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Prospect Capital
PSEC

Overview Fund Activity

222 hedge funds and large institutions have $457M invested in Prospect Capital in 2015 Q1 according to their latest regulatory filings, with 33 funds opening new positions, 87 increasing their positions, 59 reducing their positions, and 29 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
222
Holders Change
+3
Holders Change %
+1.37%
% of All Funds
5.92%
Holding in Top 10
7
Holding in Top 10 Change
+1
Holding in Top 10 Change %
+16.67%
% of All Funds
0.19%
New
33
Increased
87
Reduced
59
Closed
29
Calls
$3.62M
Puts
$8.97M
Net Calls
-$5.36M
Net Calls Change
-$1.07M

Top Buyers

1
UBS Group
1
UBS Group
Switzerland
$67.5M
2
MUSU
2
Mitsubishi UFJ Securities (USA)
New York
$8.86M
3
LPL Financial
3
LPL Financial
California
$14.7M
4
YMRC
4
Yorktown Management & Research Company
Virginia
$7.99M
5
SC
5
Selz Capital
New York
$8.51M

Top Sellers

1
Millennium Management
1
Millennium Management
New York
$111K
2
RCM
2
Rivernorth Capital Management
Florida
$705K
3
Two Sigma Investments
3
Two Sigma Investments
New York
$0
4
Citadel Advisors
4
Citadel Advisors
Florida
$4.93M
5
Invesco
5
Invesco
Georgia
$8.7M
Name Holding Trade Value Shares
Change 		Shares
Change %
DOA
201
D'Orazio & Associates
Virginia
$19K – – –
GT
202
Glenmede Trust
Pennsylvania
$19K – – –
AIM
203
Advantage Investment Management
Iowa
$19K +$4.02K +464 +27%
DBT
204
Dubuque Bank & Trust
Iowa
$17K +$17K +2,000 New
NSIM
205
North Star Investment Management
Illinois
$13K – – –
Northwestern Mutual Wealth Management
206
Northwestern Mutual Wealth Management
Wisconsin
$12K +$10.8K +1,242 +900%
ACS
207
Archford Capital Strategies
Illinois
$8.45K – – –
IWM
208
Integrated Wealth Management
California
$8K +$8K +1,000 New
TRCT
209
Tower Research Capital (TRC)
New York
$6K -$184K -23,018 -97%
RAM
210
Riggs Asset Management
Pennsylvania
$6K – – –
PCM
211
Prelude Capital Management
New York
$6K +$6K +700 New
MI
212
Markston International
New York
$5K +$1.67K +200 +50%
WAS
213
Winch Advisory Services
Wisconsin
$4K +$4K +424 New
HI
214
Hudock Inc
Pennsylvania
$3K – – –
WCBA
215
Weaver C. Barksdale & Associates
Tennessee
$3K +$3K +375 New
PCTC
216
Perkins Coie Trust Company
Washington
$2K – – –
WCM
217
Wealthcare Capital Management
Virginia
$2K – – –
GI
218
Gradient Investments
Minnesota
$2K +$2K +270 New
BWFA
219
Baltimore-Washington Financial Advisors
Maryland
$1K +$1K +100 New
Simplex Trading
220
Simplex Trading
Illinois
$1K +$1K +144 New
Manulife (Manufacturers Life Insurance)
221
Manulife (Manufacturers Life Insurance)
Ontario, Canada
$63 – – –
Two Sigma Investments
222
Two Sigma Investments
New York
– -$7.51M -908,783 Closed
D.E. Shaw & Co
223
D.E. Shaw & Co
New York
– -$1.38M -167,496 Closed
PAMU
224
Pictet Asset Management (UK)
United Kingdom
– -$1.14M -138,300 Closed
Credit Agricole
225
Credit Agricole
France
– -$999K -117,800 Closed
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