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Prospect Capital

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

51% more repeat investments, than reductions

Existing positions increased: 86 | Existing positions reduced: 57

5% less capital invested

Capital invested by funds: $364M → $346M (-$18.1M)

6% less first-time investments, than exits

New positions opened: 29 | Existing positions closed: 31

1% less funds holding

Funds holding: 209206 (-3)

33% less funds holding in top 10

Funds holding in top 10: 64 (-2)

73% less call options, than puts

Call options by funds: $3.34M | Put options by funds: $12.4M

Holders
206
Holders Change
-3
Holders Change %
-1.44%
% of All Funds
5.4%
Holding in Top 10
4
Holding in Top 10 Change
-2
Holding in Top 10 Change %
-33.33%
% of All Funds
0.1%
New
29
Increased
86
Reduced
57
Closed
31
Calls
$3.34M
Puts
$12.4M
Net Calls
-$9.04M
Net Calls Change
-$2.89M
Name Holding Trade Value Shares
Change
Change in
Stake
WRM
176
Westport Resources Management
Connecticut
$31K
PCM
177
Penserra Capital Management
California
$30K +$30.8K +4,242 New
CPIG
178
Chicago Partners Investment Group
Illinois
$27K
DOA
179
D'Orazio & Associates
Virginia
$27K +$8.35K +1,150 +42%
KM
180
Kalos Management
Georgia
$26K
AIM
181
Advantage Investment Management
Iowa
$26K +$26.1K +3,601 +3,244%
PSC
182
Prentiss Smith & Co
Vermont
$25K
MWM
183
MinichMacGregor Wealth Management
New York
$23K +$21.4K +2,949 New
BNP Paribas Financial Markets
184
BNP Paribas Financial Markets
France
$22.3K +$994 +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 +$21.8K +3,000 New
GXMC
188
Global X Management Company
New York
$17K +$1.16K +160 +7%
PMFA
189
Plante Moran Financial Advisors
Michigan
$16K +$1.81K +250 +13%
GT
190
Glenmede Trust
Pennsylvania
$15K
EWM
191
Edge Wealth Management
New York
$14K +$14.5K +2,000 New
PSI
192
Pinnacle Summer Investments
Virginia
$13K -$117K -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 -$67.4K -9,288 -88%
IWMPD
196
Integrated Wealth Management (Palm Desert)
California
$7K
ADL
197
Asset Dedication LLC
California
$7K +$7.26K +1,000 New
FHA
198
First Horizon Advisors
Tennessee
$7K +$7.26K +1,000 New
AF
199
Allworth Financial
California
$6K
S
200
SignatureFD
Georgia
$6K +$6.17K +850 New

PSEC Hedge Fund Activity: Q4 2015 in Review

206 of the 3,812 institutional investors tracked by Wall St. Rank reported a position in Prospect Capital (PSEC) for Q4 2015, worth a combined $346M — down 5% from $364M a quarter earlier.

Sellers outnumbered buyers: 31 funds closed out of PSEC and 29 opened new positions — a net loss of 2 holders — while 57 trimmed existing stakes and 86 added.

The largest buyer was Bank of Montreal, adding an estimated $16.7M. The largest seller was UBS Group, cutting an estimated $17M.

  • 206 institutional investors held Prospect Capital (PSEC) as of Q4 2015, down from 209 in Q3 2015.
  • Funds reported $346M of Prospect Capital stock for Q4 2015, down 5% quarter-over-quarter.
  • 29 funds opened new Prospect Capital positions in Q4 2015 and 31 closed out, a net change of -2 holders.
  • The largest Prospect Capital buyer in Q4 2015 was Bank of Montreal, an estimated $16.7M added.
  • The largest Prospect Capital seller in Q4 2015 was UBS Group, an estimated $17M sold.

Based on aggregated 13F filings for Q4 2015.