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Prospect Capital
PSEC

194 hedge funds and large institutions have $258M invested in Prospect Capital in 2021 Q3 according to their latest regulatory filings, with 19 funds opening new positions, 80 increasing their positions, 49 reducing their positions, and 27 closing their positions.

New
Increased
Maintained
Reduced
Closed

63% more repeat investments, than reductions

Existing positions increased: 80 | Existing positions reduced: 49

55% more call options, than puts

Call options by funds: $7.8M | Put options by funds: $5.03M

0% more funds holding in top 10

Funds holding in top 10: 2 → 2 (0)

1.11% less ownership

Funds ownership: 9.74% → 8.63% (-1.1%)

4% less funds holding

Funds holding: 202 → 194 (-8)

19% less capital invested

Capital invested by funds: $317M → $258M (-$58.9M)

30% less first-time investments, than exits

New positions opened: 19 | Existing positions closed: 27

Holders
194
Holders Change
-8
Holders Change %
-3.96%
% of All Funds
3.4%
Holding in Top 10
2
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.04%
New
19
Increased
80
Reduced
49
Closed
27
Calls
$7.8M
Puts
$5.03M
Net Calls
+$2.77M
Net Calls Change
+$1.29M

Top Buyers

Rank Fund Capital Flow
1
Two Sigma Advisers
Two Sigma Advisers
New York
+$15.5M
2
BlackRock
BlackRock
New York
+$4.56M
3
VanEck Associates
VanEck Associates
New York
+$4.49M
4
Two Sigma Investments
Two Sigma Investments
New York
+$3.36M
5
Allianz Asset Management
Allianz Asset Management
Germany
+$2.92M

Top Sellers

Rank Fund Capital Flow
1
Arrowstreet Capital
Arrowstreet Capital
Massachusetts
-$30.7M
2
LSV Asset Management
LSV Asset Management
Illinois
-$30M
3
SCF
Sante Capital Fund
Texas
-$3.39M
4
Citadel Advisors
Citadel Advisors
Florida
-$2.23M
5
Marshall Wace
Marshall Wace
United Kingdom
-$1.64M
Name Holding Trade Value Shares
Change 		Change in
Stake
HCM
126
Highlander Capital Management
New Jersey
$96K – – –
FS
127
Ferguson Shapiro
Georgia
$95K – – –
BP
128
BBR Partners
New York
$94K – – –
LA
129
LVW Advisors
New York
$93K – – –
CA
130
Callahan Advisors
Texas
$92K -$806 -100 -0.8%
RIA
131
Regal Investment Advisors
Michigan
$90K +$4.66K +578 +5%
FDCDDQ
132
Federation des caisses Desjardins du Quebec
Quebec, Canada
$87K +$28.2K +3,500 +45%
IWM
133
IHT Wealth Management
Illinois
$85K -$3.74K -464 -4%
ACP
134
Aviance Capital Partners
Florida
$85K – – –
Lido Advisors
135
Lido Advisors
California
$85K +$4.13K +512 +5%
SI
136
Stephens Inc
Arkansas
$84K +$88.2K +10,939 New
KIA
137
KCM Investment Advisors
California
$80K – – –
CC
138
Centiva Capital
New York
$79K +$83K +10,295 New
JMF
139
Johnson Midwest Financial
Iowa
$77K – – –
TRCT
140
Tower Research Capital (TRC)
New York
$75K +$25K +3,107 +47%
APWA
141
Atlas Private Wealth Advisors
New Jersey
$62K – – –
RFA
142
Reilly Financial Advisors
California
$62K – – –
FHA
143
First Horizon Advisors
Tennessee
$59K +$1.03K +128 +2%
Macquarie Group
144
Macquarie Group
Australia
$57K -$1.24M -153,441 -95%
ST
145
Smithfield Trust
Pennsylvania
$48K – – –
AWM
146
AllSquare Wealth Management
New York
$46K – – –
ADL
147
Asset Dedication LLC
California
$45K +$47.4K +5,880 New
AWMS
148
Advocacy Wealth Management Services
Georgia
$39K – – –
AIC
149
Archer Investment Corporation
Indiana
$38.5K +$40.3K +5,000 New
WQ
150
Wealth Quarterback
New Jersey
$36K +$871 +108 +2%
4 5
6
7 8

PSEC Hedge Fund Activity: Q3 2021 in Review

194 of the 5,712 institutional investors tracked by Wall St. Rank reported a position in Prospect Capital (PSEC) for Q3 2021, worth a combined $258M — down 19% from $317M a quarter earlier.

Sellers outnumbered buyers: 27 funds closed out of PSEC and 19 opened new positions — a net loss of 8 holders — while 49 trimmed existing stakes and 80 added.

The largest buyer was Two Sigma Advisers, adding an estimated $15.5M. The largest seller was Arrowstreet Capital, exiting entirely with an estimated $30.7M sold.

  • 194 institutional investors held Prospect Capital (PSEC) as of Q3 2021, down from 202 in Q2 2021.
  • Funds reported $258M of Prospect Capital stock for Q3 2021, down 19% quarter-over-quarter.
  • 19 funds opened new Prospect Capital positions in Q3 2021 and 27 closed out, a net change of -8 holders.
  • The largest Prospect Capital buyer in Q3 2021 was Two Sigma Advisers, an estimated $15.5M added.
  • The largest Prospect Capital seller in Q3 2021 was Arrowstreet Capital, an estimated $30.7M sold.

Based on aggregated 13F filings for Q3 2021.