

Funds holding: 224 → 239 (+15)

0% more funds holding in top 10

Funds holding in top 10: 3 → 3 (0)

1.19% less ownership

Funds ownership: 14.24% → 13.05% (-1.2%)

21% less capital invested

Capital invested by funds: $381M → $301M (-$79.2M)

25% less repeat investments, than reductions

Existing positions increased: 57 | Existing positions reduced: 76

80% less call options, than puts

Call options by funds: $7.79M | Put options by funds: $39.6M

Holders
239
Holders Change
+15
Holders Change %
+6.7%
% of All Funds
5.33%
Holding in Top 10
3
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.07%
New
52
Increased
57
Reduced
76
Closed
31
Calls
$7.79M
Puts
$39.6M
Net Calls
-$31.8M
Net Calls Change
-$10.5M

Top Buyers

1
UBS Group
UBS Group
Switzerland
+$26.1M
2
Allianz Asset Management
Allianz Asset Management
Germany
+$7.57M
3
Susquehanna International Group
Susquehanna International Group
Pennsylvania
+$3.27M
4
LSV Asset Management
LSV Asset Management
Illinois
+$1.96M
5
Legal & General Group
Legal & General Group
United Kingdom
+$1.58M

Top Sellers

1
CS
Credit Suisse
Switzerland
-$17.6M
2
Invesco
Invesco
Georgia
-$11.6M
3
Two Sigma Investments
Two Sigma Investments
New York
-$9.04M
4
Arrowstreet Capital
Arrowstreet Capital
Massachusetts
-$4.95M
5
Deutsche Bank
Deutsche Bank
Germany
-$4.49M
Name Holding Trade Value Shares
Change 		Change in
Stake
ACP
251
Aviance Capital Partners
Florida
– -$74K -10,061 Closed
CG
252
Cutler Group
California
– -$26.9K -3,983 Closed
CPIG
253
Chicago Partners Investment Group
Illinois
– -$26K -3,856 Closed
BA
254
Ballew Advisors
Mississippi
– -$25K -3,813 Closed
Walleye Trading
255
Walleye Trading
New York
– -$25.3K -3,741 Closed
SFM
256
Signet Financial Management
New Jersey
– -$15K -2,018 Closed
PWAG
257
Polaris Wealth Advisory Group
California
– -$12K -1,650 Closed
GP
258
Girard Partners
Pennsylvania
– -$10K -1,500 Closed
MWM
259
MinichMacGregor Wealth Management
New York
– -$8K -1,149 Closed
SWM
260
SeaCrest Wealth Management
New York
– -$7K -1,000 Closed
SCM
261
Southport Capital Management
Tennessee
– -$7K -1,000 Closed
ICM
262
IMS Capital Management
Oregon
– -$6K -800 Closed
TFS
263
TrustCore Financial Services
Tennessee
– -$2K -260 Closed
WF
264
WealthTrust Fairport
Ohio
– -$682 -101 -99%
S
265
SignatureFD
Georgia
– -$1K -100 Closed
AIS
266
Accurate Investment Solutions
Pennsylvania
– +$14 +2 +3%
GT
267
Glenmede Trust
Pennsylvania
– +$101 +15 New
RFC
268
Regions Financial Corp
Alabama
– +$520 +77 New
7 8 9 10
11

PSEC Hedge Fund Activity: Q4 2018 in Review

239 of the 4,488 institutional investors tracked by Wall St. Rank reported a position in Prospect Capital (PSEC) for Q4 2018, worth a combined $301M — down 21% from $381M a quarter earlier.

Buyers outnumbered sellers: 52 funds opened new PSEC positions and 31 closed out — a net gain of 21 holders — while 57 added to existing stakes and 76 trimmed.

The largest buyer was UBS Group, adding an estimated $26.1M. The largest seller was Credit Suisse, cutting an estimated $17.6M.

  • 239 institutional investors held Prospect Capital (PSEC) as of Q4 2018, up from 224 in Q3 2018.
  • Funds reported $301M of Prospect Capital stock for Q4 2018, down 21% quarter-over-quarter.
  • 52 funds opened new Prospect Capital positions in Q4 2018 and 31 closed out, a net change of +21 holders.
  • The largest Prospect Capital buyer in Q4 2018 was UBS Group, an estimated $26.1M added.
  • The largest Prospect Capital seller in Q4 2018 was Credit Suisse, an estimated $17.6M sold.

Based on aggregated 13F filings for Q4 2018.