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Prospect Capital
PSEC

Overview Fund Activity

221 hedge funds and large institutions have $347M invested in Prospect Capital in 2017 Q4 according to their latest regulatory filings, with 47 funds opening new positions, 53 increasing their positions, 86 reducing their positions, and 35 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
221
Holders Change
+11
Holders Change %
+5.24%
% of All Funds
5.02%
Holding in Top 10
3
Holding in Top 10 Change
+1
Holding in Top 10 Change %
+50%
% of All Funds
0.07%
New
47
Increased
53
Reduced
86
Closed
35
Calls
$22.1M
Puts
$52.5M
Net Calls
-$30.3M
Net Calls Change
+$2.04M

Top Buyers

1
Two Sigma Investments
Two Sigma Investments
New York
$11.2M
2
AP
AHL Partners
United Kingdom
$10.3M
3
QOP
Quinn Opportunity Partners
Virginia
$4.51M
4
Allianz Asset Management
Allianz Asset Management
Germany
$6.55M
5
COPPSERS
Commonwealth of Pennsylvania Public School Employees Retirement System
Pennsylvania
$4.04M

Top Sellers

1
Bank of Montreal
Bank of Montreal
Ontario, Canada
$16.4M
2
MC
Muzinich & Co
New York
$51.3M
3
JPMPWA
J.P. Morgan Private Wealth Advisors
California
$2.7M
4
UBS Group
UBS Group
Switzerland
$8.9M
5
Morgan Stanley
Morgan Stanley
New York
$14M
Name Holding Trade Value Shares
Change 		Shares
Change %
FIM
26
Freedom Investment Management
Connecticut
$2.96M +$2.15M +319,001 +266%
AG
27
Advisor Group
Arizona
$2.95M +$155K +23,056 +6%
JPMPWA
28
J.P. Morgan Private Wealth Advisors
California
$2.7M -$9.94M -1,473,904 -79%
AR
29
Advisory Research
Illinois
$2.68M +$2.68M +397,659 New
LTFS
30
Ladenburg Thalmann Financial Services
Florida
$2.68M -$1.01M -150,481 -27%
PMLI
31
Penn Mutual Life Insurance
Pennsylvania
$2.55M -$1.46M -216,000 -36%
SMDAM
32
Sumitomo Mitsui DS Asset Management
Japan
$2.54M +$2.54M +377,495 New
Cambridge Investment Research Advisors
33
Cambridge Investment Research Advisors
Iowa
$2.47M -$229K -34,035 -8%
US Bancorp
34
US Bancorp
Minnesota
$2.1M -$516K -76,611 -20%
VF
35
Virtu Financial
New York
$1.98M +$1.49M +221,274 +303%
Two Sigma Advisers
36
Two Sigma Advisers
New York
$1.93M +$1.12M +166,449 +139%
AM
37
Ares Management
California
$1.88M -$986K -146,344 -34%
LPL Financial
38
LPL Financial
California
$1.85M +$90.7K +13,451 +5%
NAM
39
Nissay Asset Management
Japan
$1.73M +$1.73M +256,015 New
SEC
40
Seven Eight Capital
New York
$1.66M +$1.66M +246,860 New
RIA
41
RPG Investment Advisory
California
$1.64M -$233K -34,526 -12%
Robeco Institutional Asset Management
42
Robeco Institutional Asset Management
Netherlands
$1.63M – – –
MIAN
43
Mariner Independent Advisor Network
Kansas
$1.61M +$1.61M +239,820 New
PC
44
Pomelo Capital
New York
$1.52M +$1.52M +225,000 New
PAM
45
PVG Asset Management
Colorado
$1.44M +$716K +106,180 +99%
Jane Street
46
Jane Street
New York
$1.38M +$1.25M +185,766 +984%
Royal Bank of Canada
47
Royal Bank of Canada
Ontario, Canada
$1.3M -$111K -16,407 -8%
RJFSA
48
Raymond James Financial Services Advisors
Florida
$1.25M -$209K -30,957 -14%
Mackenzie Financial
49
Mackenzie Financial
Ontario, Canada
$1.25M – – –
Northern Trust
50
Northern Trust
Illinois
$1.25M +$117K +17,400 +10%
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