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Prospect Capital
PSEC

Overview Fund Activity

219 hedge funds and large institutions have $853M invested in Prospect Capital in 2013 Q3 according to their latest regulatory filings, with 35 funds opening new positions, 110 increasing their positions, 49 reducing their positions, and 17 closing their positions.

Holders
219
Holders Change
+16
Holders Change %
+7.88%
% of All Funds
7.1%
Holding in Top 10
6
Holding in Top 10 Change
+1
Holding in Top 10 Change %
+20%
% of All Funds
0.19%
New
35
Increased
110
Reduced
49
Closed
17
Calls
$1.07M
Puts
$2.51M
Net Calls
-$1.43M
Net Calls Change
+$465K

Top Buyers

1
BFA
1
BlackRock Fund Advisors
California
$154M
2
D.E. Shaw & Co
2
D.E. Shaw & Co
New York
$9.59M
3
YMRC
3
Yorktown Management & Research Company
Virginia
$10.1M
4
Vanguard Group
4
Vanguard Group
Pennsylvania
$39.8M
5
Northern Trust
5
Northern Trust
Illinois
$47.2M

Top Sellers

1
KeyBank National Association
1
KeyBank National Association
Ohio
$10.2M
2
Principal Financial Group
2
Principal Financial Group
Iowa
$16.6M
3
DFG
3
Delphi Financial Group
Delaware
$10.6M
4
AQR Capital Management
4
AQR Capital Management
Connecticut
$2.26M
5
Two Sigma Investments
5
Two Sigma Investments
New York
$0
Name Holding Trade Value Shares
Change 		Shares
Change %
Robeco Institutional Asset Management
26
Robeco Institutional Asset Management
Netherlands
$7.48M – – –
SGCIA
27
Smith Graham & Co Investment Advisors
Texas
$7.37M -$70.9K -6,350 -1%
DCM
28
Dupont Capital Management
Delaware
$7.15M -$267K -23,911 -4%
Public Sector Pension Investment Board (PSP Investments)
29
Public Sector Pension Investment Board (PSP Investments)
Quebec, Canada
$6.99M +$2.51M +224,200 +56%
Prudential Financial
30
Prudential Financial
New Jersey
$6.41M +$1.28M +114,600 +25%
New York State Common Retirement Fund
31
New York State Common Retirement Fund
New York
$5.48M +$5.61K +502 +0.1%
TFMS
32
Trust & Fiduciary Management Services
Massachusetts
$5.39M -$471K -42,180 -8%
California State Teachers Retirement System (CalSTRS)
33
California State Teachers Retirement System (CalSTRS)
California
$5.22M +$483K +43,227 +10%
AllianceBernstein
34
AllianceBernstein
Tennessee
$5.16M +$77.9K +6,968 +2%
Charles Schwab
35
Charles Schwab
California
$4.82M +$265K +23,600 +6%
SAM
36
Selway Asset Management
$4.58M +$964K +86,300 +27%
RhumbLine Advisers
37
RhumbLine Advisers
Massachusetts
$4.43M +$222K +19,896 +5%
Goldman Sachs
38
Goldman Sachs
New York
$3.89M +$972K +87,020 +33%
NFA
39
Nationwide Fund Advisors
Ohio
$3.76M +$366K +32,729 +11%
CP
40
Camelot Portfolios
Ohio
$3.74M +$203K +18,140 +6%
AIG
41
American International Group
New York
$3.67M +$366K +32,792 +11%
CS
42
Credit Suisse
Switzerland
$3.62M +$879K +78,696 +32%
GC
43
Guggenheim Capital
Illinois
$3.42M -$934K -83,572 -21%
Comerica Bank
44
Comerica Bank
Texas
$3.25M +$697K +62,420 +27%
TPSF
45
Texas Permanent School Fund
Texas
$3.07M +$421K +37,680 +16%
New York State Teachers Retirement System (NYSTRS)
46
New York State Teachers Retirement System (NYSTRS)
New York
$2.98M +$217K +19,400 +8%
CIBC World Market
47
CIBC World Market
Ontario, Canada
$2.97M -$619K -55,369 -17%
Wells Fargo
48
Wells Fargo
California
$2.95M +$127K +11,326 +4%
PFC
49
Phocas Financial Corp
California
$2.78M +$16.5K +1,478 +0.6%
Bank of America
50
Bank of America
North Carolina
$2.74M +$194K +17,396 +8%
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