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Prospect Capital
PSEC

Overview Fund Activity

216 hedge funds and large institutions have $338M invested in Prospect Capital in 2016 Q3 according to their latest regulatory filings, with 35 funds opening new positions, 69 increasing their positions, 63 reducing their positions, and 18 closing their positions.

Holders
216
Holders Change
+12
Holders Change %
+5.88%
% of All Funds
5.77%
Holding in Top 10
4
Holding in Top 10 Change
-1
Holding in Top 10 Change %
-20%
% of All Funds
0.11%
New
35
Increased
69
Reduced
63
Closed
18
Calls
$3.66M
Puts
$60.6M
Net Calls
-$56.9M
Net Calls Change
-$10.1M

Top Buyers

1
MC
1
Muzinich & Co
New York
$26M
2
Bank of Nova Scotia
2
Bank of Nova Scotia
Ontario, Canada
$4.25M
3
Two Sigma Investments
3
Two Sigma Investments
New York
$3.78M
4
Two Sigma Advisers
4
Two Sigma Advisers
New York
$3.06M
5
Deutsche Bank
5
Deutsche Bank
Germany
$8.21M

Top Sellers

1
SMH
1
Sanders Morris Harris
Texas
$1.11M
2
Morgan Stanley
2
Morgan Stanley
New York
$21M
3
AAM
3
Advisors Asset Management
Colorado
$6.14M
4
UBS Group
4
UBS Group
Switzerland
$6.75M
5
RIA
5
RPG Investment Advisory
California
$2.42M
Name Holding Trade Value Shares
Change 		Shares
Change %
GC
26
Guggenheim Capital
Illinois
$3.52M +$621K +76,645 +21%
Susquehanna International Group
27
Susquehanna International Group
Pennsylvania
$3.38M +$43.1K +5,321 +1%
AM
28
Ares Management
California
$3.06M +$1.24M +152,985 +68%
Two Sigma Advisers
29
Two Sigma Advisers
New York
$3.06M +$2.86M +352,881 +1,452%
AG
30
Advisor Group
Arizona
$2.93M +$421K +51,949 +17%
WA
31
WFG Advisors
Texas
$2.81M +$1.66M +204,861 +145%
PAM
32
PVG Asset Management
Colorado
$2.79M -$47.6K -5,882 -2%
Bank of America
33
Bank of America
North Carolina
$2.48M +$38.2K +4,713 +2%
RIA
34
RPG Investment Advisory
California
$2.42M -$2.04M -251,833 -46%
US Bancorp
35
US Bancorp
Minnesota
$2.37M – – –
Goldman Sachs
36
Goldman Sachs
New York
$2.31M -$704K -86,958 -23%
LTFS
37
Ladenburg Thalmann Financial Services
Florida
$2.22M -$937K -115,584 -30%
SBIA
38
Sheaff Brock Investment Advisors
Indiana
$1.99M +$45.6K +5,625 +2%
Robeco Institutional Asset Management
39
Robeco Institutional Asset Management
Netherlands
$1.93M +$661K +81,624 +52%
RJFSA
40
Raymond James Financial Services Advisors
Florida
$1.92M +$241K +29,716 +14%
HFS
41
HL Financial Services
Kentucky
$1.88M +$153K +18,841 +9%
LPL Financial
42
LPL Financial
California
$1.71M -$1.44M -178,688 -46%
Citigroup
43
Citigroup
New York
$1.67M +$197K +24,281 +13%
Royal Bank of Canada
44
Royal Bank of Canada
Ontario, Canada
$1.59M +$87.3K +10,779 +6%
SPC
45
Sigma Planning Corp
Michigan
$1.56M +$35.3K +4,353 +2%
SRC
46
Shufro Rose & Co
New York
$1.51M -$37K -4,566 -2%
Creative Planning
47
Creative Planning
Kansas
$1.49M -$515K -63,582 -26%
PFS
48
Prospera Financial Services
Texas
$1.49M +$74.1K +9,150 +5%
MSTVIM
49
Messner & Smith Theme Value Investment Management
California
$1.43M -$638K -78,832 -31%
Wells Fargo
50
Wells Fargo
California
$1.39M +$39.8K +4,920 +3%
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