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Prospect Capital
PSEC

Overview Fund Activity

204 hedge funds and large institutions have $311M invested in Prospect Capital in 2016 Q2 according to their latest regulatory filings, with 17 funds opening new positions, 76 increasing their positions, 62 reducing their positions, and 28 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
204
Holders Change
-13
Holders Change %
-5.99%
% of All Funds
5.45%
Holding in Top 10
5
Holding in Top 10 Change
+1
Holding in Top 10 Change %
+25%
% of All Funds
0.13%
New
17
Increased
76
Reduced
62
Closed
28
Calls
$8.09M
Puts
$54.8M
Net Calls
-$46.8M
Net Calls Change
-$14M

Top Buyers

1
Bank of Montreal
Bank of Montreal
Ontario, Canada
$32.5M
2
RIA
RPG Investment Advisory
California
$4.31M
3
D.E. Shaw & Co
D.E. Shaw & Co
New York
$3.52M
4
BCM
Beck Capital Management
Texas
$3.91M
5
BG
BlackRock Group
United Kingdom
$13.9M

Top Sellers

1
UBS Group
UBS Group
Switzerland
$8.57M
2
Two Sigma Investments
Two Sigma Investments
New York
$111K
3
Wellington Management Group
Wellington Management Group
Massachusetts
$0
4
AAM
Advisors Asset Management
Colorado
$9.19M
5
TNBTD
Trustmark National Bank Trust Department
Mississippi
$4.73M
Name Holding Trade Value Shares
Change 		Shares
Change %
WRM
176
Westport Resources Management
Connecticut
$35K – – –
NSIM
177
North Star Investment Management
Illinois
$35K +$23.3K +3,000 +200%
CPIG
178
Chicago Partners Investment Group
Illinois
$30K – – –
GXMC
179
Global X Management Company
New York
$30K +$10.3K +1,290 +52%
PCM
180
Penserra Capital Management
California
$28K – – –
Fifth Third Bancorp
181
Fifth Third Bancorp
Ohio
$23K -$47.5K -6,200 -67%
NIT
182
NumerixS Investment Technologies
British Columbia, Canada
$21K +$21K +2,700 New
AIM
183
Advantage Investment Management
Iowa
$20K +$14.4K +1,794 +254%
JCM
184
Jacobi Capital Management
Pennsylvania
$19K +$19K +2,400 New
DOA
185
D'Orazio & Associates
Virginia
$18K -$19K -2,400 -51%
PMFA
186
Plante Moran Financial Advisors
Michigan
$16K – – –
RFA
187
Reilly Financial Advisors
California
$14K – – –
MI
188
Markston International
New York
$13K – – –
BNP Paribas Financial Markets
189
BNP Paribas Financial Markets
France
$12.5K -$78.2K -10,000 -86%
GI
190
Gradient Investments
Minnesota
$9K +$1.41K +185 +19%
EWM
191
Edge Wealth Management
New York
$8K – – –
FHA
192
First Horizon Advisors
Tennessee
$8K – – –
IWM
193
Integrated Wealth Management
California
$8K – – –
BIG
194
Bellwether Investment Group
Tennessee
$8K +$8K +989 New
SCM
195
Southport Capital Management
Tennessee
$8K +$8K +1,000 New
GT
196
Glenmede Trust
Pennsylvania
$7K -$9.32K -1,300 -57%
AF
197
Allworth Financial
California
$6K – – –
WP
198
WealthPLAN Partners
Nebraska
$5.83K +$5.83K +3,486 New
TCOV
199
Trust Company of Vermont
Vermont
$4K – – –
WAS
200
Winch Advisory Services
Wisconsin
$4K – – –
6 7
8
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