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Prospect Capital
PSEC

Overview Fund Activity

206 hedge funds and large institutions have $346M invested in Prospect Capital in 2015 Q4 according to their latest regulatory filings, with 29 funds opening new positions, 86 increasing their positions, 57 reducing their positions, and 31 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
206
Holders Change
-3
Holders Change %
-1.44%
% of All Funds
5.41%
Holding in Top 10
4
Holding in Top 10 Change
-2
Holding in Top 10 Change %
-33.33%
% of All Funds
0.11%
New
29
Increased
86
Reduced
57
Closed
31
Calls
$3.34M
Puts
$12.4M
Net Calls
-$9.04M
Net Calls Change
-$2.89M

Top Buyers

1
Bank of Montreal
1
Bank of Montreal
Ontario, Canada
$28.1M
2
Two Sigma Investments
2
Two Sigma Investments
New York
$10.2M
3
LPL Financial
3
LPL Financial
California
$4.77M
4
Millennium Management
4
Millennium Management
New York
$2.36M
5
Wellington Management Group
5
Wellington Management Group
Massachusetts
$11.6M

Top Sellers

1
UBS Group
1
UBS Group
Switzerland
$16.4M
2
SCM
2
Scopia Capital Management
New York
$698K
3
Deutsche Bank
3
Deutsche Bank
Germany
$11.9M
4
PAM
4
PVG Asset Management
Colorado
$5.11M
5
HSBC Holdings
5
HSBC Holdings
United Kingdom
$0
Name Holding Trade Value Shares
Change 		Shares
Change %
OC
101
Oppenheimer & Co
New York
$422K +$28.8K +4,132 +7%
V
102
Veritable
Delaware
$399K +$399K +57,220 New
AWMS
103
Advocacy Wealth Management Services
Georgia
$393K +$393K +55,625 New
ANRIA
104
American National Registered Investment Advisor
Texas
$382K – – –
CAN
105
Cetera Advisor Networks
California
$376K +$6.4K +935 +2%
CA
106
Cetera Advisors
Colorado
$373K +$91K +13,191 +32%
MNBTD
107
Moody National Bank Trust Division
Texas
$332K – – –
CAMG
108
CWA Asset Management Group
Florida
$332K +$332K +47,512 New
OIA
109
Optimum Investment Advisors
Illinois
$321K – – –
FFA
110
First Foundation Advisors
California
$315K +$23.3K +3,342 +8%
HCM
111
Highlander Capital Management
New Jersey
$313K -$38.4K -5,500 -11%
Capital Fund Management (CFM)
112
Capital Fund Management (CFM)
France
$311K +$311K +44,500 New
Northern Trust
113
Northern Trust
Illinois
$289K +$22.1K +3,170 +8%
AIA
114
Allegis Investment Advisors
Idaho
$289K +$289K +41,421 New
TYCC
115
Texas Yale Capital Corp
Florida
$266K -$698K -100,000 -72%
DADC
116
D.A. Davidson & Co
Montana
$264K +$14K +2,011 +6%
GAM
117
Gotham Asset Management
New York
$264K +$14.6K +2,091 +6%
ICAS
118
Investors Capital Advisory Services
Massachusetts
$262K +$17.5K +2,511 +7%
AI
119
Atria Investments
North Carolina
$254K +$20.6K +2,985 +9%
PAM
120
Princeton Alpha Management
New Jersey
$250K +$62.9K +9,007 +34%
FAAS
121
First Allied Advisory Services
California
$248K +$9.35K +1,339 +4%
JPMorgan Chase & Co
122
JPMorgan Chase & Co
New York
$240K – – –
M&T Bank
123
M&T Bank
New York
$239K +$9.06K +1,301 +4%
CIA
124
Capital Investment Advisors
Georgia
$237K -$4.54K -650 -2%
DC
125
Deere & Company
Illinois
$230K – – –
3 4
5
6 7