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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 %
OWIM
51
Old West Investment Management
California
$1.39M – – –
Stifel Financial
52
Stifel Financial
Missouri
$1.34M +$89.7K +9,061 +7%
BP
53
Banyan Partners
Florida
$1.31M +$438K +44,200 +50%
Citigroup
54
Citigroup
New York
$1.29M -$12.4M -1,248,575 -91%
CK
55
Carnick & Kubik
Colorado
$1.29M +$5.07K +512 +0.4%
Susquehanna International Group
56
Susquehanna International Group
Pennsylvania
$1.21M -$9.32M -941,419 -89%
UCFA
57
United Capital Financial Advisors
Texas
$1.19M +$280K +28,302 +31%
SG Americas Securities
58
SG Americas Securities
New York
$1.17M -$364K -36,800 -24%
Envestnet Asset Management
59
Envestnet Asset Management
Illinois
$1.17M +$253K +25,579 +28%
BTS
60
BB&T Securities
Virginia
$1.16M -$218K -2,200 -16%
LTFS
61
Ladenburg Thalmann Financial Services
Florida
$1.13M +$100K +10,123 +10%
Creative Planning
62
Creative Planning
Kansas
$1.08M +$223K +22,522 +26%
MBT
63
Montecito Bank & Trust
California
$1.07M – – –
BRWA
64
B. Riley Wealth Advisors
Florida
$1.02M -$4.02M -406,578 -80%
DnB Asset Management
65
DnB Asset Management
Norway
$1M +$153K +15,400 +18%
WS
66
Wedbush Securities
California
$948K +$233K +23,570 +33%
ANI
67
American National Insurance
Texas
$929K – – –
DC
68
Davenport & Co
Virginia
$907K -$171K -17,298 -16%
Allianz Asset Management
69
Allianz Asset Management
Germany
$906K +$49.5K +4,999 +6%
TYCC
70
Texas Yale Capital Corp
Florida
$900K +$801K +80,890 +809%
EM
71
EnTrustPermal Management
New York
$886K -$195K -19,644 -18%
AA
72
Ancora Advisors
Ohio
$881K +$79.2K +8,000 +10%
RPA
73
Rock Point Advisors
Vermont
$862K -$52.6K -5,310 -6%
MCM
74
McKinley Capital Management
Alaska
$857K -$27.1K -2,733 -3%
TRSOTSOK
75
Teachers Retirement System of the State of Kentucky
Kentucky
$800K -$104K -10,500 -12%
1 2
3
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