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Prospect Capital
PSEC

Overview Fund Activity

221 hedge funds and large institutions have $350M invested in Prospect Capital in 2019 Q4 according to their latest regulatory filings, with 39 funds opening new positions, 77 increasing their positions, 64 reducing their positions, and 24 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
221
Holders Change
+14
Holders Change %
+6.76%
% of All Funds
4.36%
Holding in Top 10
3
Holding in Top 10 Change
-1
Holding in Top 10 Change %
-25%
% of All Funds
0.06%
New
39
Increased
77
Reduced
64
Closed
24
Calls
$1.95M
Puts
$17M
Net Calls
-$15.1M
Net Calls Change
+$1.3M

Top Buyers

1
IAA
Independent Advisor Alliance
North Carolina
$10.9M
2
Arrowstreet Capital
Arrowstreet Capital
Massachusetts
$36.3M
3
Man Group
Man Group
United Kingdom
$12.4M
4
Invesco
Invesco
Georgia
$11.8M
5
Two Sigma Investments
Two Sigma Investments
New York
$12.8M

Top Sellers

1
Allianz Asset Management
Allianz Asset Management
Germany
$3.42M
2
Morgan Stanley
Morgan Stanley
New York
$5.68M
3
Deutsche Bank
Deutsche Bank
Germany
$20K
4
UBS Group
UBS Group
Switzerland
$14M
5
Susquehanna International Group
Susquehanna International Group
Pennsylvania
$5.7M
Name Holding Trade Value Shares
Change 		Shares
Change %
GCM
201
Gables Capital Management
Florida
$6K – – –
RG
202
Retirement Group
California
$6K +$6K +986 New
EI
203
Ellevest Inc
New York
$5K – – –
Fifth Third Bancorp
204
Fifth Third Bancorp
Ohio
$5K – – –
CAC
205
Certified Advisory Corp
Florida
$4K – – –
HNB
206
Huntington National Bank
Ohio
$3K – – –
PNC Financial Services Group
207
PNC Financial Services Group
Pennsylvania
$3K – – –
PA
208
Parallel Advisors
California
$3K – – –
PFGIA
209
Patriot Financial Group Insurance Agency
Massachusetts
$3K – – –
TCOV
210
Trust Company of Vermont
Vermont
$3K – – –
WAS
211
Winch Advisory Services
Wisconsin
$3K +$84 +13 +3%
Northwestern Mutual Wealth Management
212
Northwestern Mutual Wealth Management
Wisconsin
$2K -$31.3K -3,945 -94%
SQA
213
Simon Quick Advisors
New Jersey
$2K +$55 +9 +3%
ACM
214
Allred Capital Management
Texas
$1.61K +$1.61K +250 New
NSB
215
Norway Savings Bank
Maine
$1K – – –
OPS
216
Orion Portfolio Solutions
Nebraska
$1K +$1K +217 New
TPCW
217
TD Private Client Wealth
New York
$6 +$6 +1 New
Skandinaviska Enskilda Banken (SEB)
218
Skandinaviska Enskilda Banken (SEB)
Sweden
– -$1.93M -292,800 Closed
GH
219
GAM Holding
Switzerland
– -$544K -82,546 Closed
TI
220
Trexquant Investment
Connecticut
– -$430K -65,220 Closed
Aberdeen Group
221
Aberdeen Group
United Kingdom
– -$396K -60,000 Closed
PI
222
PEAK6 Investments
Illinois
– -$312K -47,844 Closed
TSS
223
Two Sigma Securities
New York
– -$165K -25,011 Closed
TU
224
TDAM USA
Ontario, Canada
– -$148K -22,500 Closed
MAFM
225
Mid Atlantic Financial Management
Pennsylvania
– -$119K -18,000 Closed
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