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Prospect Capital
PSEC

Overview Fund Activity

221 hedge funds and large institutions have $350M invested in Prospect Capital in 2019 Q4 according to their latest regulatory filings, with 39 funds opening new positions, 77 increasing their positions, 64 reducing their positions, and 24 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
221
Holders Change
+14
Holders Change %
+6.76%
% of All Funds
4.36%
Holding in Top 10
3
Holding in Top 10 Change
-1
Holding in Top 10 Change %
-25%
% of All Funds
0.06%
New
39
Increased
77
Reduced
64
Closed
24
Calls
$1.95M
Puts
$17M
Net Calls
-$15.1M
Net Calls Change
+$1.3M

Top Buyers

1
IAA
1
Independent Advisor Alliance
North Carolina
$10.9M
2
Arrowstreet Capital
2
Arrowstreet Capital
Massachusetts
$36.3M
3
Man Group
3
Man Group
United Kingdom
$12.4M
4
Invesco
4
Invesco
Georgia
$11.8M
5
Two Sigma Investments
5
Two Sigma Investments
New York
$12.8M

Top Sellers

1
Allianz Asset Management
1
Allianz Asset Management
Germany
$3.42M
2
Morgan Stanley
2
Morgan Stanley
New York
$5.68M
3
Deutsche Bank
3
Deutsche Bank
Germany
$20K
4
UBS Group
4
UBS Group
Switzerland
$14M
5
Susquehanna International Group
5
Susquehanna International Group
Pennsylvania
$5.7M
Name Holding Trade Value Shares
Change 		Shares
Change %
CSS
51
Cubist Systematic Strategies
Connecticut
$927K +$927K +143,940 New
WAM
52
Wolverine Asset Management
Illinois
$909K +$127K +19,738 +16%
Millennium Management
53
Millennium Management
New York
$856K +$856K +132,900 New
GAMC
54
Garner Asset Management Corp
Texas
$838K +$147K +22,825 +21%
RJA
55
Raymond James & Associates
Florida
$823K -$49.4K -7,674 -6%
Truist Financial
56
Truist Financial
North Carolina
$818K +$818K +126,982 New
CCA
57
Catalyst Capital Advisors
New York
$817K – – –
SBIA
58
Sheaff Brock Investment Advisors
Indiana
$804K +$101K +15,753 +14%
QT
59
Quantbot Technologies
New York
$785K +$785K +122,019 New
AAM
60
Advisors Asset Management
Colorado
$731K -$13.8K -2,148 -2%
ASN
61
Advisory Services Network
Georgia
$717K +$166K +25,706 +30%
SPC
62
Sigma Planning Corp
Michigan
$714K -$40.5K -6,289 -5%
SWM
63
Sculati Wealth Management
Michigan
$706K +$706K +109,680 New
PP
64
Paloma Partners
Connecticut
$661K +$146K +22,642 +28%
Wells Fargo
65
Wells Fargo
California
$656K -$8K -1,243 -1%
CC
66
Cipher Capital
New York
$655K +$66.4K +10,302 +11%
Stifel Financial
67
Stifel Financial
Missouri
$651K -$59.1K -9,171 -8%
Citigroup
68
Citigroup
New York
$644K +$36.6K +5,690 +6%
Canada Life
69
Canada Life
Manitoba, Canada
$643K +$643K +100,469 New
QIM
70
Quantitative Investment Management
Virginia
$624K -$237K -36,741 -27%
Ameriprise
71
Ameriprise
Minnesota
$608K -$65.5K -10,170 -10%
APW
72
Aurora Private Wealth
New Jersey
$568K +$568K +88,250 New
Marshall Wace
73
Marshall Wace
United Kingdom
$561K +$529K +82,200 +1,674%
DIM
74
DC Investments Management
Virginia
$528K +$11.7K +1,812 +2%
Goldman Sachs
75
Goldman Sachs
New York
$507K +$426K +66,180 +526%
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