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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 %
CIBC World Market
51
CIBC World Market
Ontario, Canada
$1.9M +$1.9M +230,356 New
Royal Bank of Canada
52
Royal Bank of Canada
Ontario, Canada
$1.89M +$709K +85,808 +60%
Group One Trading
53
Group One Trading
Illinois
$1.75M +$1.56M +188,407 +801%
RPA
54
Rock Point Advisors
Vermont
$1.72M +$1M +121,325 +139%
VKH
55
Virtu KCG Holdings
New York
$1.7M +$1.31M +158,549 +337%
Susquehanna International Group
56
Susquehanna International Group
Pennsylvania
$1.6M +$596K +72,210 +59%
SRC
57
Shufro Rose & Co
New York
$1.6M -$24.8K -3,000 -2%
Creative Planning
58
Creative Planning
Kansas
$1.52M +$616K +74,601 +68%
RJA
59
Raymond James & Associates
Florida
$1.48M -$91.9K -11,126 -6%
D.E. Shaw & Co
60
D.E. Shaw & Co
New York
$1.38M +$1.38M +167,496 New
LTFS
61
Ladenburg Thalmann Financial Services
Florida
$1.35M +$402K +48,621 +43%
BW
62
Bison Wealth
Georgia
$1.26M +$1.26M +152,893 New
PSI
63
Pinnacle Summer Investments
Virginia
$1.24M -$8.43M -131,630 -87%
PFS
64
Prospera Financial Services
Texas
$1.16M -$277K -33,500 -19%
OWIM
65
Old West Investment Management
California
$1.16M – – –
WS
66
Wedbush Securities
California
$1.15M +$361K +43,718 +46%
PAMU
67
Pictet Asset Management (UK)
United Kingdom
$1.14M +$1.14M +138,300 New
BTS
68
BB&T Securities
Virginia
$1.11M +$140K +1,700 +14%
SW
69
SVB Wealth
Massachusetts
$1.07M +$1.07M +129,700 New
Credit Agricole
70
Credit Agricole
France
$999K -$968K -114,100 -49%
SG Americas Securities
71
SG Americas Securities
New York
$988K +$12.4K +1,500 +1%
DnB Asset Management
72
DnB Asset Management
Norway
$905K +$67.8K +8,200 +8%
AA
73
Ancora Advisors
Ohio
$904K +$169K +20,500 +23%
MBT
74
Montecito Bank & Trust
California
$867K -$21.8K -2,646 -2%
TYCC
75
Texas Yale Capital Corp
Florida
$863K +$112K +13,610 +15%
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