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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 %
TFCM
76
Taylor Frigon Capital Management
Arizona
$805K +$805K +97,489 New
SPC
77
Sigma Planning Corp
Michigan
$790K +$790K +95,633 New
ANI
78
American National Insurance
Texas
$775K – – –
BB
79
Bell Bank
North Dakota
$722K +$97.3K +11,775 +16%
Stifel Financial
80
Stifel Financial
Missouri
$713K -$405K -48,962 -36%
MCM
81
McKinley Capital Management
Alaska
$703K -$12K -1,456 -2%
SC
82
Selz Capital
New York
$702K +$702K +85,000 New
HT
83
HAP Trading
New York
$666K +$666K +80,600 New
EMG
84
Ellington Management Group
Connecticut
$645K +$645K +78,030 New
DC
85
Deschaine & Company
Illinois
$631K +$631K +76,350 New
JG
86
Jefferies Group
New York
$606K +$606K +73,255 New
Tudor Investment Corp
87
Tudor Investment Corp
Connecticut
$596K +$596K +72,199 New
PCC
88
Park Circle Company
Maryland
$578K – – –
TRSOTSOK
89
Teachers Retirement System of the State of Kentucky
Kentucky
$567K -$99.9K -12,100 -15%
CA
90
Cetera Advisors
Colorado
$563K -$73.1K -8,914 -11%
HAG
91
HighPoint Advisor Group
Illinois
$560K +$560K +65,145 New
Bank of New York Mellon
92
Bank of New York Mellon
New York
$559K +$165K +20,019 +42%
VFS
93
VSR Financial Services
Kansas
$542K +$14.4K +1,743 +3%
WA
94
WFG Advisors
Texas
$534K -$48.7K -5,899 -8%
SB
95
Suntrust Banks
Georgia
$531K -$12.6K -1,534 -2%
Two Sigma Advisers
96
Two Sigma Advisers
New York
$499K +$499K +60,439 New
EM
97
EnTrustPermal Management
New York
$486K -$254K -30,700 -34%
WEC
98
Winslow Evans & Crocker
Massachusetts
$486K +$3.34K +404 +0.7%
FANJ
99
Financial Architects (New Jersey)
New Jersey
$471K +$8.26K +1,000 +2%
CC
100
Caxton Corporation
New Jersey
$454K +$454K +55,012 New
2 3
4
5 6