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Prospect Capital
PSEC

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

0% more funds holding in top 10

Funds holding in top 10: 3 → 3 (0)

7% less repeat investments, than reductions

Existing positions increased: 65 | Existing positions reduced: 70

1.14% less ownership

Funds ownership: 13.05% → 11.91% (-1.1%)

8% less funds holding

Funds holding: 239 → 221 (-18)

14% less capital invested

Capital invested by funds: $301M → $260M (-$41.6M)

40% less first-time investments, than exits

New positions opened: 24 | Existing positions closed: 40

78% less call options, than puts

Call options by funds: $4.21M | Put options by funds: $19M

Holders
221
Holders Change
-18
Holders Change %
-7.53%
% of All Funds
4.78%
Holding in Top 10
3
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.06%
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
Bank of Montreal
Ontario, Canada
+$11.4M
2
KBC Group
KBC Group
Belgium
+$2.33M
3
Allianz Asset Management
Allianz Asset Management
Germany
+$2.22M
4
PAM
PVG Asset Management
Colorado
+$1.67M
5
Legal & General Group
Legal & General Group
United Kingdom
+$904K

Top Sellers

1
UBS Group
UBS Group
Switzerland
-$6.01M
2
Millennium Management
Millennium Management
New York
-$5.46M
3
MC
Muzinich & Co
New York
-$5.34M
4
Arrowstreet Capital
Arrowstreet Capital
Massachusetts
-$4.96M
5
D.E. Shaw & Co
D.E. Shaw & Co
New York
-$2.95M
Name Holding Trade Value Shares
Change 		Change in
Stake
LC
201
Lindbrook Capital
California
$6K +$186 +28 +3%
TC
202
Truvestments Capital
Florida
$6K +$5.99K +900 New
1IA
203
1834 Investment Advisors
Wisconsin
$5K – – –
AF
204
Allworth Financial
California
$5K – – –
Fifth Third Bancorp
205
Fifth Third Bancorp
Ohio
$5K – – –
Northwestern Mutual Wealth Management
206
Northwestern Mutual Wealth Management
Wisconsin
$5K – – –
CIAS
207
Capital Investment Advisory Services
North Carolina
$4K -$4.32K -650 -49%
CAC
208
Certified Advisory Corp
Florida
$4K – – –
HNB
209
Huntington National Bank
Ohio
$3K – – –
PA
210
Parallel Advisors
California
$3K – – –
PFGIA
211
Patriot Financial Group Insurance Agency
Massachusetts
$3K – – –
TCOV
212
Trust Company of Vermont
Vermont
$3K – – –
WAS
213
Winch Advisory Services
Wisconsin
$3K +$60 +9 +2%
FGAM
214
Financial Gravity Asset Management
Texas
$3K +$2.69K +404 New
GWMIA
215
Global Wealth Management Investment Advisory
Florida
$1K -$851 -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
7 8
9
10 11

PSEC Hedge Fund Activity: Q1 2019 in Review

221 of the 4,620 institutional investors tracked by Wall St. Rank reported a position in Prospect Capital (PSEC) for Q1 2019, worth a combined $260M — down 14% from $301M a quarter earlier.

Sellers outnumbered buyers: 40 funds closed out of PSEC and 24 opened new positions — a net loss of 16 holders — while 70 trimmed existing stakes and 65 added.

The largest buyer was Bank of Montreal, adding an estimated $11.4M. The largest seller was UBS Group, cutting an estimated $6.01M.

  • 221 institutional investors held Prospect Capital (PSEC) as of Q1 2019, down from 239 in Q4 2018.
  • Funds reported $260M of Prospect Capital stock for Q1 2019, down 14% quarter-over-quarter.
  • 24 funds opened new Prospect Capital positions in Q1 2019 and 40 closed out, a net change of -16 holders.
  • The largest Prospect Capital buyer in Q1 2019 was Bank of Montreal, an estimated $11.4M added.
  • The largest Prospect Capital seller in Q1 2019 was UBS Group, an estimated $6.01M sold.

Based on aggregated 13F filings for Q1 2019.