UBS O'Connor’s Prospect Capital PSEC Stock Holding History

UBS O'Connor’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
2014 Q3	–	Sell	-11,036	Closed	-$117K	–	522
2014 Q2	$117K	Buy	+11,036	New	+$115K	﹤0.01%	400

Other funds holding PSEC

UBS Zurich, Switzerland $136B AUM 16.36% 1-Year Est. Return

CNB

City National Bank Beverly Hills, California $11.6B AUM 3.11% 1-Year Est. Return

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

AAM

Advisors Asset Management Monument, Colorado $6.01B AUM 24.74% 1-Year Est. Return

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

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

Varde Management Minneapolis, Minnesota $49.3M AUM 87.64% 1-Year Est. Return

Bank of America Charlotte, North Carolina $1.37T AUM 24.88% 1-Year Est. Return

TNBTD

Trustmark National Bank Trust Department Jackson, Mississippi $1.56B AUM 16.53% 1-Year Est. Return

Goldman Sachs New York $871B AUM 31.28% 1-Year Est. Return

UBS O'Connor's PSEC Position: Q3 2014 in Review

UBS O'Connor sold out of Prospect Capital (PSEC) in Q3 2014, closing a stake of 11,036 shares — an estimated $117K sold.

UBS O'Connor first reported a position in PSEC in Q2 2014 and held it in 1 quarter. The position peaked at $117K in Q2 2014. 206 funds tracked by Wall St. Rank hold PSEC as of Q3 2014.

UBS O'Connor reported no remaining Prospect Capital position as of Q3 2014 after selling out during the quarter.
UBS O'Connor sold 11,036 Prospect Capital shares in Q3 2014, an estimated $117K.
UBS O'Connor first reported a position in Prospect Capital in Q2 2014 and held it in 1 quarter.
UBS O'Connor's Prospect Capital position peaked at $117K in Q2 2014.
206 funds tracked by Wall St. Rank held Prospect Capital as of Q3 2014.

Based on UBS O'Connor's 13F filing for Q3 2014, filed 14 Nov 2014.