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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 %
Fiera Capital (Canada)
76
Fiera Capital (Canada)
Quebec, Canada
$1.42M +$22.3K +2,000 +2%
Geode Capital Management
77
Geode Capital Management
Massachusetts
$1.36M +$467K +41,801 +53%
BA
78
BlackRock Advisors
Delaware
$1.34M +$99.3K +8,890 +8%
Commonwealth Equity Services
79
Commonwealth Equity Services
Massachusetts
$1.32M +$176K +15,749 +15%
DC
80
Davenport & Co
Virginia
$1.27M -$80.4K -7,202 -6%
VOYA Investment Management
81
VOYA Investment Management
Georgia
$1.27M – – –
First Trust Advisors
82
First Trust Advisors
Illinois
$1.26M +$92K +8,231 +8%
BTS
83
BB&T Securities
Virginia
$1.25M +$1.25M +11,149 New
UBS AM
84
UBS AM
Illinois
$1.23M +$14.5K +1,300 +1%
VFS
85
VSR Financial Services
Kansas
$1.19M +$48.4K +4,332 +4%
CPSAC
86
Chas P. Smith & Associates (CPS)
Florida
$1.19M +$73.2K +6,550 +7%
PA
87
Profund Advisors
Maryland
$1.19M +$654K +58,466 +123%
RJA
88
Raymond James & Associates
Florida
$1.15M +$509K +45,597 +80%
Royal Bank of Canada
89
Royal Bank of Canada
Ontario, Canada
$1.14M +$317K +28,392 +39%
LTFS
90
Ladenburg Thalmann Financial Services
Florida
$1.1M +$25.5K +2,277 +2%
TRSOTSOK
91
Teachers Retirement System of the State of Kentucky
Kentucky
$1.07M -$59.1K -5,289 -5%
Thrivent Financial for Lutherans
92
Thrivent Financial for Lutherans
Minnesota
$1.05M +$190K +17,000 +22%
ANI
93
American National Insurance
Texas
$1.05M +$1.05M +93,825 New
Cambridge Investment Research Advisors
94
Cambridge Investment Research Advisors
Iowa
$1.04M -$89.3K -7,998 -8%
CAM
95
Capstone Asset Management
Texas
$1.04M +$46.7K +4,180 +5%
CNB
96
City National Bank
California
$983K +$983K +88,000 New
MCM
97
McKinley Capital Management
Alaska
$981K -$6.09K -545 -0.6%
EM
98
EnTrustPermal Management
New York
$929K +$929K +83,167 New
MIU
99
Man Investments (UK)
United Kingdom
$896K -$527K -47,175 -37%
BRWA
100
B. Riley Wealth Advisors
Florida
$875K -$49.7K -4,454 -5%
2 3
4
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