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Prospect Capital
PSEC

Overview Fund Activity

218 hedge funds and large institutions have $517M invested in Prospect Capital in 2017 Q1 according to their latest regulatory filings, with 31 funds opening new positions, 70 increasing their positions, 69 reducing their positions, and 21 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
218
Holders Change
+6
Holders Change %
+2.83%
% of All Funds
5.44%
Holding in Top 10
3
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.07%
New
31
Increased
70
Reduced
69
Closed
21
Calls
$5.66M
Puts
$50.9M
Net Calls
-$45.3M
Net Calls Change
+$9.65M

Top Buyers

1
MC
1
Muzinich & Co
New York
$109M
2
BlackRock
2
BlackRock
New York
$22.4M
3
PAM
3
Panagora Asset Management
Massachusetts
$9.98M
4
California Public Employees Retirement System
4
California Public Employees Retirement System
California
$6.75M
5
LSV Asset Management
5
LSV Asset Management
Illinois
$16.1M

Top Sellers

1
AM
1
Ares Management
California
$0
2
AFG
2
American Financial Group
Ohio
$0
3
UBS Group
3
UBS Group
Switzerland
$5.2M
4
MIAN
4
Mariner Independent Advisor Network
Kansas
$0
5
Morgan Stanley
5
Morgan Stanley
New York
$15.6M
Name Holding Trade Value Shares
Change 		Shares
Change %
SBIA
51
Sheaff Brock Investment Advisors
Indiana
$1.74M +$84.8K +9,381 +5%
DnB Asset Management
52
DnB Asset Management
Norway
$1.68M +$471K +52,100 +39%
RJA
53
Raymond James & Associates
Florida
$1.67M +$349K +38,641 +26%
Wells Fargo
54
Wells Fargo
California
$1.66M -$75.6K -8,368 -4%
PFS
55
Prospera Financial Services
Texas
$1.63M -$6.04K -668 -0.4%
SRC
56
Shufro Rose & Co
New York
$1.6M -$22.6K -2,500 -1%
Jane Street
57
Jane Street
New York
$1.56M +$1.14M +126,098 +269%
MSTVIM
58
Messner & Smith Theme Value Investment Management
California
$1.54M -$9.18K -1,015 -0.6%
Creative Planning
59
Creative Planning
Kansas
$1.46M -$205K -22,714 -12%
Citigroup
60
Citigroup
New York
$1.46M +$38.6K +4,272 +3%
Macquarie Group
61
Macquarie Group
Australia
$1.44M – – –
Royal Bank of Canada
62
Royal Bank of Canada
Ontario, Canada
$1.43M -$251K -27,825 -15%
PNC Financial Services Group
63
PNC Financial Services Group
Pennsylvania
$1.31M +$136K +15,080 +12%
SPC
64
Sigma Planning Corp
Michigan
$1.29M -$310K -34,343 -19%
CIM
65
Cambria Investment Management
California
$1.21M +$14.8K +1,637 +1%
FFEC
66
First Financial Equity Corporation
Arizona
$1.2M +$1.2M +133,182 New
Stifel Financial
67
Stifel Financial
Missouri
$1.2M +$45.3K +4,994 +4%
SCM
68
Scopia Capital Management
New York
$942K – – –
CC
69
Cipher Capital
New York
$918K +$918K +101,569 New
FIM
70
Freedom Investment Management
Connecticut
$916K +$60.4K +6,683 +7%
SW
71
SVB Wealth
Massachusetts
$915K +$90.4K +10,000 +11%
Citadel Advisors
72
Citadel Advisors
Florida
$870K +$319K +35,244 +58%
AIMCA
73
Alberta Investment Management Corp (AIMCo)
Alberta, Canada
$869K +$869K +96,101 New
PAG
74
Private Advisor Group
New Jersey
$852K +$126K +13,889 +17%
ANI
75
American National Insurance
Texas
$848K – – –
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