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Prospect Capital
PSEC

Overview Fund Activity

217 hedge funds and large institutions have $302M invested in Prospect Capital in 2016 Q1 according to their latest regulatory filings, with 36 funds opening new positions, 62 increasing their positions, 77 reducing their positions, and 23 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
217
Holders Change
+11
Holders Change %
+5.34%
% of All Funds
5.79%
Holding in Top 10
4
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.11%
New
36
Increased
62
Reduced
77
Closed
23
Calls
$8.94M
Puts
$41.7M
Net Calls
-$32.8M
Net Calls Change
-$23.8M

Top Buyers

1
Barclays
Barclays
United Kingdom
$7M
2
AL
Airain Ltd
Guernsey
$2.03M
3
LSV Asset Management
LSV Asset Management
Illinois
$8.03M
4
UBS Group
UBS Group
Switzerland
$19M
5
PP
PDT Partners
New York
$1.48M

Top Sellers

1
Deutsche Bank
Deutsche Bank
Germany
$5.22M
2
CS
Credit Suisse
Switzerland
$580K
3
MP
Mangrove Partners
Connecticut
$0
4
Wellington Management Group
Wellington Management Group
Massachusetts
$6.87M
5
Susquehanna International Group
Susquehanna International Group
Pennsylvania
$1.89M
Name Holding Trade Value Shares
Change 		Shares
Change %
NSIM
201
North Star Investment Management
Illinois
$11K – – –
DBT
202
Dubuque Bank & Trust
Iowa
$8K -$14.2K -2,000 -64%
EWM
203
Edge Wealth Management
New York
$7K -$7K -1,000 -50%
IWM
204
Integrated Wealth Management
California
$7K – – –
FHA
205
First Horizon Advisors
Tennessee
$7K – – –
GI
206
Gradient Investments
Minnesota
$7K +$7K +1,000 New
AF
207
Allworth Financial
California
$6K – – –
AIM
208
Advantage Investment Management
Iowa
$5K -$21.3K -3,006 -81%
TCOV
209
Trust Company of Vermont
Vermont
$4K +$4K +500 New
WAS
210
Winch Advisory Services
Wisconsin
$3K – – –
WCBA
211
Weaver C. Barksdale & Associates
Tennessee
$3K – – –
FPB
212
First PREMIER Bank
South Dakota
$3K – – –
HI
213
Hudock Inc
Pennsylvania
$3K +$110 +20 +4%
SIM
214
Sonora Investment Management
Arizona
$2.59K – – –
BCMIO
215
Beacon Capital Management Inc (Ohio)
Ohio
$2K – – –
CK
216
Carnick & Kubik
Colorado
$2K +$2K +320 New
PCM
217
Penserra Capital Management
California
$26 -$4 -625 -15%
MP
218
Mangrove Partners
Connecticut
– -$5.26M -753,321 Closed
MGAM
219
McGowan Group Asset Management
Texas
– -$4.6M -658,992 Closed
UCFA
220
United Capital Financial Advisors
Texas
– -$2.56M -366,398 Closed
Millennium Management
221
Millennium Management
New York
– -$2.36M -337,708 Closed
BIM
222
BlackRock Investment Management
Delaware
– -$1.91M -274,100 Closed
Bank of Nova Scotia
223
Bank of Nova Scotia
Ontario, Canada
– -$1.75M -250,000 Closed
DVM
224
Dreman Value Management
Florida
– -$1.41M -201,642 Closed
Group One Trading
225
Group One Trading
Illinois
– -$1.27M -182,287 Closed
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