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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.

New
Increased
Maintained
Reduced
Closed
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 %
LCM
101
Logan Capital Management
Pennsylvania
$867K +$223K +20,000 +35%
CAN
102
Cetera Advisor Networks
California
$855K +$551K +49,370 +181%
RFC
103
Russell Frank Company
Washington
$854K +$824K +73,689 +2,701%
Acadian Asset Management
104
Acadian Asset Management
Massachusetts
$840K +$117K +10,500 +16%
T. Rowe Price Associates
105
T. Rowe Price Associates
Maryland
$832K +$108K +9,700 +15%
CCB
106
Cutter & Co Brokerage
Missouri
$816K +$74.4K +6,661 +10%
Nuveen Asset Management
107
Nuveen Asset Management
Illinois
$793K +$587K +52,577 +285%
Citigroup
108
Citigroup
New York
$790K -$630K -56,296 -44%
Credit Agricole
109
Credit Agricole
France
$782K +$782K +70,000 New
BNP Paribas Financial Markets
110
BNP Paribas Financial Markets
France
$777K -$191K -17,065 -20%
ICOA
111
Investment Centers of America
North Dakota
$776K +$470K +41,480 +154%
SIC
112
Salem Investment Counselors
North Carolina
$761K +$7.54K +675 +1%
NPC
113
National Planning Corporation
California
$749K +$94.1K +8,485 +14%
SCM
114
Sterling Capital Management
North Carolina
$747K +$747K +66,842 New
LSV Asset Management
115
LSV Asset Management
Illinois
$703K +$703K +62,900 New
GXMC
116
Global X Management Company
New York
$678K +$678K +60,671 New
Massachusetts Financial Services
117
Massachusetts Financial Services
Massachusetts
$654K -$53.8K -4,820 -8%
SO
118
STRS Ohio
Ohio
$616K +$39.1K +3,500 +7%
WA
119
WFG Advisors
Texas
$612K +$225K +20,166 +58%
Creative Planning
120
Creative Planning
Kansas
$602K +$114K +10,159 +23%
Nomura Holdings
121
Nomura Holdings
Japan
$599K +$392K +35,002 +189%
CEP
122
Chicago Equity Partners
Illinois
$594K – – –
DnB Asset Management
123
DnB Asset Management
Norway
$589K +$2.24K +200 +0.4%
HCM
124
Highlander Capital Management
New Jersey
$542K -$50.3K -4,500 -8%
HighTower Advisors
125
HighTower Advisors
Illinois
$536K -$16.4K -1,469 -3%
3 4
5
6 7