UBS’s Prospect Capital PSEC Stock Holding History

UBS’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	$54K	Buy	5,500 +5,300	+2,650%	+$55.9K	﹤0.01%	6730
2014 Q2	$2K	Sell	200 -10,300	-98%	-$107K	﹤0.01%	10057
2014 Q1	$113K	Buy	10,500 +2,200	+27%	+$24.3K	﹤0.01%	5835
2013 Q4	$93K	Buy	8,300 +6,900	+493%	+$77.7K	﹤0.01%	6144
2013 Q3	$16K	Buy	1,400 +200	+17%	+$2.22K	﹤0.01%	8314
2013 Q2	$13K	Buy	+1,200	New	+$12.9K	﹤0.01%	8349

Other funds holding PSEC

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

TFMS

Trust & Fiduciary Management Services Boston, Massachusetts $126M AUM 9.97% 1-Year Est. Return

UBS's PSEC Position: Q3 2014 in Review

UBS reduced its Prospect Capital (PSEC) stake by 4.1% in Q3 2014, selling an estimated $2.43M and leaving 5,404,467 shares worth $53.5M. The position accounts for 0.04% of the portfolio, ranked #478.

UBS first reported a position in PSEC in Q2 2013 and has held it in 6 quarters since. The position peaked at $59.9M in Q2 2014. 206 funds tracked by Wall St. Rank hold PSEC as of Q3 2014.

UBS held 5,404,467 shares of Prospect Capital worth $53.5M as of Q3 2014.
UBS sold 230,799 Prospect Capital shares in Q3 2014, an estimated $2.43M.
Prospect Capital made up 0.04% of UBS's portfolio in Q3 2014, its #478 holding.
UBS first reported a position in Prospect Capital in Q2 2013 and has held it in 6 quarters since.
UBS's Prospect Capital position peaked at $59.9M in Q2 2014.
206 funds tracked by Wall St. Rank held Prospect Capital as of Q3 2014.

Based on UBS's 13F filing for Q3 2014, filed 12 Nov 2014.