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Prospect Capital
PSEC

Overview Fund Activity

217 hedge funds and large institutions have $302M invested in Prospect Capital in 2016 Q1 according to their latest regulatory filings, with 36 funds opening new positions, 62 increasing their positions, 77 reducing their positions, and 23 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
217
Holders Change
+11
Holders Change %
+5.34%
% of All Funds
5.79%
Holding in Top 10
4
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.11%
New
36
Increased
62
Reduced
77
Closed
23
Calls
$8.94M
Puts
$41.7M
Net Calls
-$32.8M
Net Calls Change
-$23.8M

Top Buyers

1
Barclays
1
Barclays
United Kingdom
$7M
2
AL
2
Airain Ltd
Guernsey
$2.03M
3
LSV Asset Management
3
LSV Asset Management
Illinois
$8.03M
4
UBS Group
4
UBS Group
Switzerland
$19M
5
PP
5
PDT Partners
New York
$1.48M

Top Sellers

1
Deutsche Bank
1
Deutsche Bank
Germany
$5.22M
2
CS
2
Credit Suisse
Switzerland
$580K
3
MP
3
Mangrove Partners
Connecticut
$0
4
Wellington Management Group
4
Wellington Management Group
Massachusetts
$6.87M
5
Susquehanna International Group
5
Susquehanna International Group
Pennsylvania
$1.89M
Name Holding Trade Value Shares
Change 		Shares
Change %
CIA
126
Capital Investment Advisors
Georgia
$216K -$31.1K -4,275 -13%
RPA
127
Rock Point Advisors
Vermont
$213K -$1.05M -144,390 -83%
ACP
128
Aviance Capital Partners
Florida
$211K -$5.81K -800 -3%
EFS
129
Essex Financial Services
Connecticut
$206K +$39.6K +5,445 +24%
FMBTD
130
First Midwest Bank Trust Division
Illinois
$202K -$654 -90 -0.3%
AWMS
131
Advocacy Wealth Management Services
Georgia
$193K -$211K -29,050 -52%
RIA
132
Regal Investment Advisors
Michigan
$191K -$3.07K -422 -2%
DC
133
Deere & Company
Illinois
$189K -$51K -7,006 -21%
JPMorgan Chase & Co
134
JPMorgan Chase & Co
New York
$185K -$64.7K -8,915 -26%
WP
135
WealthSource Partners
California
$182K +$182K +25,100 New
California Public Employees Retirement System
136
California Public Employees Retirement System
California
$178K – – –
PAG
137
Private Advisor Group
New Jersey
$176K +$9.55K +1,311 +6%
Janney Montgomery Scott
138
Janney Montgomery Scott
Pennsylvania
$174K -$29.7K -4,088 -15%
RCM
139
Radcliffe Capital Management
Pennsylvania
$174K – – –
AWA
140
Arete Wealth Advisors
Illinois
$170K +$18.2K +2,500 +12%
Walleye Trading
141
Walleye Trading
New York
$169K +$169K +23,193 New
RCA
142
Rowland Carmichael Advisors
Arizona
$165K +$165K +22,710 New
Lido Advisors
143
Lido Advisors
California
$152K +$152K +20,968 New
DTL
144
Dynamic Technology Lab
Singapore
$150K +$150K +20,591 New
RJT
145
Raymond James Trust
Florida
$145K – – –
Prudential Financial
146
Prudential Financial
New Jersey
$135K – – –
SMH
147
Sanders Morris Harris
Texas
$134K +$134K +151,867 New
VFA
148
Voya Financial Advisors
Connecticut
$130K -$9.25K -1,306 -7%
Manulife (Manufacturers Life Insurance)
149
Manulife (Manufacturers Life Insurance)
Ontario, Canada
$126K +$55K +7,729 +78%
WEC
150
Winslow Evans & Crocker
Massachusetts
$119K -$101K -13,956 -46%
4 5
6
7 8