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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 %
M&T Bank
151
M&T Bank
New York
$427K – – –
ACI
152
Alpha Cubed Investments
California
$422K +$422K +37,547 New
CIA
153
Capital Investment Advisors
Georgia
$401K +$401K +35,738 New
CA
154
Cetera Advisors
Colorado
$389K +$56K +5,000 +17%
HW
155
Hancock Whitney
Mississippi
$376K +$41.4K +3,701 +12%
AL
156
Airain Ltd
Guernsey
$360K +$120K +10,691 +50%
Barclays
157
Barclays
United Kingdom
$358K -$1.16M -105,106 -76%
SAM
158
Silvercrest Asset Management
New York
$353K – – –
MFS
159
MSI Financial Services
Massachusetts
$347K +$28.8K +2,570 +9%
EWM
160
Elite Wealth Management
Washington
$337K – – –
AG
161
Aperio Group
California
$323K -$258K -23,094 Closed
SB
162
Suntrust Banks
Georgia
$316K +$21.3K +1,899 +7%
FAAS
163
First Allied Advisory Services
California
$300K -$8.52K -759 -3%
NCMW
164
Northern Capital Management (Wisconsin)
Wisconsin
$293K +$46K +4,100 +19%
ProShare Advisors
165
ProShare Advisors
Maryland
$276K -$1.66M -147,591 -86%
CIBC Asset Management
166
CIBC Asset Management
Ontario, Canada
$272K +$272K +24,200 New
AIP
167
Ameritas Investment Partners
Nebraska
$270K +$18.5K +1,650 +7%
TC
168
TFS Capital
Pennsylvania
$270K +$270K +24,040 New
CC
169
Cipher Capital
New York
$266K +$266K +23,762 New
KFS
170
KMS Financial Services
Washington
$264K +$2.3K +205 +0.9%
FMBTD
171
First Midwest Bank Trust Division
Illinois
$258K +$4.93K +440 +2%
HIMCH
172
Hartford Investment Management Co (HIMCO)
Connecticut
$254K +$24.8K +2,203 +11%
PNC Financial Services Group
173
PNC Financial Services Group
Pennsylvania
$253K +$56.6K +5,001 +29%
B
174
Baird
Wisconsin
$244K +$26.3K +2,343 +12%
GMIM
175
General Motors Investment Management
New York
$243K – – –
5 6
7
8 9