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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 %
ANRIA
101
American National Registered Investment Advisor
Texas
$452K – – –
HCM
102
Highlander Capital Management
New Jersey
$440K -$31K -3,750 -7%
NPC
103
National Planning Corporation
California
$416K -$186K -21,960 -31%
California Public Employees Retirement System
104
California Public Employees Retirement System
California
$411K +$237K +27,600 +137%
CAN
105
Cetera Advisor Networks
California
$410K -$24.9K -3,076 -6%
FIM
106
Freedom Investment Management
Connecticut
$408K -$8.37K -1,012 -2%
IAS
107
IMA Advisory Services
Colorado
$405K -$16.1K -1,950 -4%
MNBTD
108
Moody National Bank Trust Division
Texas
$393K – – –
OIA
109
Optimum Investment Advisors
Illinois
$391K +$184K +41,300 +89%
DC
110
Davenport & Co
Virginia
$388K -$368K -44,550 -49%
ICOA
111
Investment Centers of America
North Dakota
$384K -$47.5K -5,810 -11%
PPA
112
Parametric Portfolio Associates
Washington
$366K -$171K -20,756 -32%
OC
113
Oppenheimer & Co
New York
$353K -$125K -15,200 -26%
Nisa Investment Advisors
114
Nisa Investment Advisors
Missouri
$353K – – –
Janney Montgomery Scott
115
Janney Montgomery Scott
Pennsylvania
$336K -$15.9K -1,920 -5%
M&T Bank
116
M&T Bank
New York
$336K -$166K -20,057 -33%
ACP
117
Aviance Capital Partners
Florida
$335K -$83.8K -10,150 -20%
DADC
118
D.A. Davidson & Co
Montana
$310K +$809 +98 +0.3%
CIA
119
Capital Investment Advisors
Georgia
$304K -$13.2K -1,600 -4%
FAAS
120
First Allied Advisory Services
California
$304K +$27.8K +3,370 +10%
CPSAC
121
Chas P. Smith & Associates (CPS)
Florida
$298K -$253K -30,585 -46%
IC
122
InterOcean Capital
Illinois
$293K -$34.6K -4,200 -11%
PI
123
PineBridge Investments
New York
$286K +$212K +25,626 +285%
MFS
124
MSI Financial Services
Massachusetts
$279K -$49.5K -5,997 -15%
PGH
125
Partners Group Holding
Switzerland
$274K +$78.4K +9,500 +40%
3 4
5
6 7