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Prospect Capital
PSEC

Overview Fund Activity

222 hedge funds and large institutions have $457M invested in Prospect Capital in 2015 Q1 according to their latest regulatory filings, with 33 funds opening new positions, 87 increasing their positions, 59 reducing their positions, and 29 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
222
Holders Change
+3
Holders Change %
+1.37%
% of All Funds
5.92%
Holding in Top 10
7
Holding in Top 10 Change
+1
Holding in Top 10 Change %
+16.67%
% of All Funds
0.19%
New
33
Increased
87
Reduced
59
Closed
29
Calls
$3.62M
Puts
$8.97M
Net Calls
-$5.36M
Net Calls Change
-$1.07M

Top Buyers

1
UBS Group
1
UBS Group
Switzerland
$67.5M
2
MUSU
2
Mitsubishi UFJ Securities (USA)
New York
$8.86M
3
LPL Financial
3
LPL Financial
California
$14.7M
4
YMRC
4
Yorktown Management & Research Company
Virginia
$7.99M
5
SC
5
Selz Capital
New York
$8.51M

Top Sellers

1
Millennium Management
1
Millennium Management
New York
$111K
2
RCM
2
Rivernorth Capital Management
Florida
$705K
3
Two Sigma Investments
3
Two Sigma Investments
New York
$0
4
Citadel Advisors
4
Citadel Advisors
Florida
$4.93M
5
Invesco
5
Invesco
Georgia
$8.7M
Name Holding Trade Value Shares
Change 		Shares
Change %
ICM
151
IMS Capital Management
Oregon
$154K +$6.76K +800 +5%
ST
152
Spot Trading
Illinois
$153K +$123K +14,567 +406%
Nomura Holdings
153
Nomura Holdings
Japan
$149K +$94.5K +11,186 +173%
B
154
Baird
Wisconsin
$147K -$95K -11,225 -39%
PP
155
Paloma Partners
Connecticut
$146K +$146K +17,284 New
PAG
156
Private Advisor Group
New Jersey
$145K +$145K +17,200 New
BRWM
157
B. Riley Wealth Management
Tennessee
$143K -$25.4K -3,020 -15%
WA
158
WESPAC Advisors
California
$140K -$34.8K -4,122 -20%
NV
159
Nair Vinay
$138K +$43.6K +5,158 +46%
PTC
160
Private Trust Company
Ohio
$134K – – –
KCM
161
Kempner Capital Management
Texas
$132K – – –
NG
162
NatWest Group
United Kingdom
$123K -$8.38K -990 -6%
PNC Financial Services Group
163
PNC Financial Services Group
Pennsylvania
$123K -$7.63K -905 -6%
SCM
164
Southport Capital Management
Tennessee
$121K – – –
CA
165
Commerzbank Aktiengesellschaft
Germany
$119K +$119K +14,040 New
DAM
166
Delta Asset Management
Tennessee
$118K – – –
SSG
167
Summit Securities Group
New York
$118K +$98.6K +11,700 +509%
Sumitomo Mitsui Trust Group
168
Sumitomo Mitsui Trust Group
Japan
$114K +$4.44K +525 +4%
Millennium Management
169
Millennium Management
New York
$111K -$8.92M -1,060,523 -99%
NIT
170
NumerixS Investment Technologies
British Columbia, Canada
$104K +$5.92K +700 +6%
BT
171
Beacon Trust
New Jersey
$101K – – –
HRIA
172
Haberer Registered Investment Advisor
Ohio
$100K +$100K +11,793 New
Ameriprise
173
Ameriprise
Minnesota
$99K +$7.9K +935 +9%
JPTCCM
174
J.P. Turner & Co Capital Management
Georgia
$99K +$8.09K +958 +9%
CAM
175
Concorde Asset Management
Michigan
$93K -$22.9K -2,712 -20%
5 6
7
8 9