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Prospect Capital
PSEC

Overview Fund Activity

221 hedge funds and large institutions have $260M invested in Prospect Capital in 2019 Q1 according to their latest regulatory filings, with 24 funds opening new positions, 65 increasing their positions, 70 reducing their positions, and 40 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
221
Holders Change
-18
Holders Change %
-7.53%
% of All Funds
4.79%
Holding in Top 10
3
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.07%
New
24
Increased
65
Reduced
70
Closed
40
Calls
$4.21M
Puts
$19M
Net Calls
-$14.8M
Net Calls Change
+$17M

Top Buyers

1
Bank of Montreal
1
Bank of Montreal
Ontario, Canada
$11.5M
2
KBC Group
2
KBC Group
Belgium
$2.54M
3
Allianz Asset Management
3
Allianz Asset Management
Germany
$14.5M
4
PAM
4
PVG Asset Management
Colorado
$2.56M
5
Legal & General Group
5
Legal & General Group
United Kingdom
$11.9M

Top Sellers

1
UBS Group
1
UBS Group
Switzerland
$32.5M
2
Millennium Management
2
Millennium Management
New York
$93K
3
Arrowstreet Capital
3
Arrowstreet Capital
Massachusetts
$6.74M
4
D.E. Shaw & Co
4
D.E. Shaw & Co
New York
$219K
5
VanEck Associates
5
VanEck Associates
New York
$13M
Name Holding Trade Value Shares
Change 		Shares
Change %
LC
201
Lindbrook Capital
California
$6K +$159 +28 +3%
TC
202
Truvestments Capital
Florida
$6K +$6K +900 New
Northwestern Mutual Wealth Management
203
Northwestern Mutual Wealth Management
Wisconsin
$5K – – –
AF
204
Allworth Financial
California
$5K – – –
1IA
205
1834 Investment Advisors
Wisconsin
$5K – – –
Fifth Third Bancorp
206
Fifth Third Bancorp
Ohio
$5K – – –
CIAS
207
Capital Investment Advisory Services
North Carolina
$4K -$3.91K -650 -49%
CAC
208
Certified Advisory Corp
Florida
$4K – – –
PFGIA
209
Patriot Financial Group Insurance Agency
Massachusetts
$3K – – –
PA
210
Parallel Advisors
California
$3K – – –
HNB
211
Huntington National Bank
Ohio
$3K – – –
TCOV
212
Trust Company of Vermont
Vermont
$3K – – –
WAS
213
Winch Advisory Services
Wisconsin
$3K +$51 +9 +2%
FGAM
214
Financial Gravity Asset Management
Texas
$3K +$3K +404 New
GWMIA
215
Global Wealth Management Investment Advisory
Florida
$1K -$1.28K -128 -56%
NSB
216
Norway Savings Bank
Maine
$1K – – –
RFM
217
Royal Fund Management
Florida
$1K – – –
Man Group
218
Man Group
United Kingdom
– -$1.68M -266,889 Closed
AR
219
Advisory Research
Illinois
– -$1.41M -223,808 Closed
SMDAM
220
Sumitomo Mitsui DS Asset Management
Japan
– -$1.3M -206,098 Closed
TFCM
221
Taylor Frigon Capital Management
Arizona
– -$794K -125,754 Closed
SGCA
222
Steel Grove Capital Advisors
Tennessee
– -$715K -112,194 Closed
TNBTD
223
Trustmark National Bank Trust Department
Mississippi
– -$681K -107,865 Closed
BAM
224
Blueshift Asset Management
New Jersey
– -$422K -66,835 Closed
N
225
Natixis
France
– -$275K -43,628 Closed
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