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Prospect Capital
PSEC

218 hedge funds and large institutions have $306M invested in Prospect Capital in 2018 Q1 according to their latest regulatory filings, with 31 funds opening new positions, 53 increasing their positions, 80 reducing their positions, and 31 closing their positions.

New
Increased
Maintained
Reduced
Closed

0% more funds holding in top 10

Funds holding in top 10: 3 → 3 (0)

0% more first-time investments, than exits

New positions opened: 31 | Existing positions closed: 31

1% less funds holding

Funds holding: 221 → 218 (-3)

1.4% less ownership

Funds ownership: 14.31% → 12.91% (-1.4%)

12% less capital invested

Capital invested by funds: $347M → $306M (-$41.7M)

34% less repeat investments, than reductions

Existing positions increased: 53 | Existing positions reduced: 80

74% less call options, than puts

Call options by funds: $6.47M | Put options by funds: $24.8M

Holders
218
Holders Change
-3
Holders Change %
-1.36%
% of All Funds
5%
Holding in Top 10
3
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.07%
New
31
Increased
53
Reduced
80
Closed
31
Calls
$6.47M
Puts
$24.8M
Net Calls
-$18.3M
Net Calls Change
+$12M

Top Buyers

1
LSV Asset Management
LSV Asset Management
Illinois
+$19.3M
2
Citadel Advisors
Citadel Advisors
Florida
+$6.79M
3
UBS Group
UBS Group
Switzerland
+$4.13M
4
Deutsche Bank
Deutsche Bank
Germany
+$2.14M
5
Legal & General Group
Legal & General Group
United Kingdom
+$1.49M

Top Sellers

1
Bank of Montreal
Bank of Montreal
Ontario, Canada
-$15.9M
2
Arrowstreet Capital
Arrowstreet Capital
Massachusetts
-$10.8M
3
Two Sigma Investments
Two Sigma Investments
New York
-$6.81M
4
Susquehanna International Group
Susquehanna International Group
Pennsylvania
-$3.19M
5
AAM
Advisors Asset Management
Colorado
-$2.83M
Name Holding Trade Value Shares
Change 		Change in
Stake
LPL Financial
26
LPL Financial
California
$2.5M +$714K +106,996 +39%
PMLI
27
Penn Mutual Life Insurance
Pennsylvania
$2.48M – – –
LTFS
28
Ladenburg Thalmann Financial Services
Florida
$2.37M -$240K -35,887 -9%
Cambridge Investment Research Advisors
29
Cambridge Investment Research Advisors
Iowa
$2.26M -$141K -21,082 -6%
AR
30
Advisory Research
Illinois
$2.23M -$378K -56,639 -14%
SMDAM
31
Sumitomo Mitsui DS Asset Management
Japan
$2.1M -$381K -57,082 -15%
US Bancorp
32
US Bancorp
Minnesota
$2.04M – – –
AM
33
Ares Management
California
$1.83M -$1.73K -259 -0.1%
Two Sigma Advisers
34
Two Sigma Advisers
New York
$1.78M -$92.5K -13,846 -5%
NAM
35
Nissay Asset Management
Japan
$1.68M – – –
RIA
36
RPG Investment Advisory
California
$1.5M -$97.6K -14,614 -6%
MIAN
37
Mariner Independent Advisor Network
Kansas
$1.47M -$106K -15,923 -7%
Nordea Investment Management
38
Nordea Investment Management
Sweden
$1.38M +$1.41M +211,100 New
SFI
39
Susquehanna Fundamental Investments
Pennsylvania
$1.34M +$1.37M +204,500 New
RJFSA
40
Raymond James Financial Services Advisors
Florida
$1.32M +$101K +15,167 +8%
Northern Trust
41
Northern Trust
Illinois
$1.24M +$26.9K +4,022 +2%
Mackenzie Financial
42
Mackenzie Financial
Ontario, Canada
$1.21M – – –
GCP
43
GSA Capital Partners
United Kingdom
$1.21M +$1.23M +184,390 New
DnB Asset Management
44
DnB Asset Management
Norway
$1.14M – – –
Macquarie Group
45
Macquarie Group
Australia
$1.05M -$32.7K -4,900 -3%
Millennium Management
46
Millennium Management
New York
$1M -$2.51M -376,243 -71%
PAM
47
PVG Asset Management
Colorado
$997K -$408K -61,105 -29%
SCA
48
SMH Capital Advisors
Texas
$968K +$3.12K +467 +0.3%
SBIA
49
Sheaff Brock Investment Advisors
Indiana
$916K -$118K -17,719 -11%
PI
50
PineBridge Investments
New York
$900K +$129K +19,382 +16%
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PSEC Hedge Fund Activity: Q1 2018 in Review

218 of the 4,363 institutional investors tracked by Wall St. Rank reported a position in Prospect Capital (PSEC) for Q1 2018, worth a combined $306M — down 12% from $347M a quarter earlier.

Fund positioning in PSEC was balanced in Q1 2018: 31 funds opened new positions, 31 closed out, 53 added to existing stakes and 80 trimmed.

The largest buyer was LSV Asset Management, adding an estimated $19.3M. The largest seller was Bank of Montreal, cutting an estimated $15.9M.

  • 218 institutional investors held Prospect Capital (PSEC) as of Q1 2018, down from 221 in Q4 2017.
  • Funds reported $306M of Prospect Capital stock for Q1 2018, down 12% quarter-over-quarter.
  • 31 funds opened new Prospect Capital positions in Q1 2018 and 31 closed out, a net change of 0 holders.
  • The largest Prospect Capital buyer in Q1 2018 was LSV Asset Management, an estimated $19.3M added.
  • The largest Prospect Capital seller in Q1 2018 was Bank of Montreal, an estimated $15.9M sold.

Based on aggregated 13F filings for Q1 2018.