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Prospect Capital
PSEC

194 hedge funds and large institutions have $258M invested in Prospect Capital in 2021 Q3 according to their latest regulatory filings, with 19 funds opening new positions, 80 increasing their positions, 49 reducing their positions, and 27 closing their positions.

New
Increased
Maintained
Reduced
Closed

63% more repeat investments, than reductions

Existing positions increased: 80 | Existing positions reduced: 49

55% more call options, than puts

Call options by funds: $7.8M | Put options by funds: $5.03M

0% more funds holding in top 10

Funds holding in top 10: 2 → 2 (0)

1.11% less ownership

Funds ownership: 9.74% → 8.63% (-1.1%)

4% less funds holding

Funds holding: 202 → 194 (-8)

19% less capital invested

Capital invested by funds: $317M → $258M (-$58.9M)

30% less first-time investments, than exits

New positions opened: 19 | Existing positions closed: 27

Holders
194
Holders Change
-8
Holders Change %
-3.96%
% of All Funds
3.4%
Holding in Top 10
2
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.04%
New
19
Increased
80
Reduced
49
Closed
27
Calls
$7.8M
Puts
$5.03M
Net Calls
+$2.77M
Net Calls Change
+$1.29M

Top Buyers

Rank Fund Capital Flow
1
Two Sigma Advisers
Two Sigma Advisers
New York
+$15.5M
2
BlackRock
BlackRock
New York
+$4.56M
3
VanEck Associates
VanEck Associates
New York
+$4.49M
4
Two Sigma Investments
Two Sigma Investments
New York
+$3.36M
5
Allianz Asset Management
Allianz Asset Management
Germany
+$2.92M

Top Sellers

Rank Fund Capital Flow
1
Arrowstreet Capital
Arrowstreet Capital
Massachusetts
-$30.7M
2
LSV Asset Management
LSV Asset Management
Illinois
-$30M
3
SCF
Sante Capital Fund
Texas
-$3.39M
4
Citadel Advisors
Citadel Advisors
Florida
-$2.23M
5
Marshall Wace
Marshall Wace
United Kingdom
-$1.64M
Name Holding Trade Value Shares
Change 		Change in
Stake
BCV
151
Banque Cantonale Vaudoise
Switzerland
$31K – – –
CHA
152
Carmichael Hill & Associates
Maryland
$31K – – –
Northwestern Mutual Wealth Management
153
Northwestern Mutual Wealth Management
Wisconsin
$27K -$26K -3,225 -48%
JCM
154
Jacobi Capital Management
Pennsylvania
$27K – – –
TWA
155
TCI Wealth Advisors
Arizona
$25K -$347 -43 -1%
FCMT
156
Founders Capital Management (Texas)
Texas
$23K – – –
LC
157
Lindbrook Capital
California
$21K +$185 +23 +0.9%
PA
158
Parallel Advisors
California
$21K +$508 +63 +2%
WB
159
Webster Bank
Connecticut
$20K – – –
FMP
160
Financial Management Professionals
Texas
$20K +$20.6K +2,555 New
GAM
161
Gemmer Asset Management
California
$18K – – –
WBC
162
West Branch Capital
Massachusetts
$16K – – –
NFG
163
Next Financial Group
Texas
$16K +$4.55K +565 +38%
PP
164
PrairieView Partners
Minnesota
$15K – – –
CWAF
165
Core Wealth Advisors (Florida)
Florida
$15K +$363 +45 +2%
AF
166
Advisornet Financial
Minnesota
$15K +$1.5K +186 +11%
HNB
167
Huntington National Bank
Ohio
$12K – – –
SFA
168
Semmax Financial Advisors
North Carolina
$11K – – –
KTC
169
Kistler-Tiffany Companies
Pennsylvania
$10K – – –
DFCM
170
Dark Forest Capital Management
Puerto Rico
$10K +$9.99K +1,239 New
PA
171
PSI Advisors
Florida
$10K +$10.2K +1,260 New
BNP Paribas Financial Markets
172
BNP Paribas Financial Markets
France
$8.15K -$161 -20 -2%
Fifth Third Bancorp
173
Fifth Third Bancorp
Ohio
$8K – – –
FGAM
174
Financial Gravity Asset Management
Texas
$8K – – –
GCM
175
Gables Capital Management
Florida
$8K – – –
5 6
7
8 9

PSEC Hedge Fund Activity: Q3 2021 in Review

194 of the 5,712 institutional investors tracked by Wall St. Rank reported a position in Prospect Capital (PSEC) for Q3 2021, worth a combined $258M — down 19% from $317M a quarter earlier.

Sellers outnumbered buyers: 27 funds closed out of PSEC and 19 opened new positions — a net loss of 8 holders — while 49 trimmed existing stakes and 80 added.

The largest buyer was Two Sigma Advisers, adding an estimated $15.5M. The largest seller was Arrowstreet Capital, exiting entirely with an estimated $30.7M sold.

  • 194 institutional investors held Prospect Capital (PSEC) as of Q3 2021, down from 202 in Q2 2021.
  • Funds reported $258M of Prospect Capital stock for Q3 2021, down 19% quarter-over-quarter.
  • 19 funds opened new Prospect Capital positions in Q3 2021 and 27 closed out, a net change of -8 holders.
  • The largest Prospect Capital buyer in Q3 2021 was Two Sigma Advisers, an estimated $15.5M added.
  • The largest Prospect Capital seller in Q3 2021 was Arrowstreet Capital, an estimated $30.7M sold.

Based on aggregated 13F filings for Q3 2021.