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Prospect Capital
PSEC

Overview Fund Activity

206 hedge funds and large institutions have $346M invested in Prospect Capital in 2015 Q4 according to their latest regulatory filings, with 29 funds opening new positions, 86 increasing their positions, 57 reducing their positions, and 31 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
206
Holders Change
-3
Holders Change %
-1.44%
% of All Funds
5.41%
Holding in Top 10
4
Holding in Top 10 Change
-2
Holding in Top 10 Change %
-33.33%
% of All Funds
0.11%
New
29
Increased
86
Reduced
57
Closed
31
Calls
$3.34M
Puts
$12.4M
Net Calls
-$9.04M
Net Calls Change
-$2.89M

Top Buyers

1
Bank of Montreal
Bank of Montreal
Ontario, Canada
$28.1M
2
Two Sigma Investments
Two Sigma Investments
New York
$10.2M
3
LPL Financial
LPL Financial
California
$4.77M
4
Millennium Management
Millennium Management
New York
$2.36M
5
Wellington Management Group
Wellington Management Group
Massachusetts
$11.6M

Top Sellers

1
UBS Group
UBS Group
Switzerland
$16.4M
2
SCM
Scopia Capital Management
New York
$698K
3
Deutsche Bank
Deutsche Bank
Germany
$11.9M
4
PAM
PVG Asset Management
Colorado
$5.11M
5
HSBC Holdings
HSBC Holdings
United Kingdom
$0
Name Holding Trade Value Shares
Change 		Shares
Change %
SIC
151
Salem Investment Counselors
North Carolina
$114K -$29.2K -4,200 -20%
KCM
152
Kempner Capital Management
Texas
$109K – – –
BC
153
Burney Company
Virginia
$106K +$9.53K +1,343 +10%
Sumitomo Mitsui Trust Group
154
Sumitomo Mitsui Trust Group
Japan
$103K +$10.5K +1,502 +11%
BTS
155
BB&T Securities
Virginia
$97K -$20.2K -2,900 -17%
HAG
156
HighPoint Advisor Group
Illinois
$90K -$265K -42,032 -75%
VC
157
Vicus Capital
Pennsylvania
$87K +$6.96K +1,000 +9%
SSG
158
Summit Securities Group
New York
$87K +$87K +12,500 New
SLG
159
Stanley-Laman Group
Pennsylvania
$84K +$84K +12,000 New
Baird Financial Group
160
Baird Financial Group
Wisconsin
$83K – – –
QC
161
QCM Cayman
Texas
$83K +$3.39K +483 +4%
CAS
162
Cue Advisory Services
Arizona
$80K +$80K +11,500 New
GS
163
Girard Securities
California
$80K +$80K +11,551 New
NFG
164
Nadler Financial Group
Illinois
$73K – – –
CAM
165
Concorde Asset Management
Michigan
$72K -$16.5K -2,473 -19%
NG
166
NatWest Group
United Kingdom
$71K -$29.8K -4,297 -30%
CIBC Asset Management
167
CIBC Asset Management
Ontario, Canada
$71K – – –
AIP
168
Ameritas Investment Partners
Nebraska
$65K +$65K +9,431 New
AWM
169
AllSquare Wealth Management
New York
$49K – – –
KTC
170
Kistler-Tiffany Companies
Pennsylvania
$48K – – –
ST
171
Spot Trading
Illinois
$45K +$28.4K +4,100 +172%
CG
172
Cutler Group
California
$44K +$44K +6,445 New
ST
173
Smithfield Trust
Pennsylvania
$43K +$946 +135 +2%
NFG
174
Next Financial Group
Texas
$41K +$6.2K +903 +18%
ASN
175
Advisory Services Network
Georgia
$39K – – –
5 6
7
8 9