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Prospect Capital
PSEC

Overview Fund Activity

206 hedge funds and large institutions have $346M invested in Prospect Capital in 2015 Q4 according to their latest regulatory filings, with 29 funds opening new positions, 86 increasing their positions, 57 reducing their positions, and 31 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
206
Holders Change
-3
Holders Change %
-1.44%
% of All Funds
5.41%
Holding in Top 10
4
Holding in Top 10 Change
-2
Holding in Top 10 Change %
-33.33%
% of All Funds
0.11%
New
29
Increased
86
Reduced
57
Closed
31
Calls
$3.34M
Puts
$12.4M
Net Calls
-$9.04M
Net Calls Change
-$2.89M

Top Buyers

1
Bank of Montreal
Bank of Montreal
Ontario, Canada
$28.1M
2
Two Sigma Investments
Two Sigma Investments
New York
$10.2M
3
LPL Financial
LPL Financial
California
$4.77M
4
Millennium Management
Millennium Management
New York
$2.36M
5
Wellington Management Group
Wellington Management Group
Massachusetts
$11.6M

Top Sellers

1
UBS Group
UBS Group
Switzerland
$16.4M
2
SCM
Scopia Capital Management
New York
$698K
3
Deutsche Bank
Deutsche Bank
Germany
$11.9M
4
PAM
PVG Asset Management
Colorado
$5.11M
5
HSBC Holdings
HSBC Holdings
United Kingdom
$0
Name Holding Trade Value Shares
Change 		Shares
Change %
CWA
126
Cypress Wealth Advisors
California
$230K +$230K +33,000 New
PNC Financial Services Group
127
PNC Financial Services Group
Pennsylvania
$228K -$18.6K -2,688 -8%
NPC
128
National Planning Corporation
California
$225K +$48K +8,005 +27%
CIC
129
Chilton Investment Company
Connecticut
$220K – – –
WEC
130
Winslow Evans & Crocker
Massachusetts
$212K -$10.3K -1,478 -5%
BCM
131
Buckhead Capital Management
Georgia
$209K -$209K -30,000 -50%
ACP
132
Aviance Capital Partners
Florida
$208K -$5.68K -814 -3%
FCI
133
Financial Counselors Inc
Kansas
$204K +$204K +29,262 New
Janney Montgomery Scott
134
Janney Montgomery Scott
Pennsylvania
$196K +$43.8K +6,263 +29%
FMBTD
135
First Midwest Bank Trust Division
Illinois
$195K +$12.1K +1,730 +7%
RIA
136
Regal Investment Advisors
Michigan
$186K +$18.2K +2,614 +11%
SI
137
SII Investments
Wisconsin
$171K -$9.5K -1,378 -5%
California Public Employees Retirement System
138
California Public Employees Retirement System
California
$171K – – –
VKH
139
Virtu KCG Holdings
New York
$169K -$125K -17,917 -42%
RCM
140
Radcliffe Capital Management
Pennsylvania
$168K +$168K +24,000 New
KA
141
Kovack Advisors
Florida
$162K +$9.49K +1,360 +6%
EFS
142
Essex Financial Services
Connecticut
$160K -$16K -2,287 -9%
PAG
143
Private Advisor Group
New Jersey
$160K +$37.6K +5,369 +31%
CCS
144
Crosspoint Capital Strategies
California
$155K +$155K +18,809 New
AWA
145
Arete Wealth Advisors
Illinois
$146K -$6.99K -1,000 -5%
RJT
146
Raymond James Trust
Florida
$140K – – –
UAM
147
UAS Asset Management
New York
$140K +$140K +20,000 New
VFA
148
Voya Financial Advisors
Connecticut
$138K -$14.7K -2,095 -10%
Prudential Financial
149
Prudential Financial
New Jersey
$130K -$12.6K -1,800 -9%
QT
150
Quantbot Technologies
New York
$116K -$17.6K -2,522 -13%
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