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Prospect Capital
PSEC

Overview Fund Activity

235 hedge funds and large institutions have $993M invested in Prospect Capital in 2013 Q4 according to their latest regulatory filings, with 38 funds opening new positions, 122 increasing their positions, 53 reducing their positions, and 20 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
235
Holders Change
+16
Holders Change %
+7.31%
% of All Funds
6.83%
Holding in Top 10
4
Holding in Top 10 Change
-2
Holding in Top 10 Change %
-33.33%
% of All Funds
0.12%
New
38
Increased
122
Reduced
53
Closed
20
Calls
$1.26M
Puts
$2.52M
Net Calls
-$1.26M
Net Calls Change
+$176K

Top Buyers

1
DFG
1
Delphi Financial Group
Delaware
$35.2M
2
CNB
2
City National Bank
California
$21.1M
3
BFA
3
BlackRock Fund Advisors
California
$173M
4
Two Sigma Investments
4
Two Sigma Investments
New York
$12.2M
5
Susquehanna International Group
5
Susquehanna International Group
Pennsylvania
$10.5M

Top Sellers

1
KeyBank National Association
1
KeyBank National Association
Ohio
$1.44M
2
Deutsche Bank
2
Deutsche Bank
Germany
$12.5M
3
CIBC World Market
3
CIBC World Market
Ontario, Canada
$0
4
PFC
4
Phocas Financial Corp
California
$0
5
MPM
5
Meritage Portfolio Management
Kansas
$0
Name Holding Trade Value Shares
Change 		Shares
Change %
LSV Asset Management
76
LSV Asset Management
Illinois
$1.79M +$1.09M +96,900 +154%
RJA
77
Raymond James & Associates
Florida
$1.77M +$618K +55,044 +53%
SRC
78
Shufro Rose & Co
New York
$1.77M -$7.85K -700 -0.4%
Geode Capital Management
79
Geode Capital Management
Massachusetts
$1.71M +$347K +30,939 +26%
PSI
80
Pinnacle Summer Investments
Virginia
$1.7M -$10.1K -900 -0.6%
OWIM
81
Old West Investment Management
California
$1.57M – – –
BA
82
BlackRock Advisors
Delaware
$1.55M +$209K +18,669 +16%
PP
83
Paloma Partners
Connecticut
$1.53M +$1.53M +136,363 New
Two Sigma Advisers
84
Two Sigma Advisers
New York
$1.53M +$1.53M +136,052 New
PFS
85
Prospera Financial Services
Texas
$1.52M +$1.52M +135,700 New
Allianz Asset Management
86
Allianz Asset Management
Germany
$1.5M -$259K -23,053 -15%
LSERS
87
Louisiana State Employees Retirement System
Louisiana
$1.47M +$1.47M +131,400 New
KeyBank National Association
88
KeyBank National Association
Ohio
$1.44M -$8.85M -788,489 -86%
CK
89
Carnick & Kubik
Colorado
$1.42M -$14.3K -1,275 -1%
Commonwealth Equity Services
90
Commonwealth Equity Services
Massachusetts
$1.41M +$91.4K +8,146 +7%
BTS
91
BB&T Securities
Virginia
$1.4M +$146K +1,300 +12%
MCM
92
McKinley Capital Management
Alaska
$1.37M +$386K +34,387 +39%
DC
93
Davenport & Co
Virginia
$1.26M -$24.4K -2,172 -2%
US Bancorp
94
US Bancorp
Minnesota
$1.25M +$860K +76,672 +221%
TRSOTSOK
95
Teachers Retirement System of the State of Kentucky
Kentucky
$1.22M +$147K +13,091 +14%
CAM
96
Capstone Asset Management
Texas
$1.22M +$175K +15,643 +17%
Thrivent Financial for Lutherans
97
Thrivent Financial for Lutherans
Minnesota
$1.18M +$118K +10,504 +11%
Public Employees Retirement Association of Colorado
98
Public Employees Retirement Association of Colorado
Colorado
$1.17M +$1.17M +104,501 New
EM
99
EnTrustPermal Management
New York
$1.15M +$219K +19,523 +23%
Fifth Third Bancorp
100
Fifth Third Bancorp
Ohio
$1.14M -$1.53M -136,000 -57%
2 3
4
5 6