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Prospect Capital
PSEC

Overview Fund Activity

227 hedge funds and large institutions have $623M invested in Prospect Capital in 2014 Q2 according to their latest regulatory filings, with 46 funds opening new positions, 106 increasing their positions, 48 reducing their positions, and 73 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
227
Holders Change
-27
Holders Change %
-10.63%
% of All Funds
6.53%
Holding in Top 10
5
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.14%
New
46
Increased
106
Reduced
48
Closed
73
Calls
$3.63M
Puts
$12.5M
Net Calls
-$8.91M
Net Calls Change
-$6.26M

Top Buyers

1
U
1
UBS
Switzerland
$59.9M
2
Morgan Stanley
2
Morgan Stanley
New York
$40.7M
3
PP
3
Paloma Partners
Connecticut
$14.3M
4
Susquehanna International Group
4
Susquehanna International Group
Pennsylvania
$11.3M
5
Deutsche Bank
5
Deutsche Bank
Germany
$21.3M

Top Sellers

1
BFA
1
BlackRock Fund Advisors
California
$0
2
State Street
2
State Street
Massachusetts
$5.92M
3
Two Sigma Investments
3
Two Sigma Investments
New York
$0
4
BIT
4
BlackRock Institutional Trust
California
$1.27M
5
Two Sigma Advisers
5
Two Sigma Advisers
New York
$2.35M
Name Holding Trade Value Shares
Change 		Shares
Change %
AIM
101
Allen Investment Management
New York
$861K +$245K +23,085 +40%
SEC
102
Seven Eight Capital
New York
$821K +$821K +77,262 New
CCB
103
Cutter & Co Brokerage
Missouri
$808K +$22.2K +2,089 +3%
SFP
104
Santa Fe Partners
New Mexico
$785K -$20.5K -1,924 -3%
WA
105
WFG Advisors
Texas
$773K +$66.6K +6,269 +9%
WS
106
Wedbush Securities
California
$767K +$94.4K +8,890 +14%
BB
107
Bell Bank
North Dakota
$746K +$54.6K +5,140 +8%
PCC
108
Park Circle Company
Maryland
$744K +$744K +70,000 New
Nuveen Asset Management
109
Nuveen Asset Management
Illinois
$712K -$193K -18,199 -21%
VKH
110
Virtu KCG Holdings
New York
$648K +$238K +22,379 +58%
PAG
111
Private Advisor Group
New Jersey
$647K +$356K +33,524 +123%
CPSAC
112
Chas P. Smith & Associates (CPS)
Florida
$623K -$2.74M -258,105 -81%
HCM
113
Highlander Capital Management
New Jersey
$605K +$71.2K +6,700 +13%
ANRIA
114
American National Registered Investment Advisor
Texas
$581K – – –
PG
115
PEAK6 Group
Illinois
$581K +$474K +44,629 +443%
BRWM
116
B. Riley Wealth Management
Tennessee
$556K +$172K +16,194 +45%
IAS
117
IMA Advisory Services
Colorado
$544K +$544K +51,220 New
OIA
118
Optimum Investment Advisors
Illinois
$541K +$64.8K +6,100 +14%
FIM
119
Freedom Investment Management
Connecticut
$535K +$31K +2,913 +6%
QT
120
Quantbot Technologies
New York
$535K +$535K +50,398 New
WEC
121
Winslow Evans & Crocker
Massachusetts
$523K -$18.3K -1,718 -3%
MNBTD
122
Moody National Bank Trust Division
Texas
$506K – – –
ACP
123
Aviance Capital Partners
Florida
$489K +$1.86K +175 +0.4%
Bank of New York Mellon
124
Bank of New York Mellon
New York
$481K -$11.8M -1,105,120 -96%
VFS
125
VSR Financial Services
Kansas
$479K +$357K +33,598 +292%
3 4
5
6 7