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Prospect Capital
PSEC

Overview Fund Activity

209 hedge funds and large institutions have $364M invested in Prospect Capital in 2015 Q3 according to their latest regulatory filings, with 33 funds opening new positions, 62 increasing their positions, 77 reducing their positions, and 26 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
209
Holders Change
+5
Holders Change %
+2.45%
% of All Funds
5.84%
Holding in Top 10
6
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.17%
New
33
Increased
62
Reduced
77
Closed
26
Calls
$3.25M
Puts
$9.4M
Net Calls
-$6.15M
Net Calls Change
+$2.1M

Top Buyers

1
SCM
Scopia Capital Management
New York
$16.1M
2
JPMPWA
J.P. Morgan Private Wealth Advisors
California
$10.9M
3
HSBC Holdings
HSBC Holdings
United Kingdom
$3M
4
Morgan Stanley
Morgan Stanley
New York
$22.9M
5
BL
BCWM LLC
Kansas
$2.48M

Top Sellers

1
UBS Group
UBS Group
Switzerland
$33.5M
2
LPL Financial
LPL Financial
California
$2.64M
3
Deutsche Bank
Deutsche Bank
Germany
$20.9M
4
FIM
Freedom Investment Management
Connecticut
$277K
5
Two Sigma Investments
Two Sigma Investments
New York
$2.08M
Name Holding Trade Value Shares
Change 		Shares
Change %
PAG
151
Private Advisor Group
New Jersey
$125K -$108K -15,111 -46%
BTS
152
BB&T Securities
Virginia
$120K +$3.56K +500 +3%
KCM
153
Kempner Capital Management
Texas
$111K – – –
Jane Street
154
Jane Street
New York
$106K -$153K -21,405 -59%
NG
155
NatWest Group
United Kingdom
$104K +$21.9K +3,059 +27%
MFS
156
MSI Financial Services
Massachusetts
$100K -$201K -28,331 -67%
Two Sigma Advisers
157
Two Sigma Advisers
New York
$99K +$99K +13,905 New
GHA
158
GW Henssler & Associates
Georgia
$98K – – –
BC
159
Burney Company
Virginia
$97K +$97K +13,600 New
Sumitomo Mitsui Trust Group
160
Sumitomo Mitsui Trust Group
Japan
$95K -$7.73K -1,079 -8%
CAM
161
Concorde Asset Management
Michigan
$95K +$95K +13,268 New
IAS
162
IMA Advisory Services
Colorado
$94K -$283K -39,620 -75%
BT
163
Beacon Trust
New Jersey
$86K – – –
Baird Financial Group
164
Baird Financial Group
Wisconsin
$84K -$42.2K -5,948 -33%
VC
165
Vicus Capital
Pennsylvania
$82K +$82K +11,500 New
Verition Fund Management
166
Verition Fund Management
Connecticut
$81K +$81K +11,311 New
QC
167
QCM Cayman
Texas
$81K +$81K +11,354 New
TRCT
168
Tower Research Capital (TRC)
New York
$75K +$75K +10,495 New
NFG
169
Nadler Financial Group
Illinois
$75K +$75K +10,500 New
CIBC Asset Management
170
CIBC Asset Management
Ontario, Canada
$73K – – –
Simplex Trading
171
Simplex Trading
Illinois
$62K +$57.7K +8,121 +1,358%
SFWA
172
Summit Financial Wealth Advisors
Louisiana
$53K – – –
AWM
173
AllSquare Wealth Management
New York
$50K -$14.3K -2,000 -22%
KTC
174
Kistler-Tiffany Companies
Pennsylvania
$49K +$9.44K +1,334 +24%
ST
175
Smithfield Trust
Pennsylvania
$43K – – –
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7
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