State Street’s Prospect Capital PSEC Stock Holding History

State Street’s Portfolio PSEC Stock Details PSEC Fund Activity

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2016 Q4	–	Sell	-39,342	Closed	-$319K	–	3682
2016 Q3	$319K	Hold	39,342	–	–	﹤0.01%	3357
2016 Q2	$308K	Hold	39,342	–	–	﹤0.01%	3463
2016 Q1	$287K	Sell	39,342 -140,000	-78%	-$930K	﹤0.01%	3443
2015 Q4	$1.25M	Sell	179,342 -14,800	-8%	-$107K	﹤0.01%	3163
2015 Q3	$1.39M	Sell	194,142 -37,800	-16%	-$281K	﹤0.01%	3133
2015 Q2	$1.71M	Sell	231,942 -190	-0.1%	-$1.53K	﹤0.01%	3116
2015 Q1	$1.96M	Sell	232,132 -103,334	-31%	-$883K	﹤0.01%	3038
2014 Q4	$2.77M	Sell	335,466 -169,995	-34%	-$1.57M	﹤0.01%	2898
2014 Q3	$5M	Sell	505,461 -51,444	-9%	-$543K	﹤0.01%	2547
2014 Q2	$5.92M	Sell	556,905 -5,090,323	-90%	-$52.9M	﹤0.01%	2497
2014 Q1	$61M	Buy	5,647,228 +256,484	+5%	+$2.84M	0.01%	1098
2013 Q4	$60.5M	Buy	5,390,744 +504,863	+10%	+$5.68M	0.01%	1094
2013 Q3	$54.6M	Buy	4,885,881 +461,205	+10%	+$5.12M	0.01%	1102
2013 Q2	$47.8M	Buy	+4,424,676	New	+$47.4M	0.01%	1144

Other funds holding PSEC

Muzinich & Co New York $286M AUM 21.05% 1-Year Est. Return

Bank of Montreal Toronto, Ontario, Canada $269B AUM 31.4% 1-Year Est. Return

BlackRock Group London, United Kingdom $210B AUM 15.5% 1-Year Est. Return

Morgan Stanley New York $1.66T AUM 25.57% 1-Year Est. Return

JMPWA

JP Morgan Private Wealth Advisors San Francisco, California $35B AUM 24.26% 1-Year Est. Return

Invesco Atlanta, Georgia $1.02T AUM 30.18% 1-Year Est. Return

Two Sigma Investments New York $124B AUM 33.93% 1-Year Est. Return

VanEck Associates New York $133B AUM 72.99% 1-Year Est. Return

LSV Asset Management Chicago, Illinois $46.4B AUM 27.74% 1-Year Est. Return

Deutsche Bank Frankfurt Am Main Ge, Germany $303B AUM 30.15% 1-Year Est. Return

State Street's PSEC Position: Q4 2016 in Review

State Street sold out of Prospect Capital (PSEC) in Q4 2016, closing a stake of 39,342 shares — an estimated $319K sold.

State Street first reported a position in PSEC in Q2 2013 and held it in 14 quarters. The position peaked at $61M in Q1 2014. 212 funds tracked by Wall St. Rank hold PSEC as of Q4 2016.

State Street reported no remaining Prospect Capital position as of Q4 2016 after selling out during the quarter.
State Street sold 39,342 Prospect Capital shares in Q4 2016, an estimated $319K.
State Street first reported a position in Prospect Capital in Q2 2013 and held it in 14 quarters.
State Street's Prospect Capital position peaked at $61M in Q1 2014.
212 funds tracked by Wall St. Rank held Prospect Capital as of Q4 2016.

Based on State Street's 13F filing for Q4 2016, filed 9 Feb 2017.