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Prospect Capital
PSEC

Overview Fund Activity

222 hedge funds and large institutions have $457M invested in Prospect Capital in 2015 Q1 according to their latest regulatory filings, with 33 funds opening new positions, 87 increasing their positions, 59 reducing their positions, and 29 closing their positions.

Holders
222
Holders Change
+3
Holders Change %
+1.37%
% of All Funds
5.92%
Holding in Top 10
7
Holding in Top 10 Change
+1
Holding in Top 10 Change %
+16.67%
% of All Funds
0.19%
New
33
Increased
87
Reduced
59
Closed
29
Calls
$3.62M
Puts
$8.97M
Net Calls
-$5.36M
Net Calls Change
-$1.07M

Top Buyers

1
UBS Group
1
UBS Group
Switzerland
$67.5M
2
MUSU
2
Mitsubishi UFJ Securities (USA)
New York
$8.86M
3
LPL Financial
3
LPL Financial
California
$14.7M
4
YMRC
4
Yorktown Management & Research Company
Virginia
$7.99M
5
SC
5
Selz Capital
New York
$8.51M

Top Sellers

1
Millennium Management
1
Millennium Management
New York
$111K
2
RCM
2
Rivernorth Capital Management
Florida
$705K
3
Two Sigma Investments
3
Two Sigma Investments
New York
$0
4
Citadel Advisors
4
Citadel Advisors
Florida
$4.93M
5
Invesco
5
Invesco
Georgia
$8.7M
Name Holding Trade Value Shares
Change 		Shares
Change %
LTFS
51
Ladenburg Thalmann Financial Services
Florida
$1.99M +$612K +72,403 +44%
BRWA
52
B. Riley Wealth Advisors
Florida
$1.97M +$609K +72,071 +45%
State Street
53
State Street
Massachusetts
$1.96M -$874K -103,334 -31%
KeyBank National Association
54
KeyBank National Association
Ohio
$1.94M -$1.04M -122,903 -35%
SRC
55
Shufro Rose & Co
New York
$1.78M +$141K +16,700 +9%
CIBC World Market
56
CIBC World Market
Ontario, Canada
$1.78M -$167K -19,784 -9%
RPA
57
Rock Point Advisors
Vermont
$1.75M -$11.5K -1,360 -0.7%
PFS
58
Prospera Financial Services
Texas
$1.75M +$558K +66,070 +47%
Creative Planning
59
Creative Planning
Kansas
$1.58M +$28.5K +3,370 +2%
SG Americas Securities
60
SG Americas Securities
New York
$1.48M +$469K +55,534 +46%
Royal Bank of Canada
61
Royal Bank of Canada
Ontario, Canada
$1.45M -$490K -57,933 -25%
MBT
62
Montecito Bank & Trust
California
$1.36M +$474K +56,082 +53%
WS
63
Wedbush Securities
California
$1.35M +$174K +20,590 +15%
BW
64
Bison Wealth
Georgia
$1.31M +$20.1K +2,377 +2%
PSI
65
Pinnacle Summer Investments
Virginia
$1.26M -$65.8K -954 -5%
OWIM
66
Old West Investment Management
California
$1.18M – – –
BTS
67
BB&T Securities
Virginia
$1.14M – – –
SW
68
SVB Wealth
Massachusetts
$1.1M – – –
Group One Trading
69
Group One Trading
Illinois
$1.02M -$770K -91,176 -43%
FIM
70
Freedom Investment Management
Connecticut
$940K +$523K +61,961 +126%
SPC
71
Sigma Planning Corp
Michigan
$930K +$122K +14,439 +15%
6CM
72
683 Capital Management
New York
$930K +$930K +110,000 New
DC
73
Deschaine & Company
Illinois
$926K +$281K +33,185 +43%
DnB Asset Management
74
DnB Asset Management
Norway
$898K -$26.2K -3,100 -3%
SCM
75
Scopia Capital Management
New York
$845K +$845K +100,000 New
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3
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