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Prospect Capital
PSEC

Overview Fund Activity

218 hedge funds and large institutions have $517M invested in Prospect Capital in 2017 Q1 according to their latest regulatory filings, with 31 funds opening new positions, 70 increasing their positions, 69 reducing their positions, and 21 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
218
Holders Change
+6
Holders Change %
+2.83%
% of All Funds
5.44%
Holding in Top 10
3
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.07%
New
31
Increased
70
Reduced
69
Closed
21
Calls
$5.66M
Puts
$50.9M
Net Calls
-$45.3M
Net Calls Change
+$9.65M

Top Buyers

1
MC
1
Muzinich & Co
New York
$109M
2
BlackRock
2
BlackRock
New York
$22.4M
3
PAM
3
Panagora Asset Management
Massachusetts
$9.98M
4
California Public Employees Retirement System
4
California Public Employees Retirement System
California
$6.75M
5
LSV Asset Management
5
LSV Asset Management
Illinois
$16.1M

Top Sellers

1
AM
1
Ares Management
California
$0
2
AFG
2
American Financial Group
Ohio
$0
3
UBS Group
3
UBS Group
Switzerland
$5.2M
4
MIAN
4
Mariner Independent Advisor Network
Kansas
$0
5
Morgan Stanley
5
Morgan Stanley
New York
$15.6M
Name Holding Trade Value Shares
Change 		Shares
Change %
KA
76
Kovack Advisors
Florida
$820K +$220K +24,349 +37%
IA
77
IFP Advisors
Florida
$817K -$133K -14,751 -14%
WS
78
Wedbush Securities
California
$777K -$149K -16,434 -16%
IH
79
IFC Holdings
Florida
$734K +$286K +31,537 +64%
EGA
80
Eagle Global Advisors
Texas
$688K -$150K -16,610 -18%
DC
81
Davenport & Co
Virginia
$683K -$37.6K -4,500 -5%
PI
82
PineBridge Investments
New York
$668K -$145K -16,060 -18%
AOWM
83
Alpha Omega Wealth Management
Virginia
$643K +$9.28K +1,027 +1%
TSS
84
Two Sigma Securities
New York
$613K +$613K +67,828 New
CIBC World Market
85
CIBC World Market
Ontario, Canada
$612K -$107K -11,835 -15%
CA
86
Cetera Advisors
Colorado
$604K -$12.7K -1,405 -2%
SB
87
Suntrust Banks
Georgia
$586K +$3.51K +388 +0.6%
PP
88
PDT Partners
New York
$572K +$572K +63,232 New
Ameriprise
89
Ameriprise
Minnesota
$570K -$60.6K -6,494 -10%
GWM
90
Geneos Wealth Management
Colorado
$559K -$33.4K -3,703 -6%
SI
91
SII Investments
Wisconsin
$551K +$199K +22,014 +57%
VKH
92
Virtu KCG Holdings
New York
$550K -$708K -78,326 -56%
CANY
93
Caxton Associates (New York)
New York
$539K +$539K +59,628 New
OC
94
Oppenheimer & Co
New York
$537K -$36.7K -4,060 -6%
NPC
95
National Planning Corporation
California
$528K +$48.9K +5,350 +10%
DADC
96
D.A. Davidson & Co
Montana
$508K +$6.07K +672 +1%
AG
97
Aperio Group
California
$506K +$196K +21,726 +63%
GCP
98
GSA Capital Partners
United Kingdom
$501K +$240K +26,500 +92%
ANRIA
99
American National Registered Investment Advisor
Texas
$494K – – –
GAM
100
Gotham Asset Management
New York
$481K +$481K +53,189 New
2 3
4
5 6