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Prospect Capital
PSEC

Overview Fund Activity

239 hedge funds and large institutions have $301M invested in Prospect Capital in 2018 Q4 according to their latest regulatory filings, with 52 funds opening new positions, 57 increasing their positions, 76 reducing their positions, and 31 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
239
Holders Change
+15
Holders Change %
+6.7%
% of All Funds
5.33%
Holding in Top 10
3
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.07%
New
52
Increased
57
Reduced
76
Closed
31
Calls
$7.79M
Puts
$39.6M
Net Calls
-$31.8M
Net Calls Change
-$10.5M

Top Buyers

1
UBS Group
1
UBS Group
Switzerland
$37.2M
2
Allianz Asset Management
2
Allianz Asset Management
Germany
$11.9M
3
Susquehanna International Group
3
Susquehanna International Group
Pennsylvania
$6.78M
4
LSV Asset Management
4
LSV Asset Management
Illinois
$35.4M
5
Legal & General Group
5
Legal & General Group
United Kingdom
$10.7M

Top Sellers

1
CS
1
Credit Suisse
Switzerland
$1.02M
2
Invesco
2
Invesco
Georgia
$3.16M
3
Two Sigma Investments
3
Two Sigma Investments
New York
$1.78M
4
Arrowstreet Capital
4
Arrowstreet Capital
Massachusetts
$11.2M
5
Deutsche Bank
5
Deutsche Bank
Germany
$3.3M
Name Holding Trade Value Shares
Change 		Shares
Change %
VCWA
51
Vanguard Capital Wealth Advisors
Colorado
$838K +$5.31K +842 +0.6%
AIMCA
52
Alberta Investment Management Corp (AIMCo)
Alberta, Canada
$827K – – –
CCA
53
Catalyst Capital Advisors
New York
$801K – – –
TFCM
54
Taylor Frigon Capital Management
Arizona
$794K +$14K +2,216 +2%
Wells Fargo
55
Wells Fargo
California
$778K -$102K -16,166 -12%
DC
56
Davenport & Co
Virginia
$775K +$17K +2,700 +2%
SBIA
57
Sheaff Brock Investment Advisors
Indiana
$770K -$119K -18,825 -13%
Stifel Financial
58
Stifel Financial
Missouri
$767K -$17.7K -2,822 -2%
GAMC
59
Garner Asset Management Corp
Texas
$753K -$33.4K -5,300 -4%
SB
60
Suntrust Banks
Georgia
$753K – – –
Royal Bank of Canada
61
Royal Bank of Canada
Ontario, Canada
$744K +$29.8K +4,726 +4%
SGCA
62
Steel Grove Capital Advisors
Tennessee
$715K -$32 -5 -0%
SPC
63
Sigma Planning Corp
Michigan
$713K -$53.8K -8,529 -7%
WS
64
Wedbush Securities
California
$699K +$67.4K +10,686 +11%
TNBTD
65
Trustmark National Bank Trust Department
Mississippi
$681K – – –
HF
66
HRT Financial
New York
$668K +$576K +91,352 +626%
Ameriprise
67
Ameriprise
Minnesota
$601K -$67.7K -10,731 -10%
AM
68
Ares Management
California
$600K +$600K +95,050 New
Bank of America
69
Bank of America
North Carolina
$592K -$534K -84,721 -47%
AG
70
Aperio Group
California
$563K +$76.9K +12,170 +16%
Canada Life
71
Canada Life
Manitoba, Canada
$556K +$54.1K +8,858 +11%
DIM
72
DC Investments Management
Virginia
$555K +$62.4K +9,888 +13%
Aberdeen Group
73
Aberdeen Group
United Kingdom
$537K -$94.8K -15,000 -15%
TRCT
74
Tower Research Capital (TRC)
New York
$531K +$469K +74,460 +761%
JPMorgan Chase & Co
75
JPMorgan Chase & Co
New York
$515K -$1.05M -166,536 -67%
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