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Prospect Capital
PSEC

Overview Fund Activity

210 hedge funds and large institutions have $380M invested in Prospect Capital in 2017 Q3 according to their latest regulatory filings, with 29 funds opening new positions, 72 increasing their positions, 74 reducing their positions, and 29 closing their positions.

Holders
210
Holders Change
-3
Holders Change %
-1.41%
% of All Funds
5.24%
Holding in Top 10
2
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.05%
New
29
Increased
72
Reduced
74
Closed
29
Calls
$18.7M
Puts
$51.1M
Net Calls
-$32.4M
Net Calls Change
+$14.9M

Top Buyers

1
UBS Group
1
UBS Group
Switzerland
$16.1M
2
Morgan Stanley
2
Morgan Stanley
New York
$20.1M
3
Arrowstreet Capital
3
Arrowstreet Capital
Massachusetts
$11.2M
4
PMLI
4
Penn Mutual Life Insurance
Pennsylvania
$3.99M
5
AM
5
Ares Management
California
$2.86M

Top Sellers

1
PAM
1
Panagora Asset Management
Massachusetts
$0
2
MC
2
Muzinich & Co
New York
$62.6M
3
BC
3
Barnett & Company
Tennessee
$0
4
BCM
4
Beck Capital Management
Texas
$0
5
JPMPWA
5
J.P. Morgan Private Wealth Advisors
California
$12.6M
Name Market Value Shares Shares
Change 		Shares
Change %
SGCA
101
Steel Grove Capital Advisors
Tennessee
$319K 47,094 +3,409 +8%
MSAM
102
Moloney Securities Asset Management
Missouri
$318K 47,279 +217 +0.5%
OIA
103
Optimum Investment Advisors
Illinois
$309K 46,000 – –
EFS
104
Essex Financial Services
Connecticut
$308K 45,825 +387 +0.9%
CIAS
105
Capital Investment Advisory Services
North Carolina
$304K 45,252 -11,140 -20%
QT
106
Quantbot Technologies
New York
$297K 44,280 +44,280 New
FFA
107
First Foundation Advisors
California
$296K 44,097 +10,000 +29%
ICOA
108
Investment Centers of America
North Dakota
$295K 44,647 +1,213 +3%
ANRIA
109
American National Registered Investment Advisor
Texas
$294K 43,700 -11,000 -20%
FMBTD
110
First Midwest Bank Trust Division
Illinois
$285K 42,382 +1,896 +5%
SB
111
Suntrust Banks
Georgia
$281K 41,721 -22,679 -35%
BRWA
112
B. Riley Wealth Advisors
Florida
$281K 41,704 +28,008 +204%
AG
113
Aperio Group
California
$278K 41,384 -15,864 -28%
GFPC
114
Global Financial Private Capital
Florida
$277K 41,280 +41,280 New
CAMG
115
CWA Asset Management Group
Florida
$272K 40,480 +430 +1%
PP
116
Paloma Partners
Connecticut
$270K 40,294 +40,294 New
Wolverine Trading
117
Wolverine Trading
Illinois
$268K 39,811 +24,615 +162%
HCM
118
Highlander Capital Management
New Jersey
$262K 39,000 – –
AIA
119
Allegis Investment Advisors
Idaho
$250K 37,205 -200 -0.5%
CPO
120
Cerity Partners OCIO
New York
$249K 37,000 +37,000 New
PNC Financial Services Group
121
PNC Financial Services Group
Pennsylvania
$248K 36,849 -107,383 -74%
MNBTD
122
Moody National Bank Trust Division
Texas
$246K 36,600 -11,000 -23%
SWP
123
Stratos Wealth Partners
Ohio
$241K 35,891 -11,950 -25%
AWA
124
Arete Wealth Advisors
Illinois
$240K 35,780 -5,570 -13%
IH
125
IFC Holdings
Florida
$231K 34,684 -23,310 -40%
3 4
5
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