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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 %
NI
176
Numeric Investors
Massachusetts
$228K +$228K +20,300 New
QIM
177
Quantitative Investment Management
Virginia
$222K -$283K -25,200 -56%
SCM
178
Shelton Capital Management
Colorado
$219K +$47.4K +4,231 +28%
RJT
179
Raymond James Trust
Florida
$212K – – –
MWNA
180
Marshall Wace North America
New York
$205K +$205K +18,231 New
Jane Street
181
Jane Street
New York
$205K +$205K +18,264 New
ICAS
182
Investors Capital Advisory Services
Massachusetts
$202K +$29.5K +2,637 +17%
JPMPWA
183
J.P. Morgan Private Wealth Advisors
California
$199K -$27.5K -2,446 -12%
PAG
184
Private Advisor Group
New Jersey
$198K +$198K +17,688 New
PTC
185
Private Trust Company
Ohio
$196K – – –
Grantham, Mayo, Van Otterloo & Co (GMO)
186
Grantham, Mayo, Van Otterloo & Co (GMO)
Massachusetts
$188K +$49.9K +4,442 +36%
CFA
187
Cahill Financial Advisors
Minnesota
$180K +$180K +16,003 New
Canada Life
188
Canada Life
Manitoba, Canada
$174K +$174K +15,433 New
FANJ
189
Financial Architects (New Jersey)
New Jersey
$168K – – –
NG
190
NatWest Group
United Kingdom
$164K -$44.6K -3,979 -21%
WFM
191
Wilmington Funds Management
Delaware
$161K -$62K -5,510 -28%
OA
192
OFI Advisors
Pennsylvania
$160K +$39.1K +3,475 +32%
DAM
193
Delta Asset Management
Tennessee
$157K -$9.48K -845 -6%
PAM
194
Princeton Alpha Management
New Jersey
$153K +$153K +13,602 New
WAM
195
World Asset Management
Michigan
$149K -$2.46K -219 -2%
BT
196
Beacon Trust
New Jersey
$135K +$135K +12,000 New
FFA
197
First Foundation Advisors
California
$135K +$135K +12,000 New
VFS
198
VSR Financial Services
Kansas
$134K -$1.07M -94,944 -89%
WB
199
Webster Bank
Connecticut
$132K +$11.2K +1,000 +9%
Verition Fund Management
200
Verition Fund Management
Connecticut
$121K +$121K +10,817 New
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8
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