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Prospect Capital
PSEC

Overview Fund Activity

218 hedge funds and large institutions have $517M invested in Prospect Capital in 2017 Q1 according to their latest regulatory filings, with 31 funds opening new positions, 70 increasing their positions, 69 reducing their positions, and 21 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
218
Holders Change
+6
Holders Change %
+2.83%
% of All Funds
5.44%
Holding in Top 10
3
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.07%
New
31
Increased
70
Reduced
69
Closed
21
Calls
$5.66M
Puts
$50.9M
Net Calls
-$45.3M
Net Calls Change
+$9.65M

Top Buyers

1
MC
1
Muzinich & Co
New York
$109M
2
BlackRock
2
BlackRock
New York
$22.4M
3
PAM
3
Panagora Asset Management
Massachusetts
$9.98M
4
California Public Employees Retirement System
4
California Public Employees Retirement System
California
$6.75M
5
LSV Asset Management
5
LSV Asset Management
Illinois
$16.1M

Top Sellers

1
AM
1
Ares Management
California
$0
2
AFG
2
American Financial Group
Ohio
$0
3
UBS Group
3
UBS Group
Switzerland
$5.2M
4
MIAN
4
Mariner Independent Advisor Network
Kansas
$0
5
Morgan Stanley
5
Morgan Stanley
New York
$15.6M
Name Holding Trade Value Shares
Change 		Shares
Change %
NC
201
NewSquare Capital
Pennsylvania
$11K – – –
LYV
202
Live Your Vision
Pennsylvania
$11K +$306 +35 +3%
TRCT
203
Tower Research Capital (TRC)
New York
$9K -$58.8K -6,251 -87%
EWM
204
Edge Wealth Management
New York
$9K – – –
FHA
205
First Horizon Advisors
Tennessee
$9K – – –
BIG
206
Bellwether Investment Group
Tennessee
$9K – – –
SEI Investments
207
SEI Investments
Pennsylvania
$9K +$9K +1,000 New
GT
208
Glenmede Trust
Pennsylvania
$8K – – –
WP
209
WealthPLAN Partners
Nebraska
$7.36K +$7.36K +812 New
CG
210
Cutler Group
California
$7K -$22.6K -2,779 -76%
RFA
211
Reilly Financial Advisors
California
$7K – – –
AF
212
Allworth Financial
California
$7K – – –
TCOV
213
Trust Company of Vermont
Vermont
$5K – – –
WAS
214
Winch Advisory Services
Wisconsin
$4K +$105 +13 +3%
RFM
215
Royal Fund Management
Florida
$3K – – –
WCBA
216
Weaver C. Barksdale & Associates
Tennessee
$3K – – –
Parallax Volatility Advisers
217
Parallax Volatility Advisers
California
$3K +$3K +282 New
AM
218
Ares Management
California
– -$8.99M -1,076,478 Closed
AFG
219
American Financial Group
Ohio
– -$8.35M -1,000,000 Closed
MIAN
220
Mariner Independent Advisor Network
Kansas
– -$3.16M -378,433 Closed
MNA
221
Manning & Napier Advisors
New York
– -$679K -81,579 Closed
PRCM
222
Pine River Capital Management
Minnesota
– -$522K -62,500 Closed
RCM
223
Radcliffe Capital Management
Pennsylvania
– -$200K -24,000 Closed
Wolverine Trading
224
Wolverine Trading
Illinois
– -$162K -19,379 Closed
LA
225
Lucus Advisors
New York
– -$156K -18,633 Closed
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