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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 %
RPA
126
Rock Point Advisors
Vermont
$765K +$652K +58,070 +575%
Credit Agricole
127
Credit Agricole
France
$716K -$69.6K -6,200 -9%
WA
128
WFG Advisors
Texas
$695K +$80K +7,134 +13%
WS
129
Wedbush Securities
California
$679K +$361K +32,189 +114%
Massachusetts Financial Services
130
Massachusetts Financial Services
Massachusetts
$620K -$36.7K -3,270 -6%
ANRIA
131
American National Registered Investment Advisor
Texas
$609K +$410K +36,600 +207%
Nisa Investment Advisors
132
Nisa Investment Advisors
Missouri
$591K +$112K +10,000 +23%
WEC
133
Winslow Evans & Crocker
Massachusetts
$584K +$584K +52,069 New
SCA
134
SAC Capital Advisors
Connecticut
$577K +$374K +33,325 +184%
SO
135
STRS Ohio
Ohio
$576K -$42.7K -3,800 -7%
Nomura Holdings
136
Nomura Holdings
Japan
$552K -$48.9K -4,350 -8%
HCM
137
Highlander Capital Management
New Jersey
$544K – – –
HighTower Advisors
138
HighTower Advisors
Illinois
$538K -$606 -54 -0.1%
MNBTD
139
Moody National Bank Trust Division
Texas
$530K +$530K +47,200 New
ICOA
140
Investment Centers of America
North Dakota
$527K -$250K -22,026 -32%
MSA
141
Mason Street Advisors
Wisconsin
$512K +$80K +7,127 +19%
AIM
142
Allen Investment Management
New York
$498K +$71.8K +6,395 +17%
OIA
143
Optimum Investment Advisors
Illinois
$497K – – –
ACP
144
Aviance Capital Partners
Florida
$480K +$56K +5,000 +13%
AA
145
ALPS Advisors
Colorado
$460K +$223K +20,536 +94%
RA
146
Rational Advisors
New York
$449K – – –
OC
147
Oppenheimer & Co
New York
$446K -$16.8K -1,500 -4%
DADC
148
D.A. Davidson & Co
Montana
$445K +$6.77K +605 +2%
Janney Montgomery Scott
149
Janney Montgomery Scott
Pennsylvania
$443K +$80.8K +7,203 +22%
Tudor Investment Corp
150
Tudor Investment Corp
Connecticut
$439K +$439K +39,140 New
4 5
6
7 8