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Prospect Capital
PSEC

Overview Fund Activity

218 hedge funds and large institutions have $517M invested in Prospect Capital in 2017 Q1 according to their latest regulatory filings, with 31 funds opening new positions, 70 increasing their positions, 69 reducing their positions, and 21 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
218
Holders Change
+6
Holders Change %
+2.83%
% of All Funds
5.44%
Holding in Top 10
3
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.07%
New
31
Increased
70
Reduced
69
Closed
21
Calls
$5.66M
Puts
$50.9M
Net Calls
-$45.3M
Net Calls Change
+$9.65M

Top Buyers

1
MC
1
Muzinich & Co
New York
$109M
2
BlackRock
2
BlackRock
New York
$22.4M
3
PAM
3
Panagora Asset Management
Massachusetts
$9.98M
4
California Public Employees Retirement System
4
California Public Employees Retirement System
California
$6.75M
5
LSV Asset Management
5
LSV Asset Management
Illinois
$16.1M

Top Sellers

1
AM
1
Ares Management
California
$0
2
AFG
2
American Financial Group
Ohio
$0
3
UBS Group
3
UBS Group
Switzerland
$5.2M
4
MIAN
4
Mariner Independent Advisor Network
Kansas
$0
5
Morgan Stanley
5
Morgan Stanley
New York
$15.6M
Name Holding Trade Value Shares
Change 		Shares
Change %
KCM
151
Kempner Capital Management
Texas
$141K – – –
Prudential Financial
152
Prudential Financial
New Jersey
$140K – – –
GXMC
153
Global X Management Company
New York
$140K +$47.2K +5,223 +51%
BCAM
154
Boston Common Asset Management
Massachusetts
$136K -$10.5K -1,160 -7%
SCI
155
Stableford Capital II
Arizona
$131K – – –
William Blair & Company
156
William Blair & Company
Illinois
$129K +$35K +3,725 +37%
BRWA
157
B. Riley Wealth Advisors
Florida
$128K -$278K -30,649 -68%
NL
158
NWAM LLC
Washington
$128K -$72.8K -8,029 -36%
RIA
159
Regal Investment Advisors
Michigan
$127K +$25.4K +2,825 +25%
SIC
160
Salem Investment Counselors
North Carolina
$124K -$109 -12 -0.1%
Verition Fund Management
161
Verition Fund Management
Connecticut
$124K +$124K +13,717 New
CIAS
162
Capital Investment Advisory Services
North Carolina
$121K -$31.6K -3,500 -21%
VC
163
Vicus Capital
Pennsylvania
$114K – – –
BT
164
Beacon Trust
New Jersey
$112K – – –
CA
165
Callahan Advisors
Texas
$109K – – –
WEC
166
Winslow Evans & Crocker
Massachusetts
$108K -$21.7K -2,402 -17%
CIBC Asset Management
167
CIBC Asset Management
Ontario, Canada
$107K – – –
CG
168
CFO4Life Group
Texas
$106K +$106K +11,676 New
AWMS
169
Advocacy Wealth Management Services
Georgia
$97K – – –
FIM
170
Frontier Investment Management
Texas
$97K +$97K +10,740 New
NFG
171
Nadler Financial Group
Illinois
$95K – – –
TCM
172
Telos Capital Management
California
$95K +$4.52K +500 +5%
CCG
173
Chatham Capital Group
Georgia
$90K +$90K +10,000 New
NFG
174
Next Financial Group
Texas
$86K +$31.3K +3,350 +57%
AIP
175
Ameritas Investment Partners
Nebraska
$85K – – –
5 6
7
8 9