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Prospect Capital
PSEC

Overview Fund Activity

210 hedge funds and large institutions have $380M invested in Prospect Capital in 2017 Q3 according to their latest regulatory filings, with 29 funds opening new positions, 72 increasing their positions, 74 reducing their positions, and 29 closing their positions.

Holders
210
Holders Change
-3
Holders Change %
-1.41%
% of All Funds
5.24%
Holding in Top 10
2
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.05%
New
29
Increased
72
Reduced
74
Closed
29
Calls
$18.7M
Puts
$51.1M
Net Calls
-$32.4M
Net Calls Change
+$14.9M

Top Buyers

1
UBS Group
1
UBS Group
Switzerland
$16.1M
2
Morgan Stanley
2
Morgan Stanley
New York
$20.1M
3
Arrowstreet Capital
3
Arrowstreet Capital
Massachusetts
$11.2M
4
PMLI
4
Penn Mutual Life Insurance
Pennsylvania
$3.99M
5
AM
5
Ares Management
California
$2.86M

Top Sellers

1
PAM
1
Panagora Asset Management
Massachusetts
$0
2
MC
2
Muzinich & Co
New York
$62.6M
3
BC
3
Barnett & Company
Tennessee
$0
4
BCM
4
Beck Capital Management
Texas
$0
5
JPMPWA
5
J.P. Morgan Private Wealth Advisors
California
$12.6M
Name Market Value Shares Shares
Change 		Shares
Change %
MSTVIM
51
Messner & Smith Theme Value Investment Management
California
$1.12M 166,508 -2,482 -1%
Wells Fargo
52
Wells Fargo
California
$1.06M 157,632 -24,293 -13%
GCP
53
GSA Capital Partners
United Kingdom
$1M 149,438 +109,803 +277%
Stifel Financial
54
Stifel Financial
Missouri
$970K 144,915 -10,791 -7%
RJA
55
Raymond James & Associates
Florida
$967K 143,866 -12,626 -8%
Creative Planning
56
Creative Planning
Kansas
$947K 140,988 -25,135 -15%
CIBC World Market
57
CIBC World Market
Ontario, Canada
$894K 133,018 -10,529 -7%
MML Investors Services
58
MML Investors Services
Massachusetts
$879K 130,788 +16,907 +15%
CCA
59
Catalyst Capital Advisors
New York
$853K 126,900 – –
SPC
60
Sigma Planning Corp
Michigan
$825K 122,706 -9,332 -7%
PI
61
PineBridge Investments
New York
$809K 120,293 +45,464 +61%
FIM
62
Freedom Investment Management
Connecticut
$805K 119,825 +10,777 +10%
Two Sigma Advisers
63
Two Sigma Advisers
New York
$804K 119,640 -10,975 -8%
DTL
64
Dynamic Technology Lab
Singapore
$767K 114,105 +114,105 New
GAMC
65
Garner Asset Management Corp
Texas
$732K 108,974 +3,300 +3%
PAM
66
PVG Asset Management
Colorado
$720K 107,128 -23,133 -18%
LCM
67
Landscape Capital Management
New Jersey
$701K 104,315 +104,315 New
SCM
68
Scopia Capital Management
New York
$700K 104,194 – –
FAAS
69
First Allied Advisory Services
California
$672K 100,354 -1,293 -1%
HighTower Advisors
70
HighTower Advisors
Illinois
$650K 97,067 +75,516 +350%
AIMCA
71
Alberta Investment Management Corp (AIMCo)
Alberta, Canada
$646K 96,101 – –
ANI
72
American National Insurance
Texas
$631K 93,825 – –
KI
73
Koch Industries
Kansas
$630K 93,640 +93,640 New
PAG
74
Private Advisor Group
New Jersey
$625K 93,823 -4,347 -4%
SW
75
SVB Wealth
Massachusetts
$624K 92,800 -6,400 -6%
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