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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 %
VKH
101
Virtu KCG Holdings
New York
$447K -$1.29M -152,680 -74%
HCM
102
Highlander Capital Management
New Jersey
$447K -$2.96K -350 -0.7%
CAN
103
Cetera Advisor Networks
California
$428K +$13.4K +1,643 +3%
OC
104
Oppenheimer & Co
New York
$425K +$63.7K +7,542 +18%
California Public Employees Retirement System
105
California Public Employees Retirement System
California
$411K – – –
DC
106
Davenport & Co
Virginia
$404K +$6.34K +750 +2%
MNBTD
107
Moody National Bank Trust Division
Texas
$403K – – –
OIA
108
Optimum Investment Advisors
Illinois
$402K -$338K -40,000 -46%
VFS
109
VSR Financial Services
Kansas
$386K -$168K -19,885 -30%
AG
110
Aperio Group
California
$371K +$247K +29,267 +200%
CA
111
Cetera Advisors
Colorado
$365K -$215K -25,447 -37%
Nisa Investment Advisors
112
Nisa Investment Advisors
Missouri
$361K – – –
M&T Bank
113
M&T Bank
New York
$357K +$13.5K +1,593 +4%
BCM
114
Beck Capital Management
Texas
$337K +$60K +7,100 +22%
ACP
115
Aviance Capital Partners
Florida
$331K -$11.4K -1,355 -3%
DADC
116
D.A. Davidson & Co
Montana
$326K +$9.76K +1,158 +3%
FAAS
117
First Allied Advisory Services
California
$312K +$599 +71 +0.2%
CIA
118
Capital Investment Advisors
Georgia
$311K – – –
CC
119
Caxton Corporation
New Jersey
$309K -$156K -18,485 -34%
PI
120
PineBridge Investments
New York
$299K +$6.66K +789 +2%
IC
121
InterOcean Capital
Illinois
$296K -$4.23K -500 -1%
NPC
122
National Planning Corporation
California
$290K -$96.6K -12,250 -25%
MFS
123
MSI Financial Services
Massachusetts
$286K +$389 +46 +0.1%
AI
124
Atria Investments
North Carolina
$284K +$30.9K +3,648 +12%
TRSOTSOK
125
Teachers Retirement System of the State of Kentucky
Kentucky
$278K -$303K -35,800 -52%
3 4
5
6 7