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Prospect Capital

206 hedge funds and large institutions have $346M invested in Prospect Capital in 2015 Q4 according to their latest regulatory filings, with 29 funds opening new positions, 86 increasing their positions, 57 reducing their positions, and 31 closing their positions.

New
Increased
Maintained
Reduced
Closed

51% more repeat investments, than reductions

Existing positions increased: 86 | Existing positions reduced: 57

5% less capital invested

Capital invested by funds: $364M → $346M (-$18.1M)

6% less first-time investments, than exits

New positions opened: 29 | Existing positions closed: 31

1% less funds holding

Funds holding: 209206 (-3)

33% less funds holding in top 10

Funds holding in top 10: 64 (-2)

73% less call options, than puts

Call options by funds: $3.34M | Put options by funds: $12.4M

Holders
206
Holders Change
-3
Holders Change %
-1.44%
% of All Funds
5.4%
Holding in Top 10
4
Holding in Top 10 Change
-2
Holding in Top 10 Change %
-33.33%
% of All Funds
0.1%
New
29
Increased
86
Reduced
57
Closed
31
Calls
$3.34M
Puts
$12.4M
Net Calls
-$9.04M
Net Calls Change
-$2.89M
Name Holding Trade Value Shares
Change
Change in
Stake
Northwestern Mutual Wealth Management
201
Northwestern Mutual Wealth Management
Wisconsin
$4K -$3.08K -425 -43%
WCBA
202
Weaver C. Barksdale & Associates
Tennessee
$3K
WAS
203
Winch Advisory Services
Wisconsin
$3K +$116 +16 +4%
FPB
204
First PREMIER Bank
South Dakota
$3K +$2.9K +400 New
BCMIO
205
Beacon Capital Management Inc (Ohio)
Ohio
$2K
SIM
206
Sonora Investment Management
Arizona
$2K
Manulife (Manufacturers Life Insurance)
207
Manulife (Manufacturers Life Insurance)
Ontario, Canada
$70 +$3.88K +534 +6%
HSBC Holdings
208
HSBC Holdings
United Kingdom
-$3M -420,000 Closed
BL
209
BCWM LLC
Kansas
-$2.48M -347,187 Closed
PGH
210
Partners Group Holding
Switzerland
-$982K -137,700 Closed
BB
211
Bell Bank
North Dakota
-$873K -122,404 Closed
QIM
212
Quantitative Investment Management
Virginia
-$699K -98,100 Closed
RA
213
Royce & Associates
New York
-$696K -97,600 Closed
HighTower Advisors
214
HighTower Advisors
Illinois
-$552K -77,341 Closed
SJIC
215
St. James Investment Company
Texas
-$461K -64,604 Closed
EMG
216
Ellington Management Group
Connecticut
-$308K -43,249 Closed
EGM
217
Engineers Gate Manager
New York
-$283K -39,710 Closed
Victory Capital Management
218
Victory Capital Management
Texas
-$279K -39,146 Closed
CI
219
CAZ Investments
Texas
-$264K -37,000 Closed
CA
220
Commerzbank Aktiengesellschaft
Germany
-$242K -33,925 Closed
NCCM
221
Nine Chapters Capital Management
New Jersey
-$199K -27,900 Closed
SS
222
Sunbelt Securities
Texas
-$186K -26,092 Closed
AL
223
Airain Ltd
Guernsey
-$176K -24,618 Closed
GWM
224
Gupta Wealth Management
California
-$136K -19,076 Closed
GHA
225
GW Henssler & Associates
Georgia
-$98K -13,718 Closed

PSEC Hedge Fund Activity: Q4 2015 in Review

206 of the 3,812 institutional investors tracked by Wall St. Rank reported a position in Prospect Capital (PSEC) for Q4 2015, worth a combined $346M — down 5% from $364M a quarter earlier.

Sellers outnumbered buyers: 31 funds closed out of PSEC and 29 opened new positions — a net loss of 2 holders — while 57 trimmed existing stakes and 86 added.

The largest buyer was Bank of Montreal, adding an estimated $16.7M. The largest seller was UBS Group, cutting an estimated $17M.

  • 206 institutional investors held Prospect Capital (PSEC) as of Q4 2015, down from 209 in Q3 2015.
  • Funds reported $346M of Prospect Capital stock for Q4 2015, down 5% quarter-over-quarter.
  • 29 funds opened new Prospect Capital positions in Q4 2015 and 31 closed out, a net change of -2 holders.
  • The largest Prospect Capital buyer in Q4 2015 was Bank of Montreal, an estimated $16.7M added.
  • The largest Prospect Capital seller in Q4 2015 was UBS Group, an estimated $17M sold.

Based on aggregated 13F filings for Q4 2015.