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Prospect Capital
PSEC

Overview Fund Activity

206 hedge funds and large institutions have $346M invested in Prospect Capital in 2015 Q4 according to their latest regulatory filings, with 29 funds opening new positions, 86 increasing their positions, 57 reducing their positions, and 31 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
206
Holders Change
-3
Holders Change %
-1.44%
% of All Funds
5.41%
Holding in Top 10
4
Holding in Top 10 Change
-2
Holding in Top 10 Change %
-33.33%
% of All Funds
0.11%
New
29
Increased
86
Reduced
57
Closed
31
Calls
$3.34M
Puts
$12.4M
Net Calls
-$9.04M
Net Calls Change
-$2.89M

Top Buyers

1
Bank of Montreal
Bank of Montreal
Ontario, Canada
$28.1M
2
Two Sigma Investments
Two Sigma Investments
New York
$10.2M
3
LPL Financial
LPL Financial
California
$4.77M
4
Millennium Management
Millennium Management
New York
$2.36M
5
Wellington Management Group
Wellington Management Group
Massachusetts
$11.6M

Top Sellers

1
UBS Group
UBS Group
Switzerland
$16.4M
2
SCM
Scopia Capital Management
New York
$698K
3
Deutsche Bank
Deutsche Bank
Germany
$11.9M
4
PAM
PVG Asset Management
Colorado
$5.11M
5
HSBC Holdings
HSBC Holdings
United Kingdom
$0
Name Holding Trade Value Shares
Change 		Shares
Change %
WRM
176
Westport Resources Management
Connecticut
$31K – – –
PCM
177
Penserra Capital Management
California
$30K +$30K +4,242 New
CPIG
178
Chicago Partners Investment Group
Illinois
$27K – – –
DOA
179
D'Orazio & Associates
Virginia
$27K +$7.96K +1,150 +42%
KM
180
Kalos Management
Georgia
$26K – – –
AIM
181
Advantage Investment Management
Iowa
$26K +$25.2K +3,601 +3,244%
PSC
182
Prentiss Smith & Co
Vermont
$25K – – –
MWM
183
MinichMacGregor Wealth Management
New York
$23K +$23K +2,949 New
BNP Paribas Financial Markets
184
BNP Paribas Financial Markets
France
$22.3K +$956 +137 +4%
DBT
185
Dubuque Bank & Trust
Iowa
$22K – – –
TFA
186
Transamerica Financial Advisors
Florida
$21K – – –
Fifth Third Bancorp
187
Fifth Third Bancorp
Ohio
$21K +$21K +3,000 New
GXMC
188
Global X Management Company
New York
$17K +$1.1K +160 +7%
PMFA
189
Plante Moran Financial Advisors
Michigan
$16K +$1.78K +250 +13%
GT
190
Glenmede Trust
Pennsylvania
$15K – – –
EWM
191
Edge Wealth Management
New York
$14K +$14K +2,000 New
PSI
192
Pinnacle Summer Investments
Virginia
$13K -$1.58K -16,139 -11%
MI
193
Markston International
New York
$12K – – –
NSIM
194
North Star Investment Management
Illinois
$10K – – –
TRCT
195
Tower Research Capital (TRC)
New York
$8K -$61.6K -9,288 -88%
IWM
196
Integrated Wealth Management
California
$7K – – –
FHA
197
First Horizon Advisors
Tennessee
$7K +$7K +1,000 New
ADL
198
Asset Dedication LLC
California
$7K +$7K +1,000 New
AF
199
Allworth Financial
California
$6K – – –
S
200
SignatureFD
Georgia
$6K +$6K +850 New
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