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Prospect Capital
PSEC

Overview Fund Activity

221 hedge funds and large institutions have $347M invested in Prospect Capital in 2017 Q4 according to their latest regulatory filings, with 47 funds opening new positions, 53 increasing their positions, 86 reducing their positions, and 35 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
221
Holders Change
+11
Holders Change %
+5.24%
% of All Funds
5.02%
Holding in Top 10
3
Holding in Top 10 Change
+1
Holding in Top 10 Change %
+50%
% of All Funds
0.07%
New
47
Increased
53
Reduced
86
Closed
35
Calls
$22.1M
Puts
$52.5M
Net Calls
-$30.3M
Net Calls Change
+$2.04M

Top Buyers

1
Two Sigma Investments
Two Sigma Investments
New York
$11.2M
2
AP
AHL Partners
United Kingdom
$10.3M
3
QOP
Quinn Opportunity Partners
Virginia
$4.51M
4
Allianz Asset Management
Allianz Asset Management
Germany
$6.55M
5
COPPSERS
Commonwealth of Pennsylvania Public School Employees Retirement System
Pennsylvania
$4.04M

Top Sellers

1
Bank of Montreal
Bank of Montreal
Ontario, Canada
$16.4M
2
MC
Muzinich & Co
New York
$51.3M
3
JPMPWA
J.P. Morgan Private Wealth Advisors
California
$2.7M
4
UBS Group
UBS Group
Switzerland
$8.9M
5
Morgan Stanley
Morgan Stanley
New York
$14M
Name Holding Trade Value Shares
Change 		Shares
Change %
RCA
126
Rowland Carmichael Advisors
Arizona
$153K – – –
ACI
127
Alpha Cubed Investments
California
$153K +$153K +22,766 New
TU
128
TDAM USA
Ontario, Canada
$152K +$152K +22,500 New
GP
129
GLG Partners
United Kingdom
$152K +$152K +22,600 New
FGC
130
Financial Gravity Companies
Texas
$150K +$150K +23,247 New
Sumitomo Mitsui Trust Group
131
Sumitomo Mitsui Trust Group
Japan
$149K +$1.9K +282 +1%
FDCDDQ
132
Federation des caisses Desjardins du Quebec
Quebec, Canada
$144K – – –
EFS
133
Essex Financial Services
Connecticut
$142K -$166K -24,690 -54%
KI
134
Koch Industries
Kansas
$141K -$489K -72,670 -78%
Citigroup
135
Citigroup
New York
$141K -$18.4K -2,727 -12%
HFS
136
HL Financial Services
Kentucky
$140K -$1.09M -161,996 -89%
PCIA
137
Prime Capital Investment Advisors
Kansas
$130K +$130K +19,340 New
ICA
138
Infrastructure Capital Advisors
New York
$127K -$6.74K -1,000 -5%
VC
139
Vicus Capital
Pennsylvania
$123K +$47.3K +7,000 +63%
ACP
140
Aviance Capital Partners
Florida
$115K -$58.6K -8,685 -34%
WB
141
WesBanco Bank
West Virginia
$107K +$107K +15,917 New
Prudential Financial
142
Prudential Financial
New Jersey
$104K – – –
Manulife (Manufacturers Life Insurance)
143
Manulife (Manufacturers Life Insurance)
Ontario, Canada
$102K -$78.9K -11,711 -44%
BCAM
144
Boston Common Asset Management
Massachusetts
$101K – – –
CIA
145
Capital Investment Advisors
Georgia
$101K – – –
KA
146
Kovack Advisors
Florida
$101K +$101K +14,955 New
CIBC Asset Management
147
CIBC Asset Management
Ontario, Canada
$95K – – –
BTS
148
BB&T Securities
Virginia
$94K -$14.1K -2,100 -13%
BAM
149
Belpointe Asset Management
Nevada
$94K +$94K +13,963 New
SRC
150
Shufro Rose & Co
New York
$92K -$1.08M -159,698 -92%
4 5
6
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