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Prospect Capital
PSEC

Overview Fund Activity

221 hedge funds and large institutions have $347M invested in Prospect Capital in 2017 Q4 according to their latest regulatory filings, with 47 funds opening new positions, 53 increasing their positions, 86 reducing their positions, and 35 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
221
Holders Change
+11
Holders Change %
+5.24%
% of All Funds
5.02%
Holding in Top 10
3
Holding in Top 10 Change
+1
Holding in Top 10 Change %
+50%
% of All Funds
0.07%
New
47
Increased
53
Reduced
86
Closed
35
Calls
$22.1M
Puts
$52.5M
Net Calls
-$30.3M
Net Calls Change
+$2.04M

Top Buyers

1
Two Sigma Investments
Two Sigma Investments
New York
$11.2M
2
AP
AHL Partners
United Kingdom
$10.3M
3
QOP
Quinn Opportunity Partners
Virginia
$4.51M
4
Allianz Asset Management
Allianz Asset Management
Germany
$6.55M
5
COPPSERS
Commonwealth of Pennsylvania Public School Employees Retirement System
Pennsylvania
$4.04M

Top Sellers

1
Bank of Montreal
Bank of Montreal
Ontario, Canada
$16.4M
2
MC
Muzinich & Co
New York
$51.3M
3
JPMPWA
J.P. Morgan Private Wealth Advisors
California
$2.7M
4
UBS Group
UBS Group
Switzerland
$8.9M
5
Morgan Stanley
Morgan Stanley
New York
$14M
Name Holding Trade Value Shares
Change 		Shares
Change %
NIT
151
NumerixS Investment Technologies
British Columbia, Canada
$92K -$255K -37,926 -73%
MIS
152
Morningstar Investment Services
Illinois
$92K +$92K +13,682 New
SWP
153
Stratos Wealth Partners
Ohio
$91K -$151K -22,415 -62%
BNP Paribas Financial Markets
154
BNP Paribas Financial Markets
France
$90K +$77.6K +11,520 +628%
William Blair & Company
155
William Blair & Company
Illinois
$88K – – –
AFNAS
156
American Financial Network Advisory Services
California
$87K – – –
FNBOMD
157
First National Bank of Mount Dora
Florida
$87K +$87K +12,900 New
CA
158
Callahan Advisors
Texas
$84K +$2.71K +400 +3%
Envestnet Asset Management
159
Envestnet Asset Management
Illinois
$82K +$10.6K +1,576 +15%
CG
160
CFO4Life Group
Texas
$79K – – –
SIS
161
Sound Income Strategies
Florida
$76K +$76K +11,089 New
TA
162
Tiedemann Advisors
New York
$75K – – –
Balyasny Asset Management
163
Balyasny Asset Management
Illinois
$74K -$273K -40,632 -79%
MC
164
Moors & Cabot
Massachusetts
$69K -$5.87K -866 -8%
ASN
165
Advisory Services Network
Georgia
$63K -$19.7K -2,945 -24%
WEC
166
Winslow Evans & Crocker
Massachusetts
$61.4K -$4.99K -740 -8%
KTC
167
Kistler-Tiffany Companies
Pennsylvania
$60K +$13.7K +2,040 +29%
FANJ
168
Financial Architects (New Jersey)
New Jersey
$55K +$10.5K +1,542 +24%
CG
169
Cutler Group
California
$50K +$31.1K +4,692 +164%
AWM
170
AllSquare Wealth Management
New York
$47K – – –
CPIG
171
Chicago Partners Investment Group
Illinois
$46K +$10K +1,500 +28%
ST
172
Smithfield Trust
Pennsylvania
$41K – – –
Barclays
173
Barclays
United Kingdom
$39K -$4.3M -633,561 -99%
SPIA
174
Steward Partners Investment Advisory
New York
$37K +$37K +5,500 New
AWMS
175
Advocacy Wealth Management Services
Georgia
$34K -$20.7K -3,100 -38%
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