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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 %
HSBC Holdings
176
HSBC Holdings
United Kingdom
$187K -$141K -12,646 -43%
ICAS
177
Investors Capital Advisory Services
Massachusetts
$172K -$881 -79 -0.5%
SCM
178
Shelton Capital Management
Colorado
$171K +$31.8K +2,843 +23%
FANJ
179
Financial Architects (New Jersey)
New Jersey
$168K – – –
DAM
180
Delta Asset Management
Tennessee
$166K – – –
FMWA
181
Forvis Mazars Wealth Advisors
Missouri
$163K – – –
WAM
182
World Asset Management
Michigan
$151K +$23.5K +2,103 +18%
VAM
183
Visium Asset Management
New York
$147K +$147K +13,111 New
Grantham, Mayo, Van Otterloo & Co (GMO)
184
Grantham, Mayo, Van Otterloo & Co (GMO)
Massachusetts
$138K -$59.5K -5,300 -30%
PCM
185
Prelude Capital Management
New York
$129K -$12.8K -1,150 -9%
California Public Employees Retirement System
186
California Public Employees Retirement System
California
$127K +$17.9K +1,600 +16%
WB
187
Webster Bank
Connecticut
$121K – – –
OA
188
OFI Advisors
Pennsylvania
$120K +$21K +1,885 +21%
RPA
189
Rock Point Advisors
Vermont
$113K +$113K +10,100 New
PWP
190
Private Wealth Partners
California
$112K – – –
JG
191
Jefferies Group
New York
$110K +$110K +9,833 New
Group One Trading
192
Group One Trading
Illinois
$96K -$403K -36,189 -81%
BlackRock
193
BlackRock
New York
$84K +$3.08K +275 +4%
Bank of Montreal
194
Bank of Montreal
Ontario, Canada
$69K +$9.19K +832 +15%
ST
195
Smithfield Trust
Pennsylvania
$67K +$67K +6,000 New
RIA
196
Regal Investment Advisors
Michigan
$62K +$78 +7 +0.1%
FMT
197
First Mercantile Trust
Tennessee
$57K +$2.66K +240 +5%
Daiwa Securities Group
198
Daiwa Securities Group
Japan
$52K +$52K +2,000 New
PSC
199
Prentiss Smith & Co
Vermont
$51K – – –
WA
200
Waverly Advisors
Alabama
$50K +$50K +4,475 New
6 7
8
9 10