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Prospect Capital
PSEC

Overview Fund Activity

206 hedge funds and large institutions have $434M invested in Prospect Capital in 2014 Q3 according to their latest regulatory filings, with 21 funds opening new positions, 82 increasing their positions, 68 reducing their positions, and 42 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
206
Holders Change
-21
Holders Change %
-9.25%
% of All Funds
5.98%
Holding in Top 10
4
Holding in Top 10 Change
-1
Holding in Top 10 Change %
-20%
% of All Funds
0.12%
New
21
Increased
82
Reduced
68
Closed
42
Calls
$623K
Puts
$13.1M
Net Calls
-$12.5M
Net Calls Change
-$3.58M

Top Buyers

1
AAMU
1
Amundi Asset Management US
Massachusetts
$7.07M
2
CNB
2
City National Bank
California
$50.5M
3
AAM
3
Advisors Asset Management
Colorado
$21.5M
4
Goldman Sachs
4
Goldman Sachs
New York
$9.68M
5
BC
5
Barnett & Company
Tennessee
$5.63M

Top Sellers

1
Northern Trust
1
Northern Trust
Illinois
$319K
2
Morgan Stanley
2
Morgan Stanley
New York
$21.8M
3
PP
3
Paloma Partners
Connecticut
$0
4
Citigroup
4
Citigroup
New York
$1.29M
5
Deutsche Bank
5
Deutsche Bank
Germany
$7.66M
Name Holding Trade Value Shares
Change 		Shares
Change %
SFM
226
Soros Fund Management
New York
– -$443K -41,700 Closed
SIM
227
SSI Investment Management
California
– -$412K -38,805 Closed
Marshall Wace
228
Marshall Wace
United Kingdom
– -$386K -36,300 Closed
SWP
229
Stratos Wealth Partners
Ohio
– -$290K -26,939 Closed
NCMW
230
Northern Capital Management (Wisconsin)
Wisconsin
– -$238K -22,375 Closed
SLG
231
Stanley-Laman Group
Pennsylvania
– -$213K -20,070 Closed
IRS
232
Invictus RG (Singapore)
Singapore
– -$184K -17,350 Closed
FMW
233
Farr Miller & Washington
District of Columbia
– -$159K -15,000 Closed
Verition Fund Management
234
Verition Fund Management
Connecticut
– -$144K -13,517 Closed
MC
235
Moors & Cabot
Massachusetts
– -$127K -12,075 Closed
CAS
236
CTC Alternative Strategies
Illinois
– -$123K -11,600 Closed
UOC
237
UBS O'Connor
Illinois
– -$117K -11,036 Closed
PL
238
Parkwood LLC
Ohio
– -$117K -11,022 Closed
CI
239
Cowen Inc
New York
– -$117K -11,000 Closed
Massachusetts Financial Services
240
Massachusetts Financial Services
Massachusetts
– -$113K -10,681 Closed
BCM
241
Bluefin Capital Management
New York
– -$100K -10,183 Closed
BNP Paribas Financial Markets
242
BNP Paribas Financial Markets
France
– -$72.3K -6,809 Closed
TWA
243
TCI Wealth Advisors
Arizona
– -$62K -5,870 Closed
Dimensional Fund Advisors
244
Dimensional Fund Advisors
Texas
– -$54K -5,091 Closed
CFA
245
Carroll Financial Associates
North Carolina
– -$18K -1,717 Closed
PH
246
Pinnacle Holdings
Oklahoma
– -$16.6K -1,560 Closed
WA
247
Waverly Advisors
Alabama
– -$12K -1,150 Closed
PAS
248
Partnervest Advisory Services
California
– -$11K -1,000 Closed
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