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Prospect Capital
PSEC

Overview Fund Activity

206 hedge funds and large institutions have $346M invested in Prospect Capital in 2015 Q4 according to their latest regulatory filings, with 29 funds opening new positions, 86 increasing their positions, 57 reducing their positions, and 31 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
206
Holders Change
-3
Holders Change %
-1.44%
% of All Funds
5.41%
Holding in Top 10
4
Holding in Top 10 Change
-2
Holding in Top 10 Change %
-33.33%
% of All Funds
0.11%
New
29
Increased
86
Reduced
57
Closed
31
Calls
$3.34M
Puts
$12.4M
Net Calls
-$9.04M
Net Calls Change
-$2.89M

Top Buyers

1
Bank of Montreal
1
Bank of Montreal
Ontario, Canada
$28.1M
2
Two Sigma Investments
2
Two Sigma Investments
New York
$10.2M
3
LPL Financial
3
LPL Financial
California
$4.77M
4
Millennium Management
4
Millennium Management
New York
$2.36M
5
Wellington Management Group
5
Wellington Management Group
Massachusetts
$11.6M

Top Sellers

1
UBS Group
1
UBS Group
Switzerland
$16.4M
2
SCM
2
Scopia Capital Management
New York
$698K
3
Deutsche Bank
3
Deutsche Bank
Germany
$11.9M
4
PAM
4
PVG Asset Management
Colorado
$5.11M
5
HSBC Holdings
5
HSBC Holdings
United Kingdom
$0
Name Holding Trade Value Shares
Change 		Shares
Change %
SRC
51
Shufro Rose & Co
New York
$1.4M +$8.37K +1,200 +0.6%
MBT
52
Montecito Bank & Trust
California
$1.4M – – –
AIG
53
American International Group
New York
$1.32M -$101K -14,489 -7%
SAM
54
Selway Asset Management
$1.32M -$120K -17,200 -8%
RJFSA
55
Raymond James Financial Services Advisors
Florida
$1.31M +$384K +54,985 +41%
Group One Trading
56
Group One Trading
Illinois
$1.27M +$353K +50,543 +38%
State Street
57
State Street
Massachusetts
$1.25M -$103K -14,800 -8%
CIBC World Market
58
CIBC World Market
Ontario, Canada
$1.25M +$50.4K +7,219 +4%
CIM
59
Cambria Investment Management
California
$1.23M +$1.23M +176,786 New
RPA
60
Rock Point Advisors
Vermont
$1.21M -$431K -61,735 -26%
DG
61
Davidson & Garrard
Virginia
$1.2M -$528K -75,687 -31%
WS
62
Wedbush Securities
California
$1.19M -$83.2K -11,919 -7%
PFS
63
Prospera Financial Services
Texas
$1.15M -$231K -33,173 -17%
KeyBank National Association
64
KeyBank National Association
Ohio
$1.15M -$452K -64,748 -28%
Robeco Institutional Asset Management
65
Robeco Institutional Asset Management
Netherlands
$1.08M +$1.08M +155,167 +344,816%
Jane Street
66
Jane Street
New York
$998K +$894K +128,085 +862%
Two Sigma Advisers
67
Two Sigma Advisers
New York
$946K +$849K +121,599 +874%
MCM
68
McKinley Capital Management
Alaska
$929K +$3.16K +453 +0.3%
DnB Asset Management
69
DnB Asset Management
Norway
$891K +$153K +21,900 +21%
SPC
70
Sigma Planning Corp
Michigan
$885K +$157K +22,559 +22%
VFS
71
VSR Financial Services
Kansas
$879K -$87.2K -12,500 -9%
DC
72
Davenport & Co
Virginia
$865K +$578K +82,850 +201%
Stifel Financial
73
Stifel Financial
Missouri
$836K +$21.4K +3,074 +3%
WA
74
WFG Advisors
Texas
$832K -$87.3K -12,511 -9%
RJA
75
Raymond James & Associates
Florida
$830K +$344K +49,218 +71%
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3
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