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Prospect Capital
PSEC

221 hedge funds and large institutions have $260M invested in Prospect Capital in 2019 Q1 according to their latest regulatory filings, with 24 funds opening new positions, 65 increasing their positions, 70 reducing their positions, and 40 closing their positions.

New
Increased
Maintained
Reduced
Closed

0% more funds holding in top 10

Funds holding in top 10: 3 → 3 (0)

7% less repeat investments, than reductions

Existing positions increased: 65 | Existing positions reduced: 70

1.14% less ownership

Funds ownership: 13.05% → 11.91% (-1.1%)

8% less funds holding

Funds holding: 239 → 221 (-18)

14% less capital invested

Capital invested by funds: $301M → $260M (-$41.6M)

40% less first-time investments, than exits

New positions opened: 24 | Existing positions closed: 40

78% less call options, than puts

Call options by funds: $4.21M | Put options by funds: $19M

Holders
221
Holders Change
-18
Holders Change %
-7.53%
% of All Funds
4.78%
Holding in Top 10
3
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.06%
New
24
Increased
65
Reduced
70
Closed
40
Calls
$4.21M
Puts
$19M
Net Calls
-$14.8M
Net Calls Change
+$17M

Top Buyers

1
Bank of Montreal
Bank of Montreal
Ontario, Canada
+$11.4M
2
KBC Group
KBC Group
Belgium
+$2.33M
3
Allianz Asset Management
Allianz Asset Management
Germany
+$2.22M
4
PAM
PVG Asset Management
Colorado
+$1.67M
5
Legal & General Group
Legal & General Group
United Kingdom
+$904K

Top Sellers

1
UBS Group
UBS Group
Switzerland
-$6.01M
2
Millennium Management
Millennium Management
New York
-$5.46M
3
MC
Muzinich & Co
New York
-$5.34M
4
Arrowstreet Capital
Arrowstreet Capital
Massachusetts
-$4.96M
5
D.E. Shaw & Co
D.E. Shaw & Co
New York
-$2.95M
Name Holding Trade Value Shares
Change 		Change in
Stake
LTFS
26
Ladenburg Thalmann Financial Services
Florida
$2.01M +$6.27K +942 +0.3%
Cambridge Investment Research Advisors
27
Cambridge Investment Research Advisors
Iowa
$1.91M +$262K +39,358 +16%
Mackenzie Financial
28
Mackenzie Financial
Ontario, Canada
$1.83M -$264K -39,757 -12%
MIAN
29
Mariner Independent Advisor Network
Kansas
$1.83M +$29.8K +4,487 +2%
QOP
30
Quinn Opportunity Partners
Virginia
$1.78M -$461K -69,340 -20%
Two Sigma Investments
31
Two Sigma Investments
New York
$1.53M -$312K -46,955 -17%
Nordea Investment Management
32
Nordea Investment Management
Sweden
$1.38M -$14K -2,112 -1%
RJFSA
33
Raymond James Financial Services Advisors
Florida
$1.31M +$138K +20,715 +11%
Northern Trust
34
Northern Trust
Illinois
$1.24M -$41.6K -6,251 -3%
AIMCA
35
Alberta Investment Management Corp (AIMCo)
Alberta, Canada
$1.16M +$310K +46,600 +36%
Macquarie Group
36
Macquarie Group
Australia
$1.05M -$85.7K -12,882 -7%
DnB Asset Management
37
DnB Asset Management
Norway
$1.03M – – –
VCWA
38
Vanguard Capital Wealth Advisors
Colorado
$1.01M +$147K +22,122 +17%
Two Sigma Advisers
39
Two Sigma Advisers
New York
$1M -$1.51M -227,500 -60%
Mirae Asset Global Investments
40
Mirae Asset Global Investments
South Korea
$1M +$45.6K +6,854 +5%
SCA
41
SMH Capital Advisors
Texas
$999K +$14.2K +2,134 +1%
DC
42
Davenport & Co
Virginia
$965K +$168K +25,300 +21%
Group One Trading
43
Group One Trading
Illinois
$912K -$126K -18,890 -12%
WAM
44
Wolverine Asset Management
Illinois
$900K +$524K +78,835 +133%
Wells Fargo
45
Wells Fargo
California
$857K +$54.9K +8,256 +7%
Stifel Financial
46
Stifel Financial
Missouri
$844K +$33.9K +5,097 +4%
CCA
47
Catalyst Capital Advisors
New York
$827K – – –
Royal Bank of Canada
48
Royal Bank of Canada
Ontario, Canada
$826K +$58.9K +8,860 +8%
RJA
49
Raymond James & Associates
Florida
$810K -$135K -20,305 -14%
SBIA
50
Sheaff Brock Investment Advisors
Indiana
$795K – – –
1
2
3 4 5

PSEC Hedge Fund Activity: Q1 2019 in Review

221 of the 4,620 institutional investors tracked by Wall St. Rank reported a position in Prospect Capital (PSEC) for Q1 2019, worth a combined $260M — down 14% from $301M a quarter earlier.

Sellers outnumbered buyers: 40 funds closed out of PSEC and 24 opened new positions — a net loss of 16 holders — while 70 trimmed existing stakes and 65 added.

The largest buyer was Bank of Montreal, adding an estimated $11.4M. The largest seller was UBS Group, cutting an estimated $6.01M.

  • 221 institutional investors held Prospect Capital (PSEC) as of Q1 2019, down from 239 in Q4 2018.
  • Funds reported $260M of Prospect Capital stock for Q1 2019, down 14% quarter-over-quarter.
  • 24 funds opened new Prospect Capital positions in Q1 2019 and 40 closed out, a net change of -16 holders.
  • The largest Prospect Capital buyer in Q1 2019 was Bank of Montreal, an estimated $11.4M added.
  • The largest Prospect Capital seller in Q1 2019 was UBS Group, an estimated $6.01M sold.

Based on aggregated 13F filings for Q1 2019.