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Prospect Capital
PSEC

Overview Fund Activity

216 hedge funds and large institutions have $338M invested in Prospect Capital in 2016 Q3 according to their latest regulatory filings, with 35 funds opening new positions, 69 increasing their positions, 63 reducing their positions, and 18 closing their positions.

Holders
216
Holders Change
+12
Holders Change %
+5.88%
% of All Funds
5.77%
Holding in Top 10
4
Holding in Top 10 Change
-1
Holding in Top 10 Change %
-20%
% of All Funds
0.11%
New
35
Increased
69
Reduced
63
Closed
18
Calls
$3.66M
Puts
$60.6M
Net Calls
-$56.9M
Net Calls Change
-$10.1M

Top Buyers

1
MC
1
Muzinich & Co
New York
$26M
2
Bank of Nova Scotia
2
Bank of Nova Scotia
Ontario, Canada
$4.25M
3
Two Sigma Investments
3
Two Sigma Investments
New York
$3.78M
4
Two Sigma Advisers
4
Two Sigma Advisers
New York
$3.06M
5
Deutsche Bank
5
Deutsche Bank
Germany
$8.21M

Top Sellers

1
SMH
1
Sanders Morris Harris
Texas
$1.11M
2
Morgan Stanley
2
Morgan Stanley
New York
$21M
3
AAM
3
Advisors Asset Management
Colorado
$6.14M
4
UBS Group
4
UBS Group
Switzerland
$6.75M
5
RIA
5
RPG Investment Advisory
California
$2.42M
Name Holding Trade Value Shares
Change 		Shares
Change %
HighTower Advisors
51
HighTower Advisors
Illinois
$1.38M +$50.5K +6,242 +4%
AP
52
AHL Partners
United Kingdom
$1.37M +$1.37M +169,379 New
Allianz Asset Management
53
Allianz Asset Management
Germany
$1.37M +$1.06M +130,254 +337%
Macquarie Group
54
Macquarie Group
Australia
$1.29M -$1.29M -159,200 -50%
RJA
55
Raymond James & Associates
Florida
$1.25M -$17.4K -2,151 -1%
EGM
56
Engineers Gate Manager
New York
$1.17M +$1.17M +144,340 New
SMH
57
Sanders Morris Harris
Texas
$1.11M -$131M -134,521 -99%
CIM
58
Cambria Investment Management
California
$1.09M -$92.8K -11,459 -8%
DnB Asset Management
59
DnB Asset Management
Norway
$1.09M +$20.3K +2,500 +2%
Jane Street
60
Jane Street
New York
$1.06M +$1.06M +131,151 New
Stifel Financial
61
Stifel Financial
Missouri
$1.03M -$55.7K -6,943 -5%
CIBC World Market
62
CIBC World Market
Ontario, Canada
$1.01M -$203K -25,108 -17%
GCP
63
GSA Capital Partners
United Kingdom
$954K +$954K +117,800 New
CPSAC
64
Chas P. Smith & Associates (CPS)
Florida
$910K +$910K +123,425 New
SW
65
SVB Wealth
Massachusetts
$868K +$32.4K +4,000 +4%
MFS
66
MSI Financial Services
Massachusetts
$867K +$143K +17,707 +20%
Group One Trading
67
Group One Trading
Illinois
$850K +$850K +104,882 New
PNC Financial Services Group
68
PNC Financial Services Group
Pennsylvania
$847K -$142K -17,525 -14%
SCM
69
Scopia Capital Management
New York
$844K – – –
WS
70
Wedbush Securities
California
$841K -$622K -76,788 -43%
FIM
71
Freedom Investment Management
Connecticut
$802K +$109K +13,466 +16%
WI
72
WBI Investments
New Jersey
$791K +$791K +97,663 New
ANI
73
American National Insurance
Texas
$760K – – –
C
74
CFO4Life
Texas
$725K +$149K +18,429 +26%
FAAS
75
First Allied Advisory Services
California
$721K +$93.6K +11,566 +15%
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