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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 %
BCM
126
Beck Capital Management
Texas
$271K +$271K +32,775 New
AL
127
Airain Ltd
Guernsey
$270K +$270K +32,634 New
GAM
128
Gotham Asset Management
New York
$265K +$136K +16,445 +105%
Bank of Montreal
129
Bank of Montreal
Ontario, Canada
$260K -$6.62K -800 -2%
SAM
130
Silvercrest Asset Management
New York
$260K – – –
HFS
131
HL Financial Services
Kentucky
$252K +$11.6K +1,400 +5%
FFA
132
First Foundation Advisors
California
$248K +$66.1K +8,000 +36%
AI
133
Atria Investments
North Carolina
$247K +$93.2K +11,285 +61%
B
134
Baird
Wisconsin
$236K -$12.6K -1,523 -5%
SIC
135
Salem Investment Counselors
North Carolina
$201K -$11K -1,325 -5%
FMBTD
136
First Midwest Bank Trust Division
Illinois
$200K -$3.23K -390 -2%
TC
137
TFS Capital
Pennsylvania
$198K -$72.7K -8,794 -27%
TRCT
138
Tower Research Capital (TRC)
New York
$196K +$132K +16,058 +208%
DC
139
Deere & Company
Illinois
$173K – – –
WA
140
WESPAC Advisors
California
$171K +$9.26K +1,122 +6%
PHS
141
Pekin Hardy Strauss
Illinois
$171K +$171K +20,722 New
SI
142
SII Investments
Wisconsin
$167K -$17.4K -2,181 -9%
BRWM
143
B. Riley Wealth Management
Tennessee
$165K -$214K -25,911 -56%
RJT
144
Raymond James Trust
Florida
$165K – – –
Barclays
145
Barclays
United Kingdom
$161K -$220K -27,406 -58%
HI
146
HBK Investments
Texas
$160K +$160K +19,400 New
RIA
147
Regal Investment Advisors
Michigan
$155K +$98.2K +11,921 +173%
BCM
148
Basso Capital Management
Connecticut
$147K -$147K -17,800 -50%
ICM
149
IMS Capital Management
Oregon
$144K +$14.9K +1,800 +12%
QT
150
Quantbot Technologies
New York
$139K -$427K -51,767 -75%
4 5
6
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