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Prospect Capital
PSEC

228 hedge funds and large institutions have $254M invested in Prospect Capital in 2021 Q4 according to their latest regulatory filings, with 49 funds opening new positions, 75 increasing their positions, 55 reducing their positions, and 14 closing their positions.

New
Increased
Maintained
Reduced
Closed

250% more first-time investments, than exits

New positions opened: 49 | Existing positions closed: 14

163% more call options, than puts

Call options by funds: $7.56M | Put options by funds: $2.88M

36% more repeat investments, than reductions

Existing positions increased: 75 | Existing positions reduced: 55

18% more funds holding

Funds holding: 194 → 228 (+34)

0% more funds holding in top 10

Funds holding in top 10: 2 → 2 (0)

0.86% less ownership

Funds ownership: 8.63% → 7.77% (-0.86%)

1% less capital invested

Capital invested by funds: $258M → $254M (-$3.15M)

Holders
228
Holders Change
+34
Holders Change %
+17.53%
% of All Funds
3.51%
Holding in Top 10
2
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.03%
New
49
Increased
75
Reduced
55
Closed
14
Calls
$7.56M
Puts
$2.88M
Net Calls
+$4.68M
Net Calls Change
+$1.91M

Top Buyers

Rank Fund Capital Flow
1
Citadel Advisors
Citadel Advisors
Florida
+$3.06M
2
HF
HRT Financial
New York
+$3.02M
3
BlackRock
BlackRock
New York
+$1.75M
4
AAM
Advisors Asset Management
Colorado
+$863K
5
HighTower Advisors
HighTower Advisors
Illinois
+$837K

Top Sellers

Rank Fund Capital Flow
1
Invesco
Invesco
Georgia
-$18.5M
2
Susquehanna International Group
Susquehanna International Group
Pennsylvania
-$6.89M
3
Two Sigma Advisers
Two Sigma Advisers
New York
-$4.19M
4
D.E. Shaw & Co
D.E. Shaw & Co
New York
-$3.42M
5
LSV Asset Management
LSV Asset Management
Illinois
-$2.39M
Name Holding Trade Value Shares
Change 		Change in
Stake
RBFC
76
Roman Butler Fullerton & Co
Missouri
$448K +$7.48K +889 +2%
TWM
77
Thrive Wealth Management
Pennsylvania
$431K +$431K +51,204 New
BCP
78
Berkeley Capital Partners
Georgia
$423K – – –
AWM
79
Apollon Wealth Management
South Carolina
$394K – – –
SSA
80
Schonfeld Strategic Advisors
New York
$377K -$242K -28,800 -39%
Bank of New York Mellon
81
Bank of New York Mellon
New York
$359K +$70.5K +8,376 +24%
WMS
82
Wealth Management Solutions
Pennsylvania
$353K +$354K +42,028 New
Victory Capital Management
83
Victory Capital Management
Texas
$348K -$10.2K -1,207 -3%
GA
84
Greytown Advisors
Florida
$335K +$333K +39,600 New
JP Morgan Chase
85
JP Morgan Chase
New York
$333K +$16.1K +1,907 +5%
BCA
86
Biltmore Capital Advisors
New Jersey
$328K +$75.7K +9,000 +30%
CA
87
Cetera Advisors
Colorado
$323K -$10.2K -1,215 -3%
GC
88
Guggenheim Capital
Illinois
$306K -$565K -67,109 -65%
KCM
89
Kathmere Capital Management
Pennsylvania
$306K – – –
AAS
90
Avantax Advisory Services
Texas
$282K -$8.27K -983 -3%
CFD
91
Creative Financial Designs
Indiana
$279K +$5.03K +598 +2%
BAM
92
Belpointe Asset Management
Nevada
$278K -$30.3K -3,600 -10%
Cetera Investment Advisers
93
Cetera Investment Advisers
Illinois
$277K -$27.1K -3,217 -9%
TRCT
94
Tower Research Capital (TRC)
New York
$276K +$195K +23,113 +238%
UCFA
95
United Capital Financial Advisors
Texas
$261K -$40.5K -4,810 -13%
IFG
96
Independent Financial Group
California
$255K +$47.4K +5,626 +23%
HI
97
Harbour Investments
Wisconsin
$255K -$219K -26,006 -46%
Creative Planning
98
Creative Planning
Kansas
$253K +$64.7K +7,692 +34%
SWM
99
Spire Wealth Management
Virginia
$252K -$2.42K -287 -1%
CSS
100
Cubist Systematic Strategies
Connecticut
$252K +$252K +29,974 New
2 3
4
5 6

PSEC Hedge Fund Activity: Q4 2021 in Review

228 of the 6,498 institutional investors tracked by Wall St. Rank reported a position in Prospect Capital (PSEC) for Q4 2021, worth a combined $254M — down 1.2% from $258M a quarter earlier.

Buyers outnumbered sellers: 49 funds opened new PSEC positions and 14 closed out — a net gain of 35 holders — while 75 added to existing stakes and 55 trimmed.

The largest buyer was Citadel Advisors, adding an estimated $3.06M. The largest seller was Invesco, cutting an estimated $18.5M.

  • 228 institutional investors held Prospect Capital (PSEC) as of Q4 2021, up from 194 in Q3 2021.
  • Funds reported $254M of Prospect Capital stock for Q4 2021, down 1.2% quarter-over-quarter.
  • 49 funds opened new Prospect Capital positions in Q4 2021 and 14 closed out, a net change of +35 holders.
  • The largest Prospect Capital buyer in Q4 2021 was Citadel Advisors, an estimated $3.06M added.
  • The largest Prospect Capital seller in Q4 2021 was Invesco, an estimated $18.5M sold.

Based on aggregated 13F filings for Q4 2021.