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Prospect Capital
PSEC

Overview Fund Activity

209 hedge funds and large institutions have $364M invested in Prospect Capital in 2015 Q3 according to their latest regulatory filings, with 33 funds opening new positions, 62 increasing their positions, 77 reducing their positions, and 26 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
209
Holders Change
+5
Holders Change %
+2.45%
% of All Funds
5.84%
Holding in Top 10
6
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.17%
New
33
Increased
62
Reduced
77
Closed
26
Calls
$3.25M
Puts
$9.4M
Net Calls
-$6.15M
Net Calls Change
+$2.1M

Top Buyers

1
SCM
Scopia Capital Management
New York
$16.1M
2
JPMPWA
J.P. Morgan Private Wealth Advisors
California
$10.9M
3
HSBC Holdings
HSBC Holdings
United Kingdom
$3M
4
Morgan Stanley
Morgan Stanley
New York
$22.9M
5
BL
BCWM LLC
Kansas
$2.48M

Top Sellers

1
UBS Group
UBS Group
Switzerland
$33.5M
2
LPL Financial
LPL Financial
California
$2.64M
3
Deutsche Bank
Deutsche Bank
Germany
$20.9M
4
FIM
Freedom Investment Management
Connecticut
$277K
5
Two Sigma Investments
Two Sigma Investments
New York
$2.08M
Name Holding Trade Value Shares
Change 		Shares
Change %
BCM
201
Brookstone Capital Management
Illinois
$3K +$3K +462 New
CK
202
Carnick & Kubik
Colorado
$2.28K +$2.28K +320 New
W
203
Wealthfront
California
$2K +$7 +1 +0.3%
BCMIO
204
Beacon Capital Management Inc (Ohio)
Ohio
$2K +$2K +250 New
WCM
205
Windsor Capital Management
Arizona
$2K +$2K +400 New
AIM
206
Advantage Investment Management
Iowa
$1K -$8K -888 -89%
WCM
207
Wealthcare Capital Management
Virginia
$1K – – –
Manulife (Manufacturers Life Insurance)
208
Manulife (Manufacturers Life Insurance)
Ontario, Canada
$67 – – –
Fiera Capital (Canada)
209
Fiera Capital (Canada)
Quebec, Canada
– -$3.39K -460,200 Closed
PP
210
PDT Partners
New York
– -$1.73M -235,300 Closed
OWIM
211
Old West Investment Management
California
– -$1.03M -140,000 Closed
Tudor Investment Corp
212
Tudor Investment Corp
Connecticut
– -$655K -88,833 Closed
PCC
213
Park Circle Company
Maryland
– -$516K -70,000 Closed
SC
214
Selz Capital
New York
– -$442K -60,000 Closed
Walleye Trading
215
Walleye Trading
New York
– -$313K -42,404 Closed
SC
216
Sumit Capital
New York
– -$208K -28,194 Closed
PP
217
Paloma Partners
Connecticut
– -$204K -27,650 Closed
AA
218
Ancora Advisors
Ohio
– -$199K -27,000 Closed
D.E. Shaw & Co
219
D.E. Shaw & Co
New York
– -$192K -26,036 Closed
V
220
Veritable
Delaware
– -$174K -23,603 Closed
WA
221
WESPAC Advisors
California
– -$105K -14,264 Closed
DAM
222
Delta Asset Management
Tennessee
– -$103K -14,000 Closed
PTC
223
Private Trust Company
Ohio
– -$99K -13,457 Closed
TC
224
TFS Capital
Pennsylvania
– -$95K -12,847 Closed
NIT
225
NumerixS Investment Technologies
British Columbia, Canada
– -$92K -12,500 Closed
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