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Prospect Capital
PSEC

Overview Fund Activity

219 hedge funds and large institutions have $853M invested in Prospect Capital in 2013 Q3 according to their latest regulatory filings, with 35 funds opening new positions, 110 increasing their positions, 49 reducing their positions, and 17 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
219
Holders Change
+16
Holders Change %
+7.88%
% of All Funds
7.1%
Holding in Top 10
6
Holding in Top 10 Change
+1
Holding in Top 10 Change %
+20%
% of All Funds
0.19%
New
35
Increased
110
Reduced
49
Closed
17
Calls
$1.07M
Puts
$2.51M
Net Calls
-$1.43M
Net Calls Change
+$465K

Top Buyers

1
BFA
1
BlackRock Fund Advisors
California
$154M
2
D.E. Shaw & Co
2
D.E. Shaw & Co
New York
$9.59M
3
YMRC
3
Yorktown Management & Research Company
Virginia
$10.1M
4
Vanguard Group
4
Vanguard Group
Pennsylvania
$39.8M
5
Northern Trust
5
Northern Trust
Illinois
$47.2M

Top Sellers

1
KeyBank National Association
1
KeyBank National Association
Ohio
$10.2M
2
Principal Financial Group
2
Principal Financial Group
Iowa
$16.6M
3
DFG
3
Delphi Financial Group
Delaware
$10.6M
4
AQR Capital Management
4
AQR Capital Management
Connecticut
$2.26M
5
Two Sigma Investments
5
Two Sigma Investments
New York
$0
Name Holding Trade Value Shares
Change 		Shares
Change %
WS
151
Wedbush Securities
California
$316K +$316K +28,299 New
FAAS
152
First Allied Advisory Services
California
$307K +$42.8K +3,832 +16%
SB
153
Suntrust Banks
Georgia
$293K +$41.6K +3,740 +17%
TRCT
154
Tower Research Capital (TRC)
New York
$289K +$280K +24,988 +3,025%
KFS
155
KMS Financial Services
Washington
$261K -$654K -58,426 -71%
PG
156
PEAK6 Group
Illinois
$260K +$70.7K +12,624 +37%
AG
157
Aperio Group
California
$258K +$118K +10,556 +84%
SSG
158
Summit Securities Group
New York
$255K +$166K +14,800 +185%
FMBTD
159
First Midwest Bank Trust Division
Illinois
$252K -$112 -10 -0%
AIP
160
Ameritas Investment Partners
Nebraska
$251K +$251K +22,424 New
NCMW
161
Northern Capital Management (Wisconsin)
Wisconsin
$246K +$246K +22,000 New
GMIM
162
General Motors Investment Management
New York
$243K – – –
AA
163
ALPS Advisors
Colorado
$243K +$243K +21,744 New
AL
164
Airain Ltd
Guernsey
$239K -$1.22M -109,058 -84%
HIMCH
165
Hartford Investment Management Co (HIMCO)
Connecticut
$228K +$36.9K +3,299 +19%
JPMPWA
166
J.P. Morgan Private Wealth Advisors
California
$225K +$225K +20,148 New
WFM
167
Wilmington Funds Management
Delaware
$222K +$54.4K +4,860 +32%
CIM
168
Confluence Investment Management
Missouri
$218K -$253K -22,663 -54%
B
169
Baird
Wisconsin
$216K -$64.7K -5,803 -23%
RJT
170
Raymond James Trust
Florida
$212K +$49.2K +4,400 +30%
NG
171
NatWest Group
United Kingdom
$208K -$42.6K -3,809 -17%
SCA
172
SAC Capital Advisors
Connecticut
$203K +$203K +18,115 New
ANRIA
173
American National Registered Investment Advisor
Texas
$198K +$198K +17,700 New
PNC Financial Services Group
174
PNC Financial Services Group
Pennsylvania
$195K +$68.1K +6,063 +54%
PTC
175
Private Trust Company
Ohio
$195K +$95.1K +8,500 +95%
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7
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