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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 %
Wellington Management Group
26
Wellington Management Group
Massachusetts
$3.52M +$2.54M +256,673 +261%
KeyBank National Association
27
KeyBank National Association
Ohio
$3.49M +$2.27M +229,565 +187%
JPMPWA
28
J.P. Morgan Private Wealth Advisors
California
$3.41M +$1.1M +110,913 +47%
Citadel Advisors
29
Citadel Advisors
Florida
$3.24M -$7.39M -746,862 -70%
CS
30
Credit Suisse
Switzerland
$3.19M -$3.78M -382,251 -54%
Wells Fargo
31
Wells Fargo
California
$2.89M -$715K -72,159 -20%
Legal & General Group
32
Legal & General Group
United Kingdom
$2.87M +$356K +35,949 +14%
Cambridge Investment Research Advisors
33
Cambridge Investment Research Advisors
Iowa
$2.79M +$488K +49,317 +21%
LPL Financial
34
LPL Financial
California
$2.62M +$347K +34,942 +15%
DG
35
Davidson & Garrard
Virginia
$2.52M +$5.95K +601 +0.2%
Commonwealth Equity Services
36
Commonwealth Equity Services
Massachusetts
$2.48M +$313K +31,655 +14%
US Bancorp
37
US Bancorp
Minnesota
$2.41M +$396K +40,000 +20%
BIM
38
BlackRock Investment Management
Delaware
$2.39M +$699K +70,600 +41%
DVM
39
Dreman Value Management
Florida
$2.35M +$22.8K +2,300 +1%
Credit Agricole
40
Credit Agricole
France
$2.3M -$777K -78,500 -25%
AIM
41
Allen Investment Management
New York
$2.22M +$1.42M +143,061 +177%
MSE
42
MUFG Securities EMEA
United Kingdom
$2.16M +$358K +36,204 +20%
Fiera Capital (Canada)
43
Fiera Capital (Canada)
Quebec, Canada
$2.1M +$109K +11,000 +5%
SRC
44
Shufro Rose & Co
New York
$1.95M +$82.2K +8,300 +4%
RJA
45
Raymond James & Associates
Florida
$1.89M +$199K +20,096 +12%
DCM
46
Dupont Capital Management
Delaware
$1.83M -$2.19M -221,590 -55%
ACI
47
Alpha Cubed Investments
California
$1.75M -$41.7K -4,211 -2%
PFS
48
Prospera Financial Services
Texas
$1.72M +$248K +25,000 +17%
PSI
49
Pinnacle Summer Investments
Virginia
$1.49M +$1.7K +172 +0.1%
Royal Bank of Canada
50
Royal Bank of Canada
Ontario, Canada
$1.42M +$337K +34,006 +31%
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