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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 %
SAM
126
Silvercrest Asset Management
New York
$312K -$12.9K -1,300 -4%
IIM
127
Ipswich Investment Management
Massachusetts
$311K -$25.7K -2,600 -8%
PG
128
PEAK6 Group
Illinois
$310K -$232K -23,419 -43%
PAM
129
Princeton Alpha Management
New Jersey
$299K -$18.9K -1,908 -6%
B
130
Baird
Wisconsin
$298K +$3.61K +365 +1%
HFS
131
HL Financial Services
Kentucky
$288K +$288K +29,100 New
HSA
132
HBK Sorce Advisory
Pennsylvania
$266K +$33.5K +3,375 +14%
CL
133
CPWM LLC
Washington
$253K -$9.91K -1,000 -4%
SIC
134
Salem Investment Counselors
North Carolina
$253K -$9.88K -1,000 -4%
FMBTD
135
First Midwest Bank Trust Division
Illinois
$243K +$5.25K +530 +2%
RC
136
RegentAtlantic Capital
New Jersey
$241K +$241K +24,382 New
PGH
137
Partners Group Holding
Switzerland
$235K +$24.8K +2,500 +12%
Group One Trading
138
Group One Trading
Illinois
$233K +$233K +23,535 New
SI
139
SII Investments
Wisconsin
$226K +$226K +23,094 New
FFA
140
First Foundation Advisors
California
$218K -$30.4K -3,071 -12%
RJFSA
141
Raymond James Financial Services Advisors
Florida
$212K +$212K +21,412 New
DC
142
Deere & Company
Illinois
$207K – – –
AG
143
Aperio Group
California
$206K +$11.4K +1,153 +6%
California Public Employees Retirement System
144
California Public Employees Retirement System
California
$200K -$12.9K -1,300 -6%
RJT
145
Raymond James Trust
Florida
$199K -$9.93K -1,000 -5%
WMC
146
Westwood Management Corporation
Illinois
$198K – – –
Prudential Financial
147
Prudential Financial
New Jersey
$194K -$194K -19,600 -50%
WA
148
WESPAC Advisors
California
$194K +$194K +19,600 New
PNC Financial Services Group
149
PNC Financial Services Group
Pennsylvania
$193K +$90.8K +9,160 +89%
AI
150
Atria Investments
North Carolina
$184K +$184K +18,619 New
4 5
6
7 8