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Prospect Capital
PSEC

192 hedge funds and large institutions have $267M invested in Prospect Capital in 2021 Q1 according to their latest regulatory filings, with 26 funds opening new positions, 62 increasing their positions, 56 reducing their positions, and 30 closing their positions.

New
Increased
Maintained
Reduced
Closed

27% more capital invested

Capital invested by funds: $211M → $267M (+$56.4M)

21% more call options, than puts

Call options by funds: $7.44M | Put options by funds: $6.13M

11% more repeat investments, than reductions

Existing positions increased: 62 | Existing positions reduced: 56

0% more funds holding in top 10

Funds holding in top 10: 2 → 2 (0)

1.2% less ownership

Funds ownership: 10.24% → 9.04% (-1.2%)

4% less funds holding

Funds holding: 200 → 192 (-8)

13% less first-time investments, than exits

New positions opened: 26 | Existing positions closed: 30

Holders
192
Holders Change
-8
Holders Change %
-4%
% of All Funds
3.37%
Holding in Top 10
2
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.04%
New
26
Increased
62
Reduced
56
Closed
30
Calls
$7.44M
Puts
$6.13M
Net Calls
+$1.31M
Net Calls Change
+$4.46M

Top Buyers

Rank Fund Capital Flow
1
Morgan Stanley
Morgan Stanley
New York
+$1.8M
2
IAIM
International Assets Investment Management
Florida
+$1.7M
3
Group One Trading
Group One Trading
Illinois
+$1.06M
4
CAM
Concorde Asset Management
Michigan
+$1.06M
5
LPL Financial
LPL Financial
California
+$1M

Top Sellers

Rank Fund Capital Flow
1
Arrowstreet Capital
Arrowstreet Capital
Massachusetts
-$8.71M
2
Two Sigma Investments
Two Sigma Investments
New York
-$6.13M
3
LSV Asset Management
LSV Asset Management
Illinois
-$4.41M
4
Invesco
Invesco
Georgia
-$2.64M
5
Two Sigma Advisers
Two Sigma Advisers
New York
-$1.73M
Name Holding Trade Value Shares
Change 		Change in
Stake
XF
26
XML Financial
Maryland
$1.63M +$27.1K +3,918 +2%
Royal Bank of Canada
27
Royal Bank of Canada
Ontario, Canada
$1.57M +$84.7K +12,267 +6%
KPWS
28
Kestra Private Wealth Services
Texas
$1.55M +$26.6K +3,851 +2%
GAMC
29
Garner Asset Management Corp
Texas
$1.41M -$61.6K -8,925 -5%
NAM
30
Nissay Asset Management
Japan
$1.38M – – –
PTC
31
Philadelphia Trust Company
Pennsylvania
$1.38M – – –
Allianz Asset Management
32
Allianz Asset Management
Germany
$1.38M -$390K -56,517 -24%
AIMCA
33
Alberta Investment Management Corp (AIMCo)
Alberta, Canada
$1.36M – – –
DADC
34
D.A. Davidson & Co
Montana
$1.32M +$128K +18,500 +12%
SCA
35
SMH Capital Advisors
Texas
$1.26M +$38.2K +5,539 +3%
Macquarie Group
36
Macquarie Group
Australia
$1.23M – – –
DnB Asset Management
37
DnB Asset Management
Norway
$1.22M – – –
Truist Financial
38
Truist Financial
North Carolina
$1.2M +$276 +40 +0%
Wells Fargo
39
Wells Fargo
California
$1.18M -$552K -79,895 -34%
CAM
40
Concorde Asset Management
Michigan
$1.17M +$1.06M +152,910 New
GC
41
Guggenheim Capital
Illinois
$1.08M -$55.5K -8,041 -5%
ASN
42
Advisory Services Network
Georgia
$1.04M +$31.2K +4,519 +3%
CCA
43
Catalyst Capital Advisors
New York
$973K – – –
IWC
44
Integrated Wealth Concepts
Massachusetts
$957K +$861K +124,707 New
RJFSA
45
Raymond James Financial Services Advisors
Florida
$830K -$129K -18,635 -15%
SPC
46
Sigma Planning Corp
Michigan
$792K +$96.2K +13,925 +16%
William Blair & Company
47
William Blair & Company
Illinois
$785K +$691 +100 +0.1%
DC
48
Davenport & Co
Virginia
$747K +$20.7K +3,000 +3%
Stifel Financial
49
Stifel Financial
Missouri
$700K +$17.4K +2,515 +3%
Northern Trust
50
Northern Trust
Illinois
$691K -$290K -42,009 -32%
1
2
3 4 5

PSEC Hedge Fund Activity: Q1 2021 in Review

192 of the 5,695 institutional investors tracked by Wall St. Rank reported a position in Prospect Capital (PSEC) for Q1 2021, worth a combined $267M — up 27% from $211M a quarter earlier.

Sellers outnumbered buyers: 30 funds closed out of PSEC and 26 opened new positions — a net loss of 4 holders — while 56 trimmed existing stakes and 62 added.

The largest buyer was Morgan Stanley, adding an estimated $1.8M. The largest seller was Arrowstreet Capital, cutting an estimated $8.71M.

  • 192 institutional investors held Prospect Capital (PSEC) as of Q1 2021, down from 200 in Q4 2020.
  • Funds reported $267M of Prospect Capital stock for Q1 2021, up 27% quarter-over-quarter.
  • 26 funds opened new Prospect Capital positions in Q1 2021 and 30 closed out, a net change of -4 holders.
  • The largest Prospect Capital buyer in Q1 2021 was Morgan Stanley, an estimated $1.8M added.
  • The largest Prospect Capital seller in Q1 2021 was Arrowstreet Capital, an estimated $8.71M sold.

Based on aggregated 13F filings for Q1 2021.