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Prospect Capital
PSEC

Overview Fund Activity

210 hedge funds and large institutions have $380M invested in Prospect Capital in 2017 Q3 according to their latest regulatory filings, with 29 funds opening new positions, 72 increasing their positions, 74 reducing their positions, and 29 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
210
Holders Change
-3
Holders Change %
-1.41%
% of All Funds
5.24%
Holding in Top 10
2
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.05%
New
29
Increased
72
Reduced
74
Closed
29
Calls
$18.7M
Puts
$51.1M
Net Calls
-$32.4M
Net Calls Change
+$14.9M

Top Buyers

1
UBS Group
1
UBS Group
Switzerland
$16.1M
2
Morgan Stanley
2
Morgan Stanley
New York
$20.1M
3
Arrowstreet Capital
3
Arrowstreet Capital
Massachusetts
$11.2M
4
PMLI
4
Penn Mutual Life Insurance
Pennsylvania
$3.99M
5
AM
5
Ares Management
California
$2.86M

Top Sellers

1
PAM
1
Panagora Asset Management
Massachusetts
$0
2
MC
2
Muzinich & Co
New York
$62.6M
3
BC
3
Barnett & Company
Tennessee
$0
4
BCM
4
Beck Capital Management
Texas
$0
5
JPMPWA
5
J.P. Morgan Private Wealth Advisors
California
$12.6M
Name Holding Trade Value Shares
Change 		Shares
Change %
Prudential Financial
151
Prudential Financial
New Jersey
$104K – – –
CIA
152
Capital Investment Advisors
Georgia
$101K -$27K -4,000 -21%
BCAM
153
Boston Common Asset Management
Massachusetts
$101K – – –
SCI
154
Stableford Capital II
Arizona
$98K – – –
CIBC Asset Management
155
CIBC Asset Management
Ontario, Canada
$94K +$15.2K +2,269 +19%
William Blair & Company
156
William Blair & Company
Illinois
$87K -$6.69K -1,000 -7%
CSS
157
Cubist Systematic Strategies
Connecticut
$87K +$87K +12,893 New
AFNAS
158
American Financial Network Advisory Services
California
$87K +$87K +12,900 New
AIM
159
Advantage Investment Management
Iowa
$84K +$42.9K +6,422 +104%
ASN
160
Advisory Services Network
Georgia
$83K -$36.2K -5,387 -30%
CA
161
Callahan Advisors
Texas
$81K – – –
CG
162
CFO4Life Group
Texas
$78K – – –
VC
163
Vicus Capital
Pennsylvania
$75K -$9.38K -1,400 -11%
AIP
164
Ameritas Investment Partners
Nebraska
$75K +$12.2K +1,830 +19%
TA
165
Tiedemann Advisors
New York
$75K +$75K +11,000 New
MC
166
Moors & Cabot
Massachusetts
$74K +$810 +121 +1%
Envestnet Asset Management
167
Envestnet Asset Management
Illinois
$71K -$136K -20,275 -66%
TCM
168
Telos Capital Management
California
$71K – – –
WEC
169
Winslow Evans & Crocker
Massachusetts
$66.2K -$5.32K -791 -7%
AWMS
170
Advocacy Wealth Management Services
Georgia
$55K -$3.35K -500 -6%
JG
171
Jefferies Group
New York
$55K +$55K +8,199 New
PFGIA
172
Patriot Financial Group Insurance Agency
Massachusetts
$53K +$46.4K +7,000 +700%
KTC
173
Kistler-Tiffany Companies
Pennsylvania
$47K – – –
AWM
174
AllSquare Wealth Management
New York
$47K – – –
RFA
175
Reilly Financial Advisors
California
$45K – – –
5 6
7
8 9