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Prospect Capital
PSEC

Overview Fund Activity

235 hedge funds and large institutions have $993M invested in Prospect Capital in 2013 Q4 according to their latest regulatory filings, with 38 funds opening new positions, 122 increasing their positions, 53 reducing their positions, and 20 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
235
Holders Change
+16
Holders Change %
+7.31%
% of All Funds
6.83%
Holding in Top 10
4
Holding in Top 10 Change
-2
Holding in Top 10 Change %
-33.33%
% of All Funds
0.12%
New
38
Increased
122
Reduced
53
Closed
20
Calls
$1.26M
Puts
$2.52M
Net Calls
-$1.26M
Net Calls Change
+$176K

Top Buyers

1
DFG
1
Delphi Financial Group
Delaware
$35.2M
2
CNB
2
City National Bank
California
$21.1M
3
BFA
3
BlackRock Fund Advisors
California
$173M
4
Two Sigma Investments
4
Two Sigma Investments
New York
$12.2M
5
Susquehanna International Group
5
Susquehanna International Group
Pennsylvania
$10.5M

Top Sellers

1
KeyBank National Association
1
KeyBank National Association
Ohio
$1.44M
2
Deutsche Bank
2
Deutsche Bank
Germany
$12.5M
3
CIBC World Market
3
CIBC World Market
Ontario, Canada
$0
4
PFC
4
Phocas Financial Corp
California
$0
5
MPM
5
Meritage Portfolio Management
Kansas
$0
Name Holding Trade Value Shares
Change 		Shares
Change %
FMP
226
Financial Management Professionals
Texas
$11K +$5.39K +500 +96%
Envestnet Asset Management
227
Envestnet Asset Management
Illinois
$3K -$2.56K -201 -46%
ECM
228
ETrade Capital Management
Virginia
$3K +$92 +7 +3%
Manulife (Manufacturers Life Insurance)
229
Manulife (Manufacturers Life Insurance)
Ontario, Canada
$2.21K +$349 +31,139 +19%
JG
230
Jefferies Group
New York
$2K -$138K -9,693 -99%
WCM
231
Wealthcare Capital Management
Virginia
$2K – – –
TFA
232
Transamerica Financial Advisors
Florida
$2K – – –
PCTC
233
Perkins Coie Trust Company
Washington
$2K +$2K +200 New
RFA
234
Reilly Financial Advisors
California
$2K +$2K +212 New
PIA
235
Piedmont Investment Advisors
North Carolina
$1.93K -$1.22K -109 -39%
TCM
236
Tradewinds Capital Management
Washington
$1K +$1K +114 New
CIBC World Market
237
CIBC World Market
Ontario, Canada
– -$2.97M -265,591 Closed
PFC
238
Phocas Financial Corp
California
– -$2.78M -248,208 Closed
MPM
239
Meritage Portfolio Management
Kansas
– -$2.64M -236,465 Closed
RFC
240
Russell Frank Company
Washington
– -$854K -76,417 Closed
GXMC
241
Global X Management Company
New York
– -$678K -60,671 Closed
CEP
242
Chicago Equity Partners
Illinois
– -$594K -53,250 Closed
CCA
243
Catalyst Capital Advisors
New York
– -$432K -38,575 Closed
HCM
244
Hilton Capital Management
New York
– -$357K -32,000 Closed
SSG
245
Summit Securities Group
New York
– -$255K -22,800 Closed
CIM
246
Confluence Investment Management
Missouri
– -$218K -19,539 Closed
HSBC Holdings
247
HSBC Holdings
United Kingdom
– -$187K -16,754 Closed
FMWA
248
Forvis Mazars Wealth Advisors
Missouri
– -$163K -14,602 Closed
VAM
249
Visium Asset Management
New York
– -$147K -13,111 Closed
California Public Employees Retirement System
250
California Public Employees Retirement System
California
– -$127K -11,339 Closed
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