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Prospect Capital
PSEC

228 hedge funds and large institutions have $254M invested in Prospect Capital in 2021 Q4 according to their latest regulatory filings, with 49 funds opening new positions, 75 increasing their positions, 55 reducing their positions, and 14 closing their positions.

New
Increased
Maintained
Reduced
Closed

250% more first-time investments, than exits

New positions opened: 49 | Existing positions closed: 14

163% more call options, than puts

Call options by funds: $7.56M | Put options by funds: $2.88M

36% more repeat investments, than reductions

Existing positions increased: 75 | Existing positions reduced: 55

18% more funds holding

Funds holding: 194 → 228 (+34)

0% more funds holding in top 10

Funds holding in top 10: 2 → 2 (0)

0.86% less ownership

Funds ownership: 8.63% → 7.77% (-0.86%)

1% less capital invested

Capital invested by funds: $258M → $254M (-$3.15M)

Holders
228
Holders Change
+34
Holders Change %
+17.53%
% of All Funds
3.51%
Holding in Top 10
2
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.03%
New
49
Increased
75
Reduced
55
Closed
14
Calls
$7.56M
Puts
$2.88M
Net Calls
+$4.68M
Net Calls Change
+$1.91M

Top Buyers

Rank Fund Capital Flow
1
Citadel Advisors
Citadel Advisors
Florida
+$3.06M
2
HF
HRT Financial
New York
+$3.02M
3
BlackRock
BlackRock
New York
+$1.75M
4
AAM
Advisors Asset Management
Colorado
+$863K
5
HighTower Advisors
HighTower Advisors
Illinois
+$837K

Top Sellers

Rank Fund Capital Flow
1
Invesco
Invesco
Georgia
-$18.5M
2
Susquehanna International Group
Susquehanna International Group
Pennsylvania
-$6.89M
3
Two Sigma Advisers
Two Sigma Advisers
New York
-$4.19M
4
D.E. Shaw & Co
D.E. Shaw & Co
New York
-$3.42M
5
LSV Asset Management
LSV Asset Management
Illinois
-$2.39M
Name Holding Trade Value Shares
Change 		Change in
Stake
FNBOMD
126
First National Bank of Mount Dora
Florida
$129K – – –
GWM
127
Gitterman Wealth Management
New Jersey
$128K +$128K +15,167 New
TSS
128
Two Sigma Securities
New York
$128K +$128K +15,185 New
LNWWM
129
Laird Norton Wetherby Wealth Management
California
$126K – – –
WPW
130
Warther Private Wealth
Ohio
$124K – – –
PA
131
PFG Advisors
Arizona
$122K +$122K +14,534 New
NWMG
132
National Wealth Management Group
Ohio
$122K +$122K +14,504 New
SI
133
Stephens Inc
Arkansas
$121K +$29.3K +3,477 +32%
RhumbLine Advisers
134
RhumbLine Advisers
Massachusetts
$114K +$118 +14 +0.1%
PNC Financial Services Group
135
PNC Financial Services Group
Pennsylvania
$113K +$2.31K +274 +2%
OC
136
Oppenheimer & Co
New York
$111K – – –
RIA
137
Regal Investment Advisors
Michigan
$111K +$12.5K +1,485 +13%
MFA
138
Morling Financial Advisors
California
$111K +$111K +13,226 New
SPIA
139
Steward Partners Investment Advisory
New York
$110K +$244 +29 +0.2%
GKWIM
140
Gerber Kawasaki Wealth & Investment Management
California
$109K +$110K +13,056 +435,200%
FDCDDQ
141
Federation des caisses Desjardins du Quebec
Quebec, Canada
$105K +$10.1K +1,200 +11%
HCM
142
Highlander Capital Management
New Jersey
$105K – – –
FS
143
Ferguson Shapiro
Georgia
$104K – – –
BP
144
BBR Partners
New York
$103K – – –
SA
145
SFI Advisors
New Jersey
$103K +$99.5K +11,820 New
LA
146
LVW Advisors
New York
$102K – – –
CA
147
Callahan Advisors
Texas
$101K – – –
DA
148
Detalus Advisors
Missouri
$99K -$67.1K -7,974 -40%
SOW
149
State of Wyoming
Wyoming
$98K +$98.1K +11,654 New
BHB
150
Bank Hapoalim BM
Israel
$98K +$98.5K +11,700 New
4 5
6
7 8

PSEC Hedge Fund Activity: Q4 2021 in Review

228 of the 6,498 institutional investors tracked by Wall St. Rank reported a position in Prospect Capital (PSEC) for Q4 2021, worth a combined $254M — down 1.2% from $258M a quarter earlier.

Buyers outnumbered sellers: 49 funds opened new PSEC positions and 14 closed out — a net gain of 35 holders — while 75 added to existing stakes and 55 trimmed.

The largest buyer was Citadel Advisors, adding an estimated $3.06M. The largest seller was Invesco, cutting an estimated $18.5M.

  • 228 institutional investors held Prospect Capital (PSEC) as of Q4 2021, up from 194 in Q3 2021.
  • Funds reported $254M of Prospect Capital stock for Q4 2021, down 1.2% quarter-over-quarter.
  • 49 funds opened new Prospect Capital positions in Q4 2021 and 14 closed out, a net change of +35 holders.
  • The largest Prospect Capital buyer in Q4 2021 was Citadel Advisors, an estimated $3.06M added.
  • The largest Prospect Capital seller in Q4 2021 was Invesco, an estimated $18.5M sold.

Based on aggregated 13F filings for Q4 2021.