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Prospect Capital

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

50% more funds holding in top 10

Funds holding in top 10: 23 (+1)

34% more first-time investments, than exits

New positions opened: 47 | Existing positions closed: 35

5% more funds holding

Funds holding: 210221 (+11)

1.4% less ownership

Funds ownership: 15.71%14.31% (-1.4%)

9% less capital invested

Capital invested by funds: $380M → $347M (-$32.8M)

38% less repeat investments, than reductions

Existing positions increased: 53 | Existing positions reduced: 86

58% less call options, than puts

Call options by funds: $22.1M | Put options by funds: $52.5M

Holders
221
Holders Change
+11
Holders Change %
+5.24%
% of All Funds
5.01%
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
Name Holding Trade Value Shares
Change
Change in
Stake
NIT
151
NumerixS Investment Technologies
British Columbia, Canada
$92K -$247K -37,926 -73%
MIS
152
Morningstar Investment Services
Illinois
$92K +$89.2K +13,682 New
SWP
153
Stratos Wealth Partners
Ohio
$91K -$146K -22,415 -62%
BNP Paribas Financial Markets
154
BNP Paribas Financial Markets
France
$90K +$75.1K +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 +$84.1K +12,900 New
CA
158
Callahan Advisors
Texas
$84K +$2.61K +400 +3%
Envestnet Asset Management
159
Envestnet Asset Management
Illinois
$82K +$10.3K +1,576 +15%
CG
160
CFO4Life Group
Texas
$79K
SIS
161
Sound Income Strategies
Florida
$76K +$72.3K +11,089 New
TA
162
Tiedemann Advisors
New York
$75K
Balyasny Asset Management
163
Balyasny Asset Management
Illinois
$74K -$265K -40,632 -79%
MC
164
Moors & Cabot
Massachusetts
$69K -$5.65K -866 -8%
ASN
165
Advisory Services Network
Georgia
$63K -$19.2K -2,945 -24%
WEC
166
Winslow Evans & Crocker
Massachusetts
$61.4K -$4.83K -740 -8%
KTC
167
Kistler-Tiffany Companies
Pennsylvania
$60K +$13.3K +2,040 +29%
FANJ
168
Financial Architects (New Jersey)
New Jersey
$55K +$10.1K +1,542 +24%
CG
169
Cutler Group
California
$50K +$30.6K +4,692 +164%
AWM
170
AllSquare Wealth Management
New York
$47K
CPIG
171
Chicago Partners Investment Group
Illinois
$46K +$9.78K +1,500 +28%
ST
172
Smithfield Trust
Pennsylvania
$41K
Barclays
173
Barclays
United Kingdom
$39K -$4.13M -633,561 -99%
SPIA
174
Steward Partners Investment Advisory
New York
$37K +$35.9K +5,500 New
AWMS
175
Advocacy Wealth Management Services
Georgia
$34K -$20.2K -3,100 -38%

PSEC Hedge Fund Activity: Q4 2017 in Review

221 of the 4,409 institutional investors tracked by Wall St. Rank reported a position in Prospect Capital (PSEC) for Q4 2017, worth a combined $347M — down 8.6% from $380M a quarter earlier.

Buyers outnumbered sellers: 47 funds opened new PSEC positions and 35 closed out — a net gain of 12 holders — while 53 added to existing stakes and 86 trimmed.

The largest buyer was Two Sigma Investments, adding an estimated $10.5M. The largest seller was Bank of Montreal, cutting an estimated $24.1M.

  • 221 institutional investors held Prospect Capital (PSEC) as of Q4 2017, up from 210 in Q3 2017.
  • Funds reported $347M of Prospect Capital stock for Q4 2017, down 8.6% quarter-over-quarter.
  • 47 funds opened new Prospect Capital positions in Q4 2017 and 35 closed out, a net change of +12 holders.
  • The largest Prospect Capital buyer in Q4 2017 was Two Sigma Investments, an estimated $10.5M added.
  • The largest Prospect Capital seller in Q4 2017 was Bank of Montreal, an estimated $24.1M sold.

Based on aggregated 13F filings for Q4 2017.