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Prospect Capital
PSEC

Overview Fund Activity

239 hedge funds and large institutions have $301M invested in Prospect Capital in 2018 Q4 according to their latest regulatory filings, with 52 funds opening new positions, 57 increasing their positions, 76 reducing their positions, and 31 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
239
Holders Change
+15
Holders Change %
+6.7%
% of All Funds
5.33%
Holding in Top 10
3
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.07%
New
52
Increased
57
Reduced
76
Closed
31
Calls
$7.79M
Puts
$39.6M
Net Calls
-$31.8M
Net Calls Change
-$10.5M

Top Buyers

1
UBS Group
1
UBS Group
Switzerland
$37.2M
2
Allianz Asset Management
2
Allianz Asset Management
Germany
$11.9M
3
Susquehanna International Group
3
Susquehanna International Group
Pennsylvania
$6.78M
4
LSV Asset Management
4
LSV Asset Management
Illinois
$35.4M
5
Legal & General Group
5
Legal & General Group
United Kingdom
$10.7M

Top Sellers

1
CS
1
Credit Suisse
Switzerland
$1.02M
2
Invesco
2
Invesco
Georgia
$3.16M
3
Two Sigma Investments
3
Two Sigma Investments
New York
$1.78M
4
Arrowstreet Capital
4
Arrowstreet Capital
Massachusetts
$11.2M
5
Deutsche Bank
5
Deutsche Bank
Germany
$3.3M
Name Holding Trade Value Shares
Change 		Shares
Change %
OIA
101
Optimum Investment Advisors
Illinois
$252K – – –
GWM
102
Geneos Wealth Management
Colorado
$250K -$38.3K -5,920 -13%
PAG
103
Private Advisor Group
New Jersey
$250K +$39K +6,180 +18%
IA
104
IFP Advisors
Florida
$249K -$83.3K -12,847 -25%
KBC Group
105
KBC Group
Belgium
$247K +$247K +39,178 New
TG
106
TCW Group
California
$243K +$2.53K +400 +1%
GCP
107
GSA Capital Partners
United Kingdom
$229K -$740K -117,133 -76%
DADC
108
D.A. Davidson & Co
Montana
$229K +$28.2K +4,470 +14%
TA
109
TCG Advisors
Texas
$227K +$227K +36,013 New
AAS
110
Avantax Advisory Services
Texas
$220K +$220K +34,621 New
Citigroup
111
Citigroup
New York
$218K -$1.64M -259,073 -88%
RBFC
112
Roman Butler Fullerton & Co
Missouri
$216K +$216K +32,287 New
Lido Advisors
113
Lido Advisors
California
$210K – – –
EFS
114
Essex Financial Services
Connecticut
$205K +$33.8K +5,349 +20%
Envestnet Asset Management
115
Envestnet Asset Management
Illinois
$205K +$61.6K +9,769 +43%
TH
116
Timber Hill
Connecticut
$203K +$632 +100 +0.3%
AI
117
Atria Investments
North Carolina
$199K +$13.5K +2,136 +7%
BCM
118
BlueCrest Capital Management
Jersey
$196K -$1.11M -176,187 -85%
FFA
119
First Foundation Advisors
California
$191K -$23.1K -3,666 -11%
EGA
120
Eagle Global Advisors
Texas
$190K -$336K -53,340 -64%
OC
121
Oppenheimer & Co
New York
$190K – – –
TSS
122
Two Sigma Securities
New York
$186K +$16.3K +2,585 +10%
AWM
123
Alterna Wealth Management
Texas
$175K +$175K +27,762 New
AIM
124
Advantage Investment Management
Iowa
$174K +$174K +27,616 New
TVAMP
125
Tennessee Valley Asset Management Partners
Tennessee
$171K +$171K +27,056 New
3 4
5
6 7