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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 %
CA
76
Cetera Advisors
Colorado
$770K +$340K +34,244 +79%
Nuveen Asset Management
77
Nuveen Asset Management
Illinois
$752K +$89.1K +9,000 +13%
CCB
78
Cutter & Co Brokerage
Missouri
$750K -$1.76K -178 -0.2%
BB
79
Bell Bank
North Dakota
$748K +$53.3K +5,385 +8%
SFP
80
Santa Fe Partners
New Mexico
$722K -$8.95K -904 -1%
WA
81
WFG Advisors
Texas
$699K -$21.6K -2,183 -3%
NPC
82
National Planning Corporation
California
$696K -$229K -23,379 -25%
PCC
83
Park Circle Company
Maryland
$693K – – –
LP
84
LMR Partners
United Kingdom
$681K -$6.81M -688,471 -91%
QT
85
Quantbot Technologies
New York
$679K +$180K +18,216 +36%
SCM
86
Summit Capital Management
Washington
$677K +$677K +68,335 New
CPSAC
87
Chas P. Smith & Associates (CPS)
Florida
$660K +$79.8K +8,060 +14%
SB
88
Suntrust Banks
Georgia
$652K -$449K -45,409 -41%
PPA
89
Parametric Portfolio Associates
Washington
$645K -$1.46M -147,461 -69%
VFS
90
VSR Financial Services
Kansas
$632K +$186K +18,744 +42%
M&T Bank
91
M&T Bank
New York
$601K +$230K +23,236 +62%
WEC
92
Winslow Evans & Crocker
Massachusetts
$578K +$91.4K +9,231 +19%
OC
93
Oppenheimer & Co
New York
$574K +$163K +16,434 +40%
Nomura Holdings
94
Nomura Holdings
Japan
$572K -$1.35M -135,610 -70%
HCM
95
Highlander Capital Management
New Jersey
$564K +$495 +50 +0.1%
FANJ
96
Financial Architects (New Jersey)
New Jersey
$554K +$514K +52,000 +1,300%
ANRIA
97
American National Registered Investment Advisor
Texas
$542K – – –
CAN
98
Cetera Advisor Networks
California
$536K -$452K -45,327 -46%
ICOA
99
Investment Centers of America
North Dakota
$525K +$170K +17,082 +48%
IAS
100
IMA Advisory Services
Colorado
$505K -$2.48K -250 -0.5%
2 3
4
5 6