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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 %
CA
126
Cetera Advisors
Colorado
$457K +$58.4K +5,543 +15%
Nisa Investment Advisors
127
Nisa Investment Advisors
Missouri
$454K – – –
SFM
128
Soros Fund Management
New York
$443K +$443K +41,700 New
OC
129
Oppenheimer & Co
New York
$442K +$36.2K +3,406 +9%
Janney Montgomery Scott
130
Janney Montgomery Scott
Pennsylvania
$430K +$15.1K +1,424 +4%
HNB
131
Huntington National Bank
Ohio
$425K -$42.5K -4,000 -9%
IC
132
InterOcean Capital
Illinois
$422K +$422K +39,725 New
CIA
133
Capital Investment Advisors
Georgia
$419K +$46.3K +4,360 +12%
Prudential Financial
134
Prudential Financial
New Jersey
$416K +$14.8K +1,392 +4%
DADC
135
D.A. Davidson & Co
Montana
$412K -$10.6K -1,001 -3%
SIM
136
SSI Investment Management
California
$412K +$172K +16,173 +71%
M&T Bank
137
M&T Bank
New York
$398K -$11.8K -1,113 -3%
Marshall Wace
138
Marshall Wace
United Kingdom
$386K +$386K +36,300 New
BCM
139
Basso Capital Management
Connecticut
$378K +$378K +35,600 New
TC
140
TFS Capital
Pennsylvania
$377K +$93.7K +8,822 +33%
ICOA
141
Investment Centers of America
North Dakota
$372K -$341K -32,741 -48%
MFS
142
MSI Financial Services
Massachusetts
$371K +$68.5K +6,449 +23%
IIM
143
Ipswich Investment Management
Massachusetts
$361K -$1.92M -180,779 -84%
SAM
144
Silvercrest Asset Management
New York
$348K +$13.8K +1,300 +4%
PAM
145
Princeton Alpha Management
New Jersey
$341K +$204K +19,187 +149%
KBC Group
146
KBC Group
Belgium
$339K +$339K +31,883 New
B
147
Baird
Wisconsin
$316K +$38.3K +3,607 +14%
KFS
148
KMS Financial Services
Washington
$313K +$17.1K +1,608 +6%
SWP
149
Stratos Wealth Partners
Ohio
$290K +$290K +26,939 New
SIC
150
Salem Investment Counselors
North Carolina
$283K -$444K -41,770 -61%
4 5
6
7 8