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Prospect Capital
PSEC

Overview Fund Activity

209 hedge funds and large institutions have $364M invested in Prospect Capital in 2015 Q3 according to their latest regulatory filings, with 33 funds opening new positions, 62 increasing their positions, 77 reducing their positions, and 26 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
209
Holders Change
+5
Holders Change %
+2.45%
% of All Funds
5.84%
Holding in Top 10
6
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.17%
New
33
Increased
62
Reduced
77
Closed
26
Calls
$3.25M
Puts
$9.4M
Net Calls
-$6.15M
Net Calls Change
+$2.1M

Top Buyers

1
SCM
1
Scopia Capital Management
New York
$16.1M
2
JPMPWA
2
J.P. Morgan Private Wealth Advisors
California
$10.9M
3
HSBC Holdings
3
HSBC Holdings
United Kingdom
$3M
4
Morgan Stanley
4
Morgan Stanley
New York
$22.9M
5
BL
5
BCWM LLC
Kansas
$2.48M

Top Sellers

1
UBS Group
1
UBS Group
Switzerland
$33.5M
2
LPL Financial
2
LPL Financial
California
$2.64M
3
Deutsche Bank
3
Deutsche Bank
Germany
$20.9M
4
FIM
4
Freedom Investment Management
Connecticut
$277K
5
Two Sigma Investments
5
Two Sigma Investments
New York
$2.08M
Name Holding Trade Value Shares
Change 		Shares
Change %
Legal & General Group
26
Legal & General Group
United Kingdom
$3.37M +$398K +55,604 +13%
CP
27
Camelot Portfolios
Ohio
$3.32M -$45.4K -6,361 -1%
Royal Bank of Canada
28
Royal Bank of Canada
Ontario, Canada
$3.14M +$1.5M +210,018 +91%
HSBC Holdings
29
HSBC Holdings
United Kingdom
$3M +$3M +420,000 New
TFMS
30
Trust & Fiduciary Management Services
Massachusetts
$2.93M -$1.05M -147,203 -26%
BIM
31
BlackRock Investment Management
Delaware
$2.67M -$302K -42,300 -10%
LPL Financial
32
LPL Financial
California
$2.64M -$10M -1,353,008 -79%
GC
33
Guggenheim Capital
Illinois
$2.6M -$234K -32,822 -8%
UCFA
34
United Capital Financial Advisors
Texas
$2.57M -$1.07M -150,664 -29%
C
35
CFO4Life
Texas
$2.49M -$593K -83,151 -19%
BL
36
BCWM LLC
Kansas
$2.48M +$2.48M +347,187 New
Envestnet Asset Management
37
Envestnet Asset Management
Illinois
$2.43M -$1.07M -149,933 -31%
Wells Fargo
38
Wells Fargo
California
$2.25M -$158K -22,103 -7%
MSTVIM
39
Messner & Smith Theme Value Investment Management
California
$2.23M +$16.3K +2,798 +0.7%
Bank of America
40
Bank of America
North Carolina
$2.18M -$4.06M -569,476 -65%
Two Sigma Investments
41
Two Sigma Investments
New York
$2.08M -$6.75M -947,099 -76%
US Bancorp
42
US Bancorp
Minnesota
$1.91M -$107K -14,952 -5%
DG
43
Davidson & Garrard
Virginia
$1.76M -$91.5K -12,830 -5%
DVM
44
Dreman Value Management
Florida
$1.73M -$34.6K -4,857 -2%
LTFS
45
Ladenburg Thalmann Financial Services
Florida
$1.68M -$468K -65,629 -22%
RPA
46
Rock Point Advisors
Vermont
$1.68M -$15.6K -2,185 -0.9%
KeyBank National Association
47
KeyBank National Association
Ohio
$1.64M +$5.7K +800 +0.4%
Commonwealth Equity Services
48
Commonwealth Equity Services
Massachusetts
$1.62M +$80.8K +11,334 +5%
Citadel Advisors
49
Citadel Advisors
Florida
$1.55M -$5.24M -735,714 -77%
SAM
50
Selway Asset Management
$1.47M -$1.69M -236,700 -53%
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