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Prospect Capital
PSEC

Overview Fund Activity

216 hedge funds and large institutions have $338M invested in Prospect Capital in 2016 Q3 according to their latest regulatory filings, with 35 funds opening new positions, 69 increasing their positions, 63 reducing their positions, and 18 closing their positions.

Holders
216
Holders Change
+12
Holders Change %
+5.88%
% of All Funds
5.77%
Holding in Top 10
4
Holding in Top 10 Change
-1
Holding in Top 10 Change %
-20%
% of All Funds
0.11%
New
35
Increased
69
Reduced
63
Closed
18
Calls
$3.66M
Puts
$60.6M
Net Calls
-$56.9M
Net Calls Change
-$10.1M

Top Buyers

1
MC
1
Muzinich & Co
New York
$26M
2
Bank of Nova Scotia
2
Bank of Nova Scotia
Ontario, Canada
$4.25M
3
Two Sigma Investments
3
Two Sigma Investments
New York
$3.78M
4
Two Sigma Advisers
4
Two Sigma Advisers
New York
$3.06M
5
Deutsche Bank
5
Deutsche Bank
Germany
$8.21M

Top Sellers

1
SMH
1
Sanders Morris Harris
Texas
$1.11M
2
Morgan Stanley
2
Morgan Stanley
New York
$21M
3
AAM
3
Advisors Asset Management
Colorado
$6.14M
4
UBS Group
4
UBS Group
Switzerland
$6.75M
5
RIA
5
RPG Investment Advisory
California
$2.42M
Name Holding Trade Value Shares
Change 		Shares
Change %
LA
101
Lucus Advisors
New York
$391K +$391K +48,245 New
FFA
102
First Foundation Advisors
California
$388K -$1.99K -245 -0.5%
MNBTD
103
Moody National Bank Trust Division
Texas
$385K – – –
OIA
104
Optimum Investment Advisors
Illinois
$373K – – –
ICOA
105
Investment Centers of America
North Dakota
$371K +$298 +37 +0.1%
Ameriprise
106
Ameriprise
Minnesota
$364K -$45.2K -5,591 -11%
CAMG
107
CWA Asset Management Group
Florida
$362K -$22.7K -2,800 -6%
HCM
108
Highlander Capital Management
New Jersey
$360K – – –
CA
109
Cetera Advisors
Colorado
$345K -$36.3K -4,498 -10%
FMBTD
110
First Midwest Bank Trust Division
Illinois
$331K – – –
State Street
111
State Street
Massachusetts
$319K – – –
EFS
112
Essex Financial Services
Connecticut
$317K +$84K +10,366 +36%
Wolverine Trading
113
Wolverine Trading
Illinois
$301K +$301K +37,055 New
Pacer Advisors
114
Pacer Advisors
Pennsylvania
$300K +$300K +37,082 New
SI
115
SII Investments
Wisconsin
$294K -$43K -5,378 -13%
SCM
116
Stevens Capital Management
Pennsylvania
$293K +$293K +36,177 New
SEI Investments
117
SEI Investments
Pennsylvania
$292K +$292K +36,000 New
SAM
118
Selway Asset Management
$282K – – –
BRWA
119
B. Riley Wealth Advisors
Florida
$271K -$128K -29,661 -32%
CIC
120
Chilton Investment Company
Connecticut
$255K – – –
VKH
121
Virtu KCG Holdings
New York
$254K -$887K -109,540 -78%
M&T Bank
122
M&T Bank
New York
$251K -$113 -14 -0%
ACP
123
Aviance Capital Partners
Florida
$241K – – –
Northern Trust
124
Northern Trust
Illinois
$236K -$45.9K -5,674 -16%
RPA
125
Rock Point Advisors
Vermont
$229K -$7.57K -935 -3%
3 4
5
6 7