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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 %
AM
26
Ares Management
California
$2.86M 425,891 +425,891 New
AG
27
Advisor Group
Arizona
$2.79M 414,552 +123,382 +42%
Cambridge Investment Research Advisors
28
Cambridge Investment Research Advisors
Iowa
$2.69M 400,787 -19,963 -5%
US Bancorp
29
US Bancorp
Minnesota
$2.6M 387,487 +50,787 +15%
Allianz Asset Management
30
Allianz Asset Management
Germany
$2.49M 370,243 -42,814 -10%
Citadel Advisors
31
Citadel Advisors
Florida
$2.38M 354,342 +354,342 New
Goldman Sachs
32
Goldman Sachs
New York
$2.29M 340,614 +133,220 +64%
RIA
33
RPG Investment Advisory
California
$1.87M 278,180 -6,483 -2%
Bank of Nova Scotia
34
Bank of Nova Scotia
Ontario, Canada
$1.79M 266,000 -109,000 -29%
LPL Financial
35
LPL Financial
California
$1.75M 261,000 -36,929 -12%
CI
36
Cowen Inc
New York
$1.67M 248,000 +248,000 New
Robeco Institutional Asset Management
37
Robeco Institutional Asset Management
Netherlands
$1.63M 241,859 – –
AP
38
AHL Partners
United Kingdom
$1.51M 224,197 +33,713 +18%
RJFSA
39
Raymond James Financial Services Advisors
Florida
$1.46M 216,756 -8,229 -4%
TNBTD
40
Trustmark National Bank Trust Department
Mississippi
$1.45M 215,890 -141,451 -40%
Royal Bank of Canada
41
Royal Bank of Canada
Ontario, Canada
$1.4M 208,410 +29,850 +17%
EGM
42
Engineers Gate Manager
New York
$1.39M 206,159 +206,159 New
Mackenzie Financial
43
Mackenzie Financial
Ontario, Canada
$1.25M 185,340 -46,420 -20%
HFS
44
HL Financial Services
Kentucky
$1.23M 182,736 -41,458 -18%
SBIA
45
Sheaff Brock Investment Advisors
Indiana
$1.22M 181,113 -9,144 -5%
DnB Asset Management
46
DnB Asset Management
Norway
$1.17M 174,400 – –
SRC
47
Shufro Rose & Co
New York
$1.17M 173,300 +2,500 +1%
PFS
48
Prospera Financial Services
Texas
$1.16M 171,760 -21,825 -11%
Macquarie Group
49
Macquarie Group
Australia
$1.13M 168,041 +7,200 +4%
Northern Trust
50
Northern Trust
Illinois
$1.13M 167,474 +34,277 +26%
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