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Prospect Capital
PSEC

Overview Fund Activity

209 hedge funds and large institutions have $364M invested in Prospect Capital in 2015 Q3 according to their latest regulatory filings, with 33 funds opening new positions, 62 increasing their positions, 77 reducing their positions, and 26 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
209
Holders Change
+5
Holders Change %
+2.45%
% of All Funds
5.84%
Holding in Top 10
6
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.17%
New
33
Increased
62
Reduced
77
Closed
26
Calls
$3.25M
Puts
$9.4M
Net Calls
-$6.15M
Net Calls Change
+$2.1M

Top Buyers

1
SCM
Scopia Capital Management
New York
$16.1M
2
JPMPWA
J.P. Morgan Private Wealth Advisors
California
$10.9M
3
HSBC Holdings
HSBC Holdings
United Kingdom
$3M
4
Morgan Stanley
Morgan Stanley
New York
$22.9M
5
BL
BCWM LLC
Kansas
$2.48M

Top Sellers

1
UBS Group
UBS Group
Switzerland
$33.5M
2
LPL Financial
LPL Financial
California
$2.64M
3
Deutsche Bank
Deutsche Bank
Germany
$20.9M
4
FIM
Freedom Investment Management
Connecticut
$277K
5
Two Sigma Investments
Two Sigma Investments
New York
$2.08M
Name Holding Trade Value Shares
Change 		Shares
Change %
WEC
126
Winslow Evans & Crocker
Massachusetts
$227K -$4.71K -660 -2%
CIC
127
Chilton Investment Company
Connecticut
$225K – – –
ACP
128
Aviance Capital Partners
Florida
$219K -$11K -1,545 -5%
NPC
129
National Planning Corporation
California
$218K -$7.82K -1,060 -3%
NCCM
130
Nine Chapters Capital Management
New Jersey
$199K +$199K +27,900 New
CNB
131
City National Bank
California
$196K -$2.62M -368,249 -93%
PAM
132
Princeton Alpha Management
New Jersey
$191K +$191K +26,805 New
SS
133
Sunbelt Securities
Texas
$186K +$6.14K +861 +3%
FMBTD
134
First Midwest Bank Trust Division
Illinois
$186K +$12.4K +1,740 +7%
SI
135
SII Investments
Wisconsin
$185K +$11.6K +1,645 +7%
EFS
136
Essex Financial Services
Connecticut
$180K -$1.76K -247 -1%
AL
137
Airain Ltd
Guernsey
$176K -$111K -15,470 -39%
California Public Employees Retirement System
138
California Public Employees Retirement System
California
$175K – – –
RIA
139
Regal Investment Advisors
Michigan
$171K -$6.54K -922 -4%
RCM
140
Radcliffe Capital Management
Pennsylvania
$171K – – –
AWA
141
Arete Wealth Advisors
Illinois
$156K – – –
KA
142
Kovack Advisors
Florida
$156K +$156K +21,850 New
Janney Montgomery Scott
143
Janney Montgomery Scott
Pennsylvania
$155K -$21.8K -3,065 -12%
VFA
144
Voya Financial Advisors
Connecticut
$154K +$63.4K +8,959 +70%
SIC
145
Salem Investment Counselors
North Carolina
$145K -$12.3K -1,750 -8%
Prudential Financial
146
Prudential Financial
New Jersey
$145K – – –
RJT
147
Raymond James Trust
Florida
$143K – – –
GWM
148
Gupta Wealth Management
California
$136K – – –
QT
149
Quantbot Technologies
New York
$136K +$96.4K +13,592 +243%
PSI
150
Pinnacle Summer Investments
Virginia
$131K +$130K +148,366 +16,485%
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