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Prospect Capital
PSEC

Overview Fund Activity

209 hedge funds and large institutions have $364M invested in Prospect Capital in 2015 Q3 according to their latest regulatory filings, with 33 funds opening new positions, 62 increasing their positions, 77 reducing their positions, and 26 closing their positions.

Holders
209
Holders Change
+5
Holders Change %
+2.45%
% of All Funds
5.84%
Holding in Top 10
6
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.17%
New
33
Increased
62
Reduced
77
Closed
26
Calls
$3.25M
Puts
$9.4M
Net Calls
-$6.15M
Net Calls Change
+$2.1M

Top Buyers

1
SCM
1
Scopia Capital Management
New York
$16.1M
2
JPMPWA
2
J.P. Morgan Private Wealth Advisors
California
$10.9M
3
HSBC Holdings
3
HSBC Holdings
United Kingdom
$3M
4
Morgan Stanley
4
Morgan Stanley
New York
$22.9M
5
BL
5
BCWM LLC
Kansas
$2.48M

Top Sellers

1
UBS Group
1
UBS Group
Switzerland
$33.5M
2
LPL Financial
2
LPL Financial
California
$2.64M
3
Deutsche Bank
3
Deutsche Bank
Germany
$20.9M
4
FIM
4
Freedom Investment Management
Connecticut
$277K
5
Two Sigma Investments
5
Two Sigma Investments
New York
$2.08M
Name Holding Trade Value Shares
Change 		Shares
Change %
SPC
76
Sigma Planning Corp
Michigan
$743K -$57.8K -8,117 -7%
Goldman Sachs
77
Goldman Sachs
New York
$726K +$358K +50,206 +97%
MNA
78
Manning & Napier Advisors
New York
$703K +$10.8K +1,520 +2%
QIM
79
Quantitative Investment Management
Virginia
$699K +$699K +98,100 New
RA
80
Royce & Associates
New York
$696K +$696K +97,600 New
TFCM
81
Taylor Frigon Capital Management
Arizona
$671K +$54.3K +7,380 +9%
ANI
82
American National Insurance
Texas
$669K – – –
MIAN
83
Mariner Independent Advisor Network
Kansas
$612K +$612K +85,890 New
HighTower Advisors
84
HighTower Advisors
Illinois
$552K -$372K -52,131 -40%
AG
85
Aperio Group
California
$523K +$8.65K +1,214 +2%
Allianz Asset Management
86
Allianz Asset Management
Germany
$500K +$108K +15,131 +27%
RJA
87
Raymond James & Associates
Florida
$497K -$20.4K -2,864 -4%
ICOA
88
Investment Centers of America
North Dakota
$476K +$96.3K +13,405 +25%
SJIC
89
St. James Investment Company
Texas
$461K -$23.2K -3,255 -5%
SB
90
Suntrust Banks
Georgia
$459K +$164 +23 +0%
EGA
91
Eagle Global Advisors
Texas
$437K +$1.07K +150 +0.2%
BCM
92
Buckhead Capital Management
Georgia
$428K – – –
PI
93
PineBridge Investments
New York
$406K +$9.85K +1,382 +2%
OC
94
Oppenheimer & Co
New York
$403K -$6.1K -854 -1%
HAG
95
HighPoint Advisor Group
Illinois
$401K -$70.2K -9,860 -15%
ANRIA
96
American National Registered Investment Advisor
Texas
$390K – – –
CAN
97
Cetera Advisor Networks
California
$388K +$12.1K +1,679 +3%
HCM
98
Highlander Capital Management
New Jersey
$358K -$4.27K -600 -1%
Ameriprise
99
Ameriprise
Minnesota
$341K +$255K +35,804 +296%
MNBTD
100
Moody National Bank Trust Division
Texas
$340K – – –
2 3
4
5 6