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Prospect Capital
PSEC

Overview Fund Activity

239 hedge funds and large institutions have $301M invested in Prospect Capital in 2018 Q4 according to their latest regulatory filings, with 52 funds opening new positions, 57 increasing their positions, 76 reducing their positions, and 31 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
239
Holders Change
+15
Holders Change %
+6.7%
% of All Funds
5.33%
Holding in Top 10
3
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.07%
New
52
Increased
57
Reduced
76
Closed
31
Calls
$7.79M
Puts
$39.6M
Net Calls
-$31.8M
Net Calls Change
-$10.5M

Top Buyers

1
UBS Group
1
UBS Group
Switzerland
$37.2M
2
Allianz Asset Management
2
Allianz Asset Management
Germany
$11.9M
3
Susquehanna International Group
3
Susquehanna International Group
Pennsylvania
$6.78M
4
LSV Asset Management
4
LSV Asset Management
Illinois
$35.4M
5
Legal & General Group
5
Legal & General Group
United Kingdom
$10.7M

Top Sellers

1
CS
1
Credit Suisse
Switzerland
$1.02M
2
Invesco
2
Invesco
Georgia
$3.16M
3
Two Sigma Investments
3
Two Sigma Investments
New York
$1.78M
4
Arrowstreet Capital
4
Arrowstreet Capital
Massachusetts
$11.2M
5
Deutsche Bank
5
Deutsche Bank
Germany
$3.3M
Name Holding Trade Value Shares
Change 		Shares
Change %
SFA
201
Semmax Financial Advisors
North Carolina
$9K +$9K +1,480 New
KTC
202
Kistler-Tiffany Companies
Pennsylvania
$8K – – –
BC
203
Barnett & Company
Tennessee
$8K – – –
DWM
204
Doyle Wealth Management
Florida
$8K +$8K +1,202 New
CIAS
205
Capital Investment Advisory Services
North Carolina
$8K +$8K +1,315 New
BNP Paribas Financial Markets
206
BNP Paribas Financial Markets
France
$6.68K – – –
WAP
207
Wealthcare Advisory Partners
Pennsylvania
$6K -$4.5K -750 -43%
EWM
208
Edge Wealth Management
New York
$6K – – –
NFG
209
Next Financial Group
Texas
$6K +$6K +1,000 New
Fidelity Investments
210
Fidelity Investments
Massachusetts
$6K +$5.99K +1,003 +50,150%
LC
211
Lindbrook Capital
California
$6K +$6K +1,027 New
Northwestern Mutual Wealth Management
212
Northwestern Mutual Wealth Management
Wisconsin
$5K -$5.49K -876 -52%
1IA
213
1834 Investment Advisors
Wisconsin
$5K – – –
AF
214
Allworth Financial
California
$5K – – –
Fifth Third Bancorp
215
Fifth Third Bancorp
Ohio
$5K – – –
CAC
216
Certified Advisory Corp
Florida
$4K – – –
PFC
217
Phocas Financial Corp
California
$4K +$4K +712 New
QT
218
Quantbot Technologies
New York
$3K -$191K -37,400 -98%
WAS
219
Winch Advisory Services
Wisconsin
$3K – – –
PFGIA
220
Patriot Financial Group Insurance Agency
Massachusetts
$3K – – –
TCOV
221
Trust Company of Vermont
Vermont
$3K – – –
HNB
222
Huntington National Bank
Ohio
$3K – – –
FGC
223
Financial Gravity Companies
Texas
$3K +$3K +399 New
ER
224
Enlightenment Research
Florida
$3K +$3K +400 New
PA
225
Parallel Advisors
California
$3K +$3K +511 New
7 8
9
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