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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 %
GAM
126
Gotham Asset Management
New York
$267K -$3.56K -422 -1%
Bank of Montreal
127
Bank of Montreal
Ontario, Canada
$266K – – –
CIC
128
Chilton Investment Company
Connecticut
$266K +$266K +31,500 New
Tudor Investment Corp
129
Tudor Investment Corp
Connecticut
$228K -$382K -45,216 -63%
EFS
130
Essex Financial Services
Connecticut
$226K +$88.4K +10,461 +64%
TYCC
131
Texas Yale Capital Corp
Florida
$224K -$659K -78,000 -75%
Janney Montgomery Scott
132
Janney Montgomery Scott
Pennsylvania
$223K -$121K -14,287 -35%
SS
133
Sunbelt Securities
Texas
$222K +$112K +13,288 +103%
FFA
134
First Foundation Advisors
California
$211K -$42.2K -5,000 -17%
VAM
135
Visium Asset Management
New York
$211K +$211K +24,990 New
KA
136
Kovack Advisors
Florida
$207K +$207K +24,468 New
FMBTD
137
First Midwest Bank Trust Division
Illinois
$206K +$2.11K +250 +1%
SI
138
SII Investments
Wisconsin
$199K +$23K +2,739 +13%
AWA
139
Arete Wealth Advisors
Illinois
$195K +$65.6K +7,800 +51%
SIC
140
Salem Investment Counselors
North Carolina
$192K -$13.1K -1,550 -6%
RIA
141
Regal Investment Advisors
Michigan
$188K +$28.7K +3,393 +18%
SLG
142
Stanley-Laman Group
Pennsylvania
$186K +$186K +22,000 New
DC
143
Deere & Company
Illinois
$176K – – –
Prudential Financial
144
Prudential Financial
New Jersey
$172K +$32K +3,800 +23%
TC
145
TFS Capital
Pennsylvania
$171K -$30.8K -3,654 -15%
CSS
146
Cubist Systematic Strategies
Connecticut
$171K +$73.5K +8,709 +75%
RJT
147
Raymond James Trust
Florida
$170K – – –
QT
148
Quantbot Technologies
New York
$167K +$24.8K +2,940 +17%
ICAS
149
Investors Capital Advisory Services
Massachusetts
$166K +$44.3K +5,277 +36%
GWM
150
Gupta Wealth Management
California
$161K +$161K +19,076 New
4 5
6
7 8