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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 %
ACP
101
Aviance Capital Partners
Florida
$503K +$46.9K +4,725 +10%
FIM
102
Freedom Investment Management
Connecticut
$498K -$20 -2 -0%
Bank of New York Mellon
103
Bank of New York Mellon
New York
$472K +$24.1K +2,434 +5%
MNBTD
104
Moody National Bank Trust Division
Texas
$471K – – –
VKH
105
Virtu KCG Holdings
New York
$466K -$139K -14,007 -23%
OIA
106
Optimum Investment Advisors
Illinois
$457K -$45.4K -4,595 -9%
BRWM
107
B. Riley Wealth Management
Tennessee
$454K -$63.8K -6,458 -12%
Barclays
108
Barclays
United Kingdom
$428K -$952K -105,591 -69%
Nisa Investment Advisors
109
Nisa Investment Advisors
Missouri
$423K – – –
Janney Montgomery Scott
110
Janney Montgomery Scott
Pennsylvania
$422K +$21.9K +2,217 +5%
MFS
111
MSI Financial Services
Massachusetts
$394K +$48K +4,844 +14%
IC
112
InterOcean Capital
Illinois
$393K – – –
CIA
113
Capital Investment Advisors
Georgia
$380K -$10.1K -1,025 -3%
DADC
114
D.A. Davidson & Co
Montana
$370K -$13.9K -1,407 -4%
SEC
115
Seven Eight Capital
New York
$368K -$396K -40,050 -52%
RCM
116
Rivernorth Capital Management
Florida
$368K +$368K +37,200 New
JPMorgan Chase & Co
117
JPMorgan Chase & Co
New York
$367K +$198K +19,989 +117%
HNB
118
Huntington National Bank
Ohio
$355K -$40.5K -4,100 -10%
SSG
119
Summit Securities Group
New York
$353K +$353K +35,700 New
BCM
120
Basso Capital Management
Connecticut
$352K – – –
FAAS
121
First Allied Advisory Services
California
$333K -$670K -67,451 -67%
TC
122
TFS Capital
Pennsylvania
$324K -$27.2K -2,751 -8%
Northern Trust
123
Northern Trust
Illinois
$319K -$24.4M -2,456,753 -99%
KFS
124
KMS Financial Services
Washington
$319K +$28.2K +2,850 +10%
Bank of Montreal
125
Bank of Montreal
Ontario, Canada
$319K +$180K +18,220 +130%
3 4
5
6 7