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Prospect Capital
PSEC

Overview Fund Activity

219 hedge funds and large institutions have $428M invested in Prospect Capital in 2014 Q4 according to their latest regulatory filings, with 53 funds opening new positions, 69 increasing their positions, 69 reducing their positions, and 35 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
219
Holders Change
+13
Holders Change %
+6.31%
% of All Funds
5.84%
Holding in Top 10
6
Holding in Top 10 Change
+2
Holding in Top 10 Change %
+50%
% of All Funds
0.16%
New
53
Increased
69
Reduced
69
Closed
35
Calls
$2.26M
Puts
$6.55M
Net Calls
-$4.29M
Net Calls Change
+$8.2M

Top Buyers

1
Deutsche Bank
1
Deutsche Bank
Germany
$24.2M
2
RCM
2
Rivernorth Capital Management
Florida
$9.07M
3
AFG
3
American Financial Group
Ohio
$8.26M
4
Citadel Advisors
4
Citadel Advisors
Florida
$10.9M
5
Two Sigma Investments
5
Two Sigma Investments
New York
$7.51M

Top Sellers

1
CNB
1
City National Bank
California
$6.38M
2
VM
2
Varde Management
Minnesota
$0
3
PSI
3
Pinnacle Summer Investments
Virginia
$1.24M
4
AAMU
4
Amundi Asset Management US
Massachusetts
$0
5
Goldman Sachs
5
Goldman Sachs
New York
$3.82M
Name Holding Trade Value Shares
Change 		Shares
Change %
CCB
226
Cutter & Co Brokerage
Missouri
– -$750K -75,805 Closed
SFP
227
Santa Fe Partners
New Mexico
– -$722K -72,925 Closed
LP
228
LMR Partners
United Kingdom
– -$681K -68,851 Closed
SEC
229
Seven Eight Capital
New York
– -$368K -37,212 Closed
JPMorgan Chase & Co
230
JPMorgan Chase & Co
New York
– -$367K -37,074 Closed
HNB
231
Huntington National Bank
Ohio
– -$355K -35,900 Closed
IIM
232
Ipswich Investment Management
Massachusetts
– -$311K -31,432 Closed
PAM
233
Princeton Alpha Management
New Jersey
– -$299K -30,196 Closed
HSA
234
HBK Sorce Advisory
Pennsylvania
– -$266K -26,820 Closed
CL
235
CPWM LLC
Washington
– -$253K -25,532 Closed
RJFSA
236
Raymond James Financial Services Advisors
Florida
– -$212K -21,412 Closed
WMC
237
Westwood Management Corporation
Illinois
– -$198K -20,000 Closed
CFA
238
Cahill Financial Advisors
Minnesota
– -$173K -17,441 Closed
QIM
239
Quantitative Investment Management
Virginia
– -$166K -16,800 Closed
CL
240
CSS LLC
Illinois
– -$132K -13,355 Closed
FBNAT
241
FirstMerit Bank N.A. Trustee
Ohio
– -$126K -12,700 Closed
JIC
242
Johnson Investment Counsel
Ohio
– -$123K -12,500 Closed
BGA
243
Belmont Global Advisors
Texas
– -$120K -12,100 Closed
PAG
244
Private Advisor Group
New Jersey
– -$109K -11,033 Closed
Mariner
245
Mariner
Kansas
– -$109K -10,980 Closed
WTB
246
Washington Trust Bank
Washington
– -$46K -4,670 Closed
GAM
247
Gemmer Asset Management
California
– -$30K -3,000 Closed
MIM
248
Macroview Investment Management
Maryland
– -$29K -2,914 Closed
PIA
249
Peachtree Investment Advisors
Georgia
– -$24K -2,400 Closed
KBC Group
250
KBC Group
Belgium
– -$20K -1,989 Closed
7 8 9
10
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