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Prospect Capital
PSEC

Overview Fund Activity

216 hedge funds and large institutions have $338M invested in Prospect Capital in 2016 Q3 according to their latest regulatory filings, with 35 funds opening new positions, 69 increasing their positions, 63 reducing their positions, and 18 closing their positions.

Holders
216
Holders Change
+12
Holders Change %
+5.88%
% of All Funds
5.77%
Holding in Top 10
4
Holding in Top 10 Change
-1
Holding in Top 10 Change %
-20%
% of All Funds
0.11%
New
35
Increased
69
Reduced
63
Closed
18
Calls
$3.66M
Puts
$60.6M
Net Calls
-$56.9M
Net Calls Change
-$10.1M

Top Buyers

1
MC
1
Muzinich & Co
New York
$26M
2
Bank of Nova Scotia
2
Bank of Nova Scotia
Ontario, Canada
$4.25M
3
Two Sigma Investments
3
Two Sigma Investments
New York
$3.78M
4
Two Sigma Advisers
4
Two Sigma Advisers
New York
$3.06M
5
Deutsche Bank
5
Deutsche Bank
Germany
$8.21M

Top Sellers

1
SMH
1
Sanders Morris Harris
Texas
$1.11M
2
Morgan Stanley
2
Morgan Stanley
New York
$21M
3
AAM
3
Advisors Asset Management
Colorado
$6.14M
4
UBS Group
4
UBS Group
Switzerland
$6.75M
5
RIA
5
RPG Investment Advisory
California
$2.42M
Name Market Value Shares Shares
Change 		Shares
Change %
Bank of Montreal
1
Bank of Montreal
Ontario, Canada
$35.5M 4,382,000 +227,300 +5%
MC
2
Muzinich & Co
New York
$26M 3,214,729 +921,221 +40%
Morgan Stanley
3
Morgan Stanley
New York
$21M 2,592,595 -675,998 -21%
JPMPWA
4
J.P. Morgan Private Wealth Advisors
California
$15.3M 1,890,437 +141,201 +8%
BG
5
BlackRock Group
United Kingdom
$13.4M 1,652,598 -128,275 -7%
LSV Asset Management
6
LSV Asset Management
Illinois
$10.4M 1,278,855 – –
VanEck Associates
7
VanEck Associates
New York
$9.89M 1,221,015 +131,819 +12%
Deutsche Bank
8
Deutsche Bank
Germany
$8.21M 1,013,517 +333,456 +49%
Barclays
9
Barclays
United Kingdom
$8.1M 1,000,000 -23,122 -2%
AFG
10
American Financial Group
Ohio
$8.1M 1,000,000 – –
UBS Group
11
UBS Group
Switzerland
$6.75M 832,823 -263,054 -24%
Legal & General Group
12
Legal & General Group
United Kingdom
$6.44M 794,449 +92,410 +13%
AAM
13
Advisors Asset Management
Colorado
$6.14M 757,797 -417,061 -35%
USAA
14
United Services Automobile Association
Texas
$5.46M 674,000 – –
Invesco
15
Invesco
Georgia
$5.39M 665,351 -119,375 -15%
Commonwealth Equity Services
16
Commonwealth Equity Services
Massachusetts
$5.04M 622,708 +129,985 +26%
CP
17
Camelot Portfolios
Ohio
$4.58M 565,370 +24,168 +4%
BCM
18
Beck Capital Management
Texas
$4.4M 543,019 +42,770 +9%
Bank of Nova Scotia
19
Bank of Nova Scotia
Ontario, Canada
$4.25M 525,000 +525,000 New
D.E. Shaw & Co
20
D.E. Shaw & Co
New York
$4.13M 509,660 +59,830 +13%
MCM
21
McKinley Capital Management
Alaska
$4.09M 504,832 +175,682 +53%
BC
22
Barnett & Company
Tennessee
$4.07M 502,376 -1,800 -0.4%
TNBTD
23
Trustmark National Bank Trust Department
Mississippi
$3.93M 484,558 -120,855 -20%
Cambridge Investment Research Advisors
24
Cambridge Investment Research Advisors
Iowa
$3.85M 474,739 -78,057 -14%
Two Sigma Investments
25
Two Sigma Investments
New York
$3.78M 466,753 +452,496 +3,174%
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