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Prospect Capital
PSEC

Overview Fund Activity

254 hedge funds and large institutions have $908M invested in Prospect Capital in 2014 Q1 according to their latest regulatory filings, with 49 funds opening new positions, 107 increasing their positions, 70 reducing their positions, and 25 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
254
Holders Change
+19
Holders Change %
+8.09%
% of All Funds
7.34%
Holding in Top 10
5
Holding in Top 10 Change
+1
Holding in Top 10 Change %
+25%
% of All Funds
0.14%
New
49
Increased
107
Reduced
70
Closed
25
Calls
$825K
Puts
$3.47M
Net Calls
-$2.65M
Net Calls Change
-$1.39M

Top Buyers

1
Two Sigma Investments
1
Two Sigma Investments
New York
$47.7M
2
Two Sigma Advisers
2
Two Sigma Advisers
New York
$35.8M
3
CNB
3
City National Bank
California
$40.2M
4
U
4
UBS
Switzerland
$43.2M
5
Bank of America
5
Bank of America
North Carolina
$10.5M

Top Sellers

1
BFA
1
BlackRock Fund Advisors
California
$83.8M
2
Vanguard Group
2
Vanguard Group
Pennsylvania
$11.1M
3
Principal Financial Group
3
Principal Financial Group
Iowa
$923K
4
Ameriprise
4
Ameriprise
Minnesota
$85K
5
Bank of New York Mellon
5
Bank of New York Mellon
New York
$12.4M
Name Holding Trade Value Shares
Change 		Shares
Change %
GT
226
Glenmede Trust
Pennsylvania
$58K +$9.8K +925 +20%
WTB
227
Washington Trust Bank
Washington
$50K +$50K +4,670 New
PSC
228
Prentiss Smith & Co
Vermont
$44K – – –
FNBT
229
FineMark National Bank & Trust
Florida
$29K +$152 +14 +0.5%
ASRS
230
Arizona State Retirement System
Arizona
$26K -$2.36M -226,106 -99%
FMII
231
Farmers & Merchants Investments Inc
Nebraska
$26K – – –
SNT
232
Security National Trust
West Virginia
$22K – – –
MAS
233
Madden Advisory Services
Florida
$21K +$21K +1,940 New
WA
234
Waverly Advisors
Alabama
$20K +$20K +1,813 New
TFA
235
Transamerica Financial Advisors
Florida
$18K +$16.9K +1,500 +1,500%
FMP
236
Financial Management Professionals
Texas
$16K +$4.9K +450 +44%
ECM
237
ETrade Capital Management
Virginia
$13K +$10.6K +1,007 +442%
TRCT
238
Tower Research Capital (TRC)
New York
$12K -$7.33K -663 -38%
PAS
239
Partnervest Advisory Services
California
$12K +$1.11K +102 +10%
ACS
240
Archford Capital Strategies
Illinois
$10.8K +$10.8K +1,000 New
HR
241
Howe & Rusling
New York
$5K +$5K +450 New
S
242
SignatureFD
Georgia
$5K +$5K +474 New
MSA
243
Mason Street Advisors
Wisconsin
$4K -$519K -45,250 -99%
MIM
244
Macroview Investment Management
Maryland
$4K +$4K +400 New
BNP Paribas Financial Markets
245
BNP Paribas Financial Markets
France
$3.81K -$35.3K -3,261 -90%
Manulife (Manufacturers Life Insurance)
246
Manulife (Manufacturers Life Insurance)
Ontario, Canada
$2.2K +$80 +7,426 +4%
PCTC
247
Perkins Coie Trust Company
Washington
$2K – – –
WCM
248
Wealthcare Capital Management
Virginia
$2K – – –
RFA
249
Reilly Financial Advisors
California
$2K – – –
KT
250
Kanaly Trust
Texas
$2K +$2K +157 New
8 9
10
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