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Prospect Capital
PSEC

Overview Fund Activity

224 hedge funds and large institutions have $381M invested in Prospect Capital in 2018 Q3 according to their latest regulatory filings, with 29 funds opening new positions, 70 increasing their positions, 69 reducing their positions, and 20 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
224
Holders Change
+8
Holders Change %
+3.7%
% of All Funds
5.13%
Holding in Top 10
3
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.07%
New
29
Increased
70
Reduced
69
Closed
20
Calls
$3.57M
Puts
$24.9M
Net Calls
-$21.3M
Net Calls Change
-$2.89M

Top Buyers

1
CS
Credit Suisse
Switzerland
$20.3M
2
Arrowstreet Capital
Arrowstreet Capital
Massachusetts
$18.4M
3
Two Sigma Investments
Two Sigma Investments
New York
$11.9M
4
Allianz Asset Management
Allianz Asset Management
Germany
$5.66M
5
Two Sigma Advisers
Two Sigma Advisers
New York
$6.18M

Top Sellers

1
MC
Muzinich & Co
New York
$36.9M
2
Deutsche Bank
Deutsche Bank
Germany
$8.71M
3
AM
Ares Management
California
$0
4
Invesco
Invesco
Georgia
$16.2M
5
QOP
Quinn Opportunity Partners
Virginia
$4.28M
Name Holding Trade Value Shares
Change 		Shares
Change %
Fifth Third Bancorp
201
Fifth Third Bancorp
Ohio
$6K – – –
AF
202
Allworth Financial
California
$6K – – –
FGAM
203
Financial Gravity Asset Management
Texas
$6K +$183 +26 +3%
ICM
204
IMS Capital Management
Oregon
$6K +$6K +800 New
WAS
205
Winch Advisory Services
Wisconsin
$4K – – –
CAC
206
Certified Advisory Corp
Florida
$4K – – –
HNB
207
Huntington National Bank
Ohio
$4K – – –
TCOV
208
Trust Company of Vermont
Vermont
$4K – – –
TDC
209
Thompson Davis & Co
Virginia
$4K +$2K +250 +100%
PFGIA
210
Patriot Financial Group Insurance Agency
Massachusetts
$4K +$4K +500 New
Barclays
211
Barclays
United Kingdom
$2K -$7.62K -1,299 -79%
RFM
212
Royal Fund Management
Florida
$2K – – –
CB
213
Community Bank
New York
$2K – – –
TFS
214
TrustCore Financial Services
Tennessee
$2K +$2K +260 New
RIA
215
RPG Investment Advisory
California
$1K – – –
NSB
216
Norway Savings Bank
Maine
$1K – – –
WF
217
WealthTrust Fairport
Ohio
$1K +$10 +1 +1%
S
218
SignatureFD
Georgia
$1K +$1K +100 New
CF
219
Centaurus Financial
California
$154 -$698K -95,212 -100%
AM
220
Ares Management
California
– -$1.87M -279,288 Closed
PAM
221
PVG Asset Management
Colorado
– -$831K -123,891 Closed
PCM
222
Price Capital Management
Louisiana
– -$696K -103,705 Closed
AWA
223
Arete Wealth Advisors
Illinois
– -$194K -28,980 Closed
Wolverine Trading
224
Wolverine Trading
Illinois
– -$171K -26,071 Closed
KA
225
Kovack Advisors
Florida
– -$145K -21,608 Closed
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