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Prospect Capital
PSEC

Overview Fund Activity

221 hedge funds and large institutions have $260M invested in Prospect Capital in 2019 Q1 according to their latest regulatory filings, with 24 funds opening new positions, 65 increasing their positions, 70 reducing their positions, and 40 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
221
Holders Change
-18
Holders Change %
-7.53%
% of All Funds
4.79%
Holding in Top 10
3
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.07%
New
24
Increased
65
Reduced
70
Closed
40
Calls
$4.21M
Puts
$19M
Net Calls
-$14.8M
Net Calls Change
+$17M

Top Buyers

1
Bank of Montreal
1
Bank of Montreal
Ontario, Canada
$11.5M
2
KBC Group
2
KBC Group
Belgium
$2.54M
3
Allianz Asset Management
3
Allianz Asset Management
Germany
$14.5M
4
PAM
4
PVG Asset Management
Colorado
$2.56M
5
Legal & General Group
5
Legal & General Group
United Kingdom
$11.9M

Top Sellers

1
UBS Group
1
UBS Group
Switzerland
$32.5M
2
Millennium Management
2
Millennium Management
New York
$93K
3
Arrowstreet Capital
3
Arrowstreet Capital
Massachusetts
$6.74M
4
D.E. Shaw & Co
4
D.E. Shaw & Co
New York
$219K
5
VanEck Associates
5
VanEck Associates
New York
$13M
Name Holding Trade Value Shares
Change 		Shares
Change %
AWM
151
AE Wealth Management
Kansas
$79K -$4.1K -632 -5%
CFGS
152
Concourse Financial Group Securities
Alabama
$79K +$7.52K +1,152 +11%
AGM
153
Alpine Global Management
New York
$78K +$78K +11,981 New
BSW
154
Buckingham Strategic Wealth
Missouri
$78K +$78K +12,000 New
CFD
155
Creative Financial Designs
Indiana
$77K -$80.9K -12,455 -51%
CIA
156
Capital Investment Advisors
Georgia
$74K -$44.8K -6,910 -38%
HighTower Advisors
157
HighTower Advisors
Illinois
$73K -$14K -2,100 -16%
TA
158
Tiedemann Advisors
New York
$72K – – –
SRC
159
Shufro Rose & Co
New York
$72K – – –
SQA
160
Simon Quick Advisors
New Jersey
$67K +$67K +10,255 New
HF
161
HRT Financial
New York
$66K -$617K -95,698 -90%
SIS
162
Sound Income Strategies
Florida
$57K – – –
RFA
163
Reilly Financial Advisors
California
$51K – – –
APA
164
American Portfolios Advisors
New York
$45.7K +$17K +2,611 +59%
HWA
165
HCR Wealth Advisors
California
$41K +$41K +16,359 New
WEC
166
Winslow Evans & Crocker
Massachusetts
$40K – – –
ST
167
Smithfield Trust
Pennsylvania
$40K – – –
Barclays
168
Barclays
United Kingdom
$39K -$125K -19,275 -76%
AWM
169
AllSquare Wealth Management
New York
$39K – – –
FHA
170
Flagship Harbor Advisors
Massachusetts
$37K +$14.7K +2,291 +66%
SF
171
Synovus Financial
Georgia
$36K – – –
AWMS
172
Advocacy Wealth Management Services
Georgia
$33K – – –
SMFS
173
Squar Milner Financial Services
California
$32K – – –
WB
174
Webster Bank
Connecticut
$31K – – –
RCAG
175
Rehmann Capital Advisory Group
Michigan
$28.8K +$769 +118 +3%
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7
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