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Prospect Capital
PSEC

Overview Fund Activity

217 hedge funds and large institutions have $302M invested in Prospect Capital in 2016 Q1 according to their latest regulatory filings, with 36 funds opening new positions, 62 increasing their positions, 77 reducing their positions, and 23 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
217
Holders Change
+11
Holders Change %
+5.34%
% of All Funds
5.79%
Holding in Top 10
4
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.11%
New
36
Increased
62
Reduced
77
Closed
23
Calls
$8.94M
Puts
$41.7M
Net Calls
-$32.8M
Net Calls Change
-$23.8M

Top Buyers

1
Barclays
1
Barclays
United Kingdom
$7M
2
AL
2
Airain Ltd
Guernsey
$2.03M
3
LSV Asset Management
3
LSV Asset Management
Illinois
$8.03M
4
UBS Group
4
UBS Group
Switzerland
$19M
5
PP
5
PDT Partners
New York
$1.48M

Top Sellers

1
Deutsche Bank
1
Deutsche Bank
Germany
$5.22M
2
CS
2
Credit Suisse
Switzerland
$580K
3
MP
3
Mangrove Partners
Connecticut
$0
4
Wellington Management Group
4
Wellington Management Group
Massachusetts
$6.87M
5
Susquehanna International Group
5
Susquehanna International Group
Pennsylvania
$1.89M
Name Holding Trade Value Shares
Change 		Shares
Change %
CAM
176
Concorde Asset Management
Michigan
$75K -$3.7K -507 -5%
William Blair & Company
177
William Blair & Company
Illinois
$75K +$75K +10,450 New
NG
178
NatWest Group
United Kingdom
$74K – – –
AIP
179
Ameritas Investment Partners
Nebraska
$68K – – –
Fifth Third Bancorp
180
Fifth Third Bancorp
Ohio
$67K +$45.2K +6,200 +207%
AWM
181
AllSquare Wealth Management
New York
$51K – – –
KTC
182
Kistler-Tiffany Companies
Pennsylvania
$50K – – –
PG
183
PEAK6 Group
Illinois
$50K +$50K +6,884 New
ST
184
Smithfield Trust
Pennsylvania
$45K – – –
TRCT
185
Tower Research Capital (TRC)
New York
$40K +$31.3K +4,331 +359%
JFA
186
JNBA Financial Advisors
Minnesota
$40K +$40K +5,500 New
NFG
187
Next Financial Group
Texas
$37K -$5.73K -801 -13%
MWM
188
MinichMacGregor Wealth Management
New York
$34K +$12.7K +1,754 +59%
WRM
189
Westport Resources Management
Connecticut
$33K – – –
DOA
190
D'Orazio & Associates
Virginia
$33K +$5.47K +775 +20%
CPIG
191
Chicago Partners Investment Group
Illinois
$28K – – –
TFA
192
Transamerica Financial Advisors
Florida
$22K – – –
GXMC
193
Global X Management Company
New York
$18K – – –
GT
194
Glenmede Trust
Pennsylvania
$16K – – –
PMFA
195
Plante Moran Financial Advisors
Michigan
$15K -$1.88K -250 -11%
PSC
196
Prentiss Smith & Co
Vermont
$13K -$13K -1,800 -50%
Northwestern Mutual Wealth Management
197
Northwestern Mutual Wealth Management
Wisconsin
$13K +$8.76K +1,187 +206%
RFA
198
Reilly Financial Advisors
California
$13K +$13K +1,750 New
MI
199
Markston International
New York
$12K – – –
IIM
200
Ipswich Investment Management
Massachusetts
$12K +$12K +1,700 New
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8
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