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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 %
State of Tennessee, Department of Treasury
51
State of Tennessee, Department of Treasury
Tennessee
$2.69M +$2.69M +240,434 New
Fifth Third Bancorp
52
Fifth Third Bancorp
Ohio
$2.66M +$2.66M +237,800 New
MPM
53
Meritage Portfolio Management
Kansas
$2.64M +$4.19K +375 +0.2%
ASRS
54
Arizona State Retirement System
Arizona
$2.62M +$510K +45,617 +24%
IIM
55
Ipswich Investment Management
Massachusetts
$2.59M -$261K -23,400 -9%
DVM
56
Dreman Value Management
Florida
$2.52M +$2.52M +225,771 New
LPL Financial
57
LPL Financial
California
$2.51M +$1.06M +95,649 +73%
Swiss National Bank
58
Swiss National Bank
Switzerland
$2.34M -$91.7K -8,200 -4%
PPA
59
Parametric Portfolio Associates
Washington
$2.34M +$149K +13,299 +7%
MLICM
60
Metropolitan Life Insurance Company (MetLife)
New York
$2.31M +$156K +13,923 +7%
AQR Capital Management
61
AQR Capital Management
Connecticut
$2.26M -$4.81M -430,558 -68%
VKH
62
Virtu KCG Holdings
New York
$2.19M +$2.19M +196,421 New
SG Americas Securities
63
SG Americas Securities
New York
$2.02M +$738K +66,092 +58%
DG
64
Davidson & Garrard
Virginia
$2.01M +$344K +30,819 +21%
ProShare Advisors
65
ProShare Advisors
Maryland
$1.93M +$273K +24,440 +17%
Legal & General Group
66
Legal & General Group
United Kingdom
$1.89M +$132K +11,794 +8%
State Board of Administration of Florida Retirement System
67
State Board of Administration of Florida Retirement System
Florida
$1.81M +$72.5K +6,486 +4%
SRC
68
Shufro Rose & Co
New York
$1.77M -$5.59K -500 -0.3%
Allianz Asset Management
69
Allianz Asset Management
Germany
$1.75M -$2.03M -181,784 -54%
NCCM
70
Nine Chapters Capital Management
New Jersey
$1.74M +$1.54M +137,700 +774%
PSI
71
Pinnacle Summer Investments
Virginia
$1.7M +$200K +17,900 +13%
VanEck Associates
72
VanEck Associates
New York
$1.65M +$131K +11,728 +9%
OWIM
73
Old West Investment Management
California
$1.56M – – –
Barclays
74
Barclays
United Kingdom
$1.51M -$692K -62,923 -31%
CK
75
Carnick & Kubik
Colorado
$1.43M -$44.4K -3,975 -3%
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