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Prospect Capital
PSEC

Overview Fund Activity

221 hedge funds and large institutions have $260M invested in Prospect Capital in 2019 Q1 according to their latest regulatory filings, with 24 funds opening new positions, 65 increasing their positions, 70 reducing their positions, and 40 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
221
Holders Change
-18
Holders Change %
-7.53%
% of All Funds
4.79%
Holding in Top 10
3
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.07%
New
24
Increased
65
Reduced
70
Closed
40
Calls
$4.21M
Puts
$19M
Net Calls
-$14.8M
Net Calls Change
+$17M

Top Buyers

1
Bank of Montreal
1
Bank of Montreal
Ontario, Canada
$11.5M
2
KBC Group
2
KBC Group
Belgium
$2.54M
3
Allianz Asset Management
3
Allianz Asset Management
Germany
$14.5M
4
PAM
4
PVG Asset Management
Colorado
$2.56M
5
Legal & General Group
5
Legal & General Group
United Kingdom
$11.9M

Top Sellers

1
UBS Group
1
UBS Group
Switzerland
$32.5M
2
Millennium Management
2
Millennium Management
New York
$93K
3
Arrowstreet Capital
3
Arrowstreet Capital
Massachusetts
$6.74M
4
D.E. Shaw & Co
4
D.E. Shaw & Co
New York
$219K
5
VanEck Associates
5
VanEck Associates
New York
$13M
Name Holding Trade Value Shares
Change 		Shares
Change %
EI
176
Ellevest Inc
New York
$28K – – –
CWA
177
Clarus Wealth Advisors
Arizona
$27K -$20K -3,025 -43%
PNC Financial Services Group
178
PNC Financial Services Group
Pennsylvania
$25K – – –
JCM
179
Jacobi Capital Management
Pennsylvania
$25K – – –
MC
180
Muzinich & Co
New York
$24.8K -$5.24K -802,373 -17%
FCMT
181
Founders Capital Management (Texas)
Texas
$20K – – –
AF
182
Advisornet Financial
Minnesota
$20K +$516 +80 +3%
EWM
183
Executive Wealth Management
Michigan
$18K – – –
PGWM
184
Parisi Gray Wealth Management
New Jersey
$16K – – –
GSWM
185
Golden State Wealth Management
California
$16K +$16K +2,450 New
PI
186
PineBridge Investments
New York
$14K -$1.6M -247,019 -99%
FHA
187
First Horizon Advisors
Tennessee
$13K – – –
FANJ
188
Financial Architects (New Jersey)
New Jersey
$13K +$13K +2,000 New
SBL
189
Sargent Bickham Lagudis
Colorado
$10K – – –
SFA
190
Semmax Financial Advisors
North Carolina
$10K – – –
JPLA
191
Joseph P. Lucia & Associates
New York
$9.69K +$9.69K +63,822 New
KTC
192
Kistler-Tiffany Companies
Pennsylvania
$9K – – –
BC
193
Barnett & Company
Tennessee
$8K – – –
NFG
194
Next Financial Group
Texas
$8K +$1.63K +255 +26%
LFA
195
Legacy Financial Advisors
Kentucky
$8K +$8K +1,200 New
NFH
196
NEXT Financial Holdings
Texas
$8K +$8K +1,255 New
GCM
197
Gables Capital Management
Florida
$7K -$7K -1,000 -50%
EWM
198
Edge Wealth Management
New York
$7K – – –
WAP
199
Wealthcare Advisory Partners
Pennsylvania
$7K – – –
BNP Paribas Financial Markets
200
BNP Paribas Financial Markets
France
$6.9K – – –
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8
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