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Prospect Capital
PSEC

Overview Fund Activity

224 hedge funds and large institutions have $381M invested in Prospect Capital in 2018 Q3 according to their latest regulatory filings, with 29 funds opening new positions, 70 increasing their positions, 69 reducing their positions, and 20 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
224
Holders Change
+8
Holders Change %
+3.7%
% of All Funds
5.13%
Holding in Top 10
3
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.07%
New
29
Increased
70
Reduced
69
Closed
20
Calls
$3.57M
Puts
$24.9M
Net Calls
-$21.3M
Net Calls Change
-$2.89M

Top Buyers

1
CS
Credit Suisse
Switzerland
$20.3M
2
Arrowstreet Capital
Arrowstreet Capital
Massachusetts
$18.4M
3
Two Sigma Investments
Two Sigma Investments
New York
$11.9M
4
Allianz Asset Management
Allianz Asset Management
Germany
$5.66M
5
Two Sigma Advisers
Two Sigma Advisers
New York
$6.18M

Top Sellers

1
MC
Muzinich & Co
New York
$36.9M
2
Deutsche Bank
Deutsche Bank
Germany
$8.71M
3
AM
Ares Management
California
$0
4
Invesco
Invesco
Georgia
$16.2M
5
QOP
Quinn Opportunity Partners
Virginia
$4.28M
Name Holding Trade Value Shares
Change 		Shares
Change %
CA
151
Callahan Advisors
Texas
$91K – – –
Prudential Financial
152
Prudential Financial
New Jersey
$89K -$24.1K -3,300 -21%
CG
153
CFO4Life Group
Texas
$86K – – –
PNC Financial Services Group
154
PNC Financial Services Group
Pennsylvania
$86K +$21.8K +3,000 +34%
SRC
155
Shufro Rose & Co
New York
$81K -$18.4K -2,500 -19%
TA
156
Tiedemann Advisors
New York
$81K – – –
AWM
157
AE Wealth Management
Kansas
$78K +$1.73K +235 +2%
ACP
158
Aviance Capital Partners
Florida
$74K -$38.8K -5,275 -34%
TRCT
159
Tower Research Capital (TRC)
New York
$72K +$37.4K +5,085 +108%
SIS
160
Sound Income Strategies
Florida
$66K +$1.69K +230 +3%
CFGS
161
Concourse Financial Group Securities
Alabama
$61K +$61K +8,258 New
ASN
162
Advisory Services Network
Georgia
$56K +$197 +27 +0.4%
CWA
163
Clarus Wealth Advisors
Arizona
$54K +$3.91K +534 +8%
WEC
164
Winslow Evans & Crocker
Massachusetts
$46K -$5.05K -670 -10%
ST
165
Smithfield Trust
Pennsylvania
$45K – – –
AWM
166
AllSquare Wealth Management
New York
$44K – – –
SF
167
Synovus Financial
Georgia
$40K – – –
SMFS
168
Squar Milner Financial Services
California
$37K – – –
AWMS
169
Advocacy Wealth Management Services
Georgia
$37K – – –
WB
170
Webster Bank
Connecticut
$35K – – –
APA
171
American Portfolios Advisors
New York
$32.3K – – –
RCAG
172
Rehmann Capital Advisory Group
Michigan
$30.7K +$762 +104 +3%
CG
173
Cutler Group
California
$29K -$8.74K -1,200 -23%
JCM
174
Jacobi Capital Management
Pennsylvania
$29K – – –
Walleye Trading
175
Walleye Trading
New York
$27K -$44K -6,098 -62%
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