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Prospect Capital
PSEC

Overview Fund Activity

209 hedge funds and large institutions have $364M invested in Prospect Capital in 2015 Q3 according to their latest regulatory filings, with 33 funds opening new positions, 62 increasing their positions, 77 reducing their positions, and 26 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
209
Holders Change
+5
Holders Change %
+2.45%
% of All Funds
5.84%
Holding in Top 10
6
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.17%
New
33
Increased
62
Reduced
77
Closed
26
Calls
$3.25M
Puts
$9.4M
Net Calls
-$6.15M
Net Calls Change
+$2.1M

Top Buyers

1
SCM
Scopia Capital Management
New York
$16.1M
2
JPMPWA
J.P. Morgan Private Wealth Advisors
California
$10.9M
3
HSBC Holdings
HSBC Holdings
United Kingdom
$3M
4
Morgan Stanley
Morgan Stanley
New York
$22.9M
5
BL
BCWM LLC
Kansas
$2.48M

Top Sellers

1
UBS Group
UBS Group
Switzerland
$33.5M
2
LPL Financial
LPL Financial
California
$2.64M
3
Deutsche Bank
Deutsche Bank
Germany
$20.9M
4
FIM
Freedom Investment Management
Connecticut
$277K
5
Two Sigma Investments
Two Sigma Investments
New York
$2.08M
Name Holding Trade Value Shares
Change 		Shares
Change %
ASN
176
Advisory Services Network
Georgia
$40K – – –
NFG
177
Next Financial Group
Texas
$36K -$162K -22,869 -82%
WRM
178
Westport Resources Management
Connecticut
$32K – – –
CPIG
179
Chicago Partners Investment Group
Illinois
$28K – – –
PSC
180
Prentiss Smith & Co
Vermont
$26K – – –
TFA
181
Transamerica Financial Advisors
Florida
$22K -$8.07K -1,100 -27%
DBT
182
Dubuque Bank & Trust
Iowa
$22K +$77 +11 +0.4%
BNP Paribas Financial Markets
183
BNP Paribas Financial Markets
France
$21.8K – – –
DOA
184
D'Orazio & Associates
Virginia
$20K +$3.64K +500 +22%
GXMC
185
Global X Management Company
New York
$17K +$17K +2,325 New
ST
186
Spot Trading
Illinois
$17K +$17K +2,388 New
GT
187
Glenmede Trust
Pennsylvania
$16K – – –
PMFA
188
Plante Moran Financial Advisors
Michigan
$14K +$14K +2,000 New
MI
189
Markston International
New York
$12K – – –
NSIM
190
North Star Investment Management
Illinois
$11K – – –
Northwestern Mutual Wealth Management
191
Northwestern Mutual Wealth Management
Wisconsin
$7K -$63K -9,000 -90%
ACS
192
Archford Capital Strategies
Illinois
$7K – – –
IWM
193
Integrated Wealth Management
California
$7K – – –
LYV
194
Live Your Vision
Pennsylvania
$7K +$7K +1,040 New
AF
195
Allworth Financial
California
$6K – – –
MAS
196
Madden Advisory Services
Florida
$6K – – –
WCBA
197
Weaver C. Barksdale & Associates
Tennessee
$3K – – –
HI
198
Hudock Inc
Pennsylvania
$3K +$30 +5 +1%
WAS
199
Winch Advisory Services
Wisconsin
$3K +$93 +14 +3%
SIM
200
Sonora Investment Management
Arizona
$3K +$3K +339 New
6 7
8
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