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Prospect Capital
PSEC

Overview Fund Activity

222 hedge funds and large institutions have $457M invested in Prospect Capital in 2015 Q1 according to their latest regulatory filings, with 33 funds opening new positions, 87 increasing their positions, 59 reducing their positions, and 29 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
222
Holders Change
+3
Holders Change %
+1.37%
% of All Funds
5.92%
Holding in Top 10
7
Holding in Top 10 Change
+1
Holding in Top 10 Change %
+16.67%
% of All Funds
0.19%
New
33
Increased
87
Reduced
59
Closed
29
Calls
$3.62M
Puts
$8.97M
Net Calls
-$5.36M
Net Calls Change
-$1.07M

Top Buyers

1
UBS Group
1
UBS Group
Switzerland
$67.5M
2
MUSU
2
Mitsubishi UFJ Securities (USA)
New York
$8.86M
3
LPL Financial
3
LPL Financial
California
$14.7M
4
YMRC
4
Yorktown Management & Research Company
Virginia
$7.99M
5
SC
5
Selz Capital
New York
$8.51M

Top Sellers

1
Millennium Management
1
Millennium Management
New York
$111K
2
RCM
2
Rivernorth Capital Management
Florida
$705K
3
Two Sigma Investments
3
Two Sigma Investments
New York
$0
4
Citadel Advisors
4
Citadel Advisors
Florida
$4.93M
5
Invesco
5
Invesco
Georgia
$8.7M
Name Holding Trade Value Shares
Change 		Shares
Change %
CIBC Asset Management
176
CIBC Asset Management
Ontario, Canada
$90K +$90K +10,592 New
IF
177
IRON Financial
Illinois
$89K – – –
BF
178
BOK Financial
Oklahoma
$89K +$89K +10,500 New
SWP
179
Stratos Wealth Partners
Ohio
$87K +$87K +10,225 New
Northern Trust
180
Northern Trust
Illinois
$86K -$44.5K -5,287 -34%
VFA
181
Voya Financial Advisors
Connecticut
$86K +$86K +10,230 New
SCM
182
Sterneck Capital Management
Missouri
$85K +$85K +10,000 New
SIA
183
Stancorp Investment Advisers
Oregon
$79K – – –
MCM
184
McGlinn Capital Management
Pennsylvania
$76K -$8.44K -1,000 -10%
FMT
185
First Mercantile Trust
Tennessee
$61K – – –
SFWA
186
Summit Financial Wealth Advisors
Louisiana
$61K +$38.8K +4,770 +175%
AWM
187
AllSquare Wealth Management
New York
$59K – – –
Barclays
188
Barclays
United Kingdom
$52K -$111K -13,672 -68%
ST
189
Smithfield Trust
Pennsylvania
$51K – – –
NFG
190
Next Financial Group
Texas
$49K +$28K +3,344 +134%
KTC
191
Kistler-Tiffany Companies
Pennsylvania
$47K – – –
TFA
192
Transamerica Financial Advisors
Florida
$39K +$17K +2,000 +77%
WRM
193
Westport Resources Management
Connecticut
$38K +$12.7K +1,500 +50%
SHJ
194
Sharkey, Howes & Javer
Colorado
$38K +$38K +4,500 New
ASN
195
Advisory Services Network
Georgia
$34K – – –
CPIG
196
Chicago Partners Investment Group
Illinois
$33K +$742 +89 +2%
PSC
197
Prentiss Smith & Co
Vermont
$30K – – –
GWA
198
Genesis Wealth Advisors
Massachusetts
$29.4K – – –
Fifth Third Bancorp
199
Fifth Third Bancorp
Ohio
$23K +$23K +2,708 New
FNBT
200
FineMark National Bank & Trust
Florida
$22K +$164 +19 +0.8%
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