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Prospect Capital
PSEC

Overview Fund Activity

218 hedge funds and large institutions have $517M invested in Prospect Capital in 2017 Q1 according to their latest regulatory filings, with 31 funds opening new positions, 70 increasing their positions, 69 reducing their positions, and 21 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
218
Holders Change
+6
Holders Change %
+2.83%
% of All Funds
5.44%
Holding in Top 10
3
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.07%
New
31
Increased
70
Reduced
69
Closed
21
Calls
$5.66M
Puts
$50.9M
Net Calls
-$45.3M
Net Calls Change
+$9.65M

Top Buyers

1
MC
1
Muzinich & Co
New York
$109M
2
BlackRock
2
BlackRock
New York
$22.4M
3
PAM
3
Panagora Asset Management
Massachusetts
$9.98M
4
California Public Employees Retirement System
4
California Public Employees Retirement System
California
$6.75M
5
LSV Asset Management
5
LSV Asset Management
Illinois
$16.1M

Top Sellers

1
AM
1
Ares Management
California
$0
2
AFG
2
American Financial Group
Ohio
$0
3
UBS Group
3
UBS Group
Switzerland
$5.2M
4
MIAN
4
Mariner Independent Advisor Network
Kansas
$0
5
Morgan Stanley
5
Morgan Stanley
New York
$15.6M
Name Holding Trade Value Shares
Change 		Shares
Change %
Envestnet Asset Management
176
Envestnet Asset Management
Illinois
$80K -$167K -18,454 -68%
ACS
177
Archford Capital Strategies
Illinois
$75K -$551K -60,930 -88%
KTC
178
Kistler-Tiffany Companies
Pennsylvania
$63K – – –
AWM
179
AllSquare Wealth Management
New York
$63K – – –
FANJ
180
Financial Architects (New Jersey)
New Jersey
$59K +$32.6K +3,593 +124%
ST
181
Smithfield Trust
Pennsylvania
$55K – – –
GRP
182
Global Retirement Partners
California
$50K -$4.25K -472 -8%
PCM
183
Penserra Capital Management
California
$45K -$6.25K -705 -12%
LCM
184
Liberty Capital Management
Michigan
$44K – – –
WB
185
Webster Bank
Connecticut
$44K – – –
MWM
186
MinichMacGregor Wealth Management
New York
$43K -$2.34K -261 -5%
NSIM
187
North Star Investment Management
Illinois
$41K – – –
CPIG
188
Chicago Partners Investment Group
Illinois
$35K – – –
AIM
189
Advantage Investment Management
Iowa
$35K +$35K +3,924 New
Simplex Trading
190
Simplex Trading
Illinois
$33K +$25.9K +2,893 +366%
Fifth Third Bancorp
191
Fifth Third Bancorp
Ohio
$27K – – –
JCM
192
Jacobi Capital Management
Pennsylvania
$22K – – –
Bessemer Group
193
Bessemer Group
New Jersey
$20K +$20K +2,248 New
PMFA
194
Plante Moran Financial Advisors
Michigan
$18K – – –
Northwestern Mutual Wealth Management
195
Northwestern Mutual Wealth Management
Wisconsin
$18K +$1.07K +118 +6%
SBL
196
Sargent Bickham Lagudis
Colorado
$16K – – –
PFGIA
197
Patriot Financial Group Insurance Agency
Massachusetts
$16K – – –
BNP Paribas Financial Markets
198
BNP Paribas Financial Markets
France
$14.4K -$53K -5,862 -79%
SF
199
Synovus Financial
Georgia
$14K – – –
MI
200
Markston International
New York
$11K – – –
6 7
8
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