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Prospect Capital
PSEC

Overview Fund Activity

222 hedge funds and large institutions have $457M invested in Prospect Capital in 2015 Q1 according to their latest regulatory filings, with 33 funds opening new positions, 87 increasing their positions, 59 reducing their positions, and 29 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
222
Holders Change
+3
Holders Change %
+1.37%
% of All Funds
5.92%
Holding in Top 10
7
Holding in Top 10 Change
+1
Holding in Top 10 Change %
+16.67%
% of All Funds
0.19%
New
33
Increased
87
Reduced
59
Closed
29
Calls
$3.62M
Puts
$8.97M
Net Calls
-$5.36M
Net Calls Change
-$1.07M

Top Buyers

1
UBS Group
1
UBS Group
Switzerland
$67.5M
2
MUSU
2
Mitsubishi UFJ Securities (USA)
New York
$8.86M
3
LPL Financial
3
LPL Financial
California
$14.7M
4
YMRC
4
Yorktown Management & Research Company
Virginia
$7.99M
5
SC
5
Selz Capital
New York
$8.51M

Top Sellers

1
Millennium Management
1
Millennium Management
New York
$111K
2
RCM
2
Rivernorth Capital Management
Florida
$705K
3
Two Sigma Investments
3
Two Sigma Investments
New York
$0
4
Citadel Advisors
4
Citadel Advisors
Florida
$4.93M
5
Invesco
5
Invesco
Georgia
$8.7M
Name Holding Trade Value Shares
Change 		Shares
Change %
TFCM
76
Taylor Frigon Capital Management
Arizona
$841K +$15.2K +1,792 +2%
AA
77
Ancora Advisors
Ohio
$799K -$904K -109,500 Closed
Stifel Financial
78
Stifel Financial
Missouri
$799K +$70K +8,287 +10%
BB
79
Bell Bank
North Dakota
$794K +$55.9K +6,622 +8%
ANI
80
American National Insurance
Texas
$793K – – –
CPSAC
81
Chas P. Smith & Associates (CPS)
Florida
$779K +$474K +56,120 +156%
MCM
82
McKinley Capital Management
Alaska
$720K +$440 +52 +0.1%
RCM
83
Rivernorth Capital Management
Florida
$705K -$8.57M -1,014,063 -92%
HFS
84
HL Financial Services
Kentucky
$652K +$394K +46,616 +153%
PCC
85
Park Circle Company
Maryland
$592K – – –
RJA
86
Raymond James & Associates
Florida
$587K -$929K -110,020 -61%
AL
87
Airain Ltd
Guernsey
$562K +$286K +33,842 +104%
HAG
88
HighPoint Advisor Group
Illinois
$553K +$5.26K +625 +1%
SJIC
89
St. James Investment Company
Texas
$548K +$548K +64,809 New
SB
90
Suntrust Banks
Georgia
$544K – – –
PGH
91
Partners Group Holding
Switzerland
$542K +$262K +31,000 +93%
BCM
92
Buckhead Capital Management
Georgia
$507K +$507K +60,000 New
WA
93
WFG Advisors
Texas
$504K -$42.1K -4,984 -8%
EM
94
EnTrustPermal Management
New York
$497K – – –
WEC
95
Winslow Evans & Crocker
Massachusetts
$497K – – –
FANJ
96
Financial Architects (New Jersey)
New Jersey
$486K +$4.23K +500 +0.9%
ICOA
97
Investment Centers of America
North Dakota
$467K +$75.2K +9,024 +19%
ANRIA
98
American National Registered Investment Advisor
Texas
$462K – – –
IAS
99
IMA Advisory Services
Colorado
$462K +$48K +5,680 +12%
Bank of New York Mellon
100
Bank of New York Mellon
New York
$458K -$114K -13,521 -20%
2 3
4
5 6