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Prospect Capital
PSEC

Overview Fund Activity

204 hedge funds and large institutions have $409M invested in Prospect Capital in 2015 Q2 according to their latest regulatory filings, with 21 funds opening new positions, 80 increasing their positions, 66 reducing their positions, and 35 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
204
Holders Change
-18
Holders Change %
-8.11%
% of All Funds
5.5%
Holding in Top 10
6
Holding in Top 10 Change
-1
Holding in Top 10 Change %
-14.29%
% of All Funds
0.16%
New
21
Increased
80
Reduced
66
Closed
35
Calls
$1.75M
Puts
$10M
Net Calls
-$8.25M
Net Calls Change
-$2.9M

Top Buyers

1
Deutsche Bank
Deutsche Bank
Germany
$31.2M
2
Bank of Montreal
Bank of Montreal
Ontario, Canada
$10.6M
3
Two Sigma Investments
Two Sigma Investments
New York
$9.13M
4
Susquehanna International Group
Susquehanna International Group
Pennsylvania
$7.12M
5
Morgan Stanley
Morgan Stanley
New York
$21M

Top Sellers

1
MSE
MUFG Securities EMEA
United Kingdom
$0
2
UBS Group
UBS Group
Switzerland
$50.7M
3
YMRC
Yorktown Management & Research Company
Virginia
$0
4
SC
Selz Capital
New York
$442K
5
TFMS
Trust & Fiduciary Management Services
Massachusetts
$4.12M
Name Holding Trade Value Shares
Change 		Shares
Change %
SC
126
Sumit Capital
New York
$208K +$208K +28,194 New
NFG
127
Next Financial Group
Texas
$205K +$162K +22,096 +378%
PP
128
Paloma Partners
Connecticut
$204K +$76.5K +10,366 +60%
AA
129
Ancora Advisors
Ohio
$199K +$199K +27,000 New
D.E. Shaw & Co
130
D.E. Shaw & Co
New York
$192K +$192K +26,036 New
EFS
131
Essex Financial Services
Connecticut
$188K -$9.63K -1,303 -5%
SS
132
Sunbelt Securities
Texas
$186K -$7.39K -1,002 -4%
CA
133
Commerzbank Aktiengesellschaft
Germany
$185K +$81.7K +11,107 +79%
FFA
134
First Foundation Advisors
California
$184K – – –
RIA
135
Regal Investment Advisors
Michigan
$184K +$20.8K +2,822 +13%
Janney Montgomery Scott
136
Janney Montgomery Scott
Pennsylvania
$183K -$11.7K -1,589 -6%
California Public Employees Retirement System
137
California Public Employees Retirement System
California
$181K -$172K -23,300 -49%
FMBTD
138
First Midwest Bank Trust Division
Illinois
$180K – – –
SI
139
SII Investments
Wisconsin
$178K +$6.43K +887 +4%
V
140
Veritable
Delaware
$174K +$174K +23,603 New
SIC
141
Salem Investment Counselors
North Carolina
$165K -$2.96K -400 -2%
AWA
142
Arete Wealth Advisors
Illinois
$161K -$9.56K -1,300 -6%
Prudential Financial
143
Prudential Financial
New Jersey
$150K – – –
RJT
144
Raymond James Trust
Florida
$147K – – –
GWM
145
Gupta Wealth Management
California
$141K – – –
Baird Financial Group
146
Baird Financial Group
Wisconsin
$131K +$131K +17,776 New
VKH
147
Virtu KCG Holdings
New York
$129K -$262K -35,432 -67%
ICAS
148
Investors Capital Advisory Services
Massachusetts
$124K -$21.4K -2,903 -15%
BTS
149
BB&T Securities
Virginia
$120K +$21.3K +2,900 +22%
KCM
150
Kempner Capital Management
Texas
$115K – – –
4 5
6
7 8