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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 %
LTFS
101
Ladenburg Thalmann Financial Services
Florida
$1.13M +$24.7K +2,204 +2%
T. Rowe Price Associates
102
T. Rowe Price Associates
Maryland
$1.11M +$271K +24,200 +33%
UBS AM
103
UBS AM
Illinois
$1.1M -$131K -11,695 -11%
LCM
104
Logan Capital Management
Pennsylvania
$1.1M +$227K +20,242 +26%
NCCM
105
Nine Chapters Capital Management
New Jersey
$1.06M -$681K -60,700 -39%
ANI
106
American National Insurance
Texas
$1.05M – – –
Cambridge Investment Research Advisors
107
Cambridge Investment Research Advisors
Iowa
$1.05M +$7.79K +694 +0.7%
SMDAM
108
Sumitomo Mitsui DS Asset Management
Japan
$1.03M +$1.03M +92,000 New
AR
109
Advisory Research
Illinois
$1.03M +$1.03M +92,000 New
CAN
110
Cetera Advisor Networks
California
$988K +$132K +11,800 +15%
CPS
111
Counsel Portfolio Services
Ontario, Canada
$986K +$142K +12,700 +17%
Acadian Asset Management
112
Acadian Asset Management
Massachusetts
$986K +$142K +12,700 +17%
SGCA
113
Steel Grove Capital Advisors
Tennessee
$983K +$983K +87,586 New
NGA
114
Naples Global Advisors
Florida
$939K +$939K +83,665 New
VKH
115
Virtu KCG Holdings
New York
$938K -$1.26M -112,729 -57%
Royal Bank of Canada
116
Royal Bank of Canada
Ontario, Canada
$931K -$210K -18,769 -18%
Bank of Montreal
117
Bank of Montreal
Ontario, Canada
$931K +$861K +76,723 +1,229%
NPC
118
National Planning Corporation
California
$915K +$164K +14,787 +22%
PI
119
PineBridge Investments
New York
$875K +$543K +48,403 +164%
Nuveen Asset Management
120
Nuveen Asset Management
Illinois
$866K +$69.3K +6,179 +9%
CCB
121
Cutter & Co Brokerage
Missouri
$842K +$22.2K +1,976 +3%
DnB Asset Management
122
DnB Asset Management
Norway
$835K +$243K +21,700 +41%
SCM
123
Sterling Capital Management
North Carolina
$814K +$63.6K +5,663 +8%
Creative Planning
124
Creative Planning
Kansas
$792K +$188K +16,713 +31%
SIC
125
Salem Investment Counselors
North Carolina
$783K +$18.5K +1,650 +2%
3 4
5
6 7