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Prospect Capital
PSEC

Overview Fund Activity

254 hedge funds and large institutions have $908M invested in Prospect Capital in 2014 Q1 according to their latest regulatory filings, with 49 funds opening new positions, 107 increasing their positions, 70 reducing their positions, and 25 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
254
Holders Change
+19
Holders Change %
+8.09%
% of All Funds
7.34%
Holding in Top 10
5
Holding in Top 10 Change
+1
Holding in Top 10 Change %
+25%
% of All Funds
0.14%
New
49
Increased
107
Reduced
70
Closed
25
Calls
$825K
Puts
$3.47M
Net Calls
-$2.65M
Net Calls Change
-$1.39M

Top Buyers

1
Two Sigma Investments
1
Two Sigma Investments
New York
$47.7M
2
Two Sigma Advisers
2
Two Sigma Advisers
New York
$35.8M
3
CNB
3
City National Bank
California
$40.2M
4
U
4
UBS
Switzerland
$43.2M
5
Bank of America
5
Bank of America
North Carolina
$10.5M

Top Sellers

1
BFA
1
BlackRock Fund Advisors
California
$83.8M
2
Vanguard Group
2
Vanguard Group
Pennsylvania
$11.1M
3
Principal Financial Group
3
Principal Financial Group
Iowa
$923K
4
Ameriprise
4
Ameriprise
Minnesota
$85K
5
Bank of New York Mellon
5
Bank of New York Mellon
New York
$12.4M
Name Holding Trade Value Shares
Change 		Shares
Change %
GMIM
176
General Motors Investment Management
New York
$269K +$34.9K +3,235 +15%
PGH
177
Partners Group Holding
Switzerland
$251K +$251K +23,200 New
FMBTD
178
First Midwest Bank Trust Division
Illinois
$250K +$1.51K +140 +0.6%
SIM
179
SSI Investment Management
California
$245K +$245K +22,632 New
HSA
180
HBK Sorce Advisory
Pennsylvania
$235K +$235K +21,720 New
PA
181
Profund Advisors
Maryland
$227K -$1.53M -141,749 -87%
T. Rowe Price Associates
182
T. Rowe Price Associates
Maryland
$226K -$840K -77,700 -79%
DC
183
Deere & Company
Illinois
$226K +$226K +20,885 New
SCM
184
Shelton Capital Management
Colorado
$211K – – –
RJT
185
Raymond James Trust
Florida
$205K – – –
Envestnet Asset Management
186
Envestnet Asset Management
Illinois
$200K +$197K +18,262 +7,738%
UCFA
187
United Capital Financial Advisors
Texas
$196K +$196K +18,141 New
PMG
188
ProVise Management Group
Florida
$195K +$195K +18,000 New
CFA
189
Cahill Financial Advisors
Minnesota
$191K +$18K +1,661 +10%
ICAS
190
Investors Capital Advisory Services
Massachusetts
$183K -$11.8K -1,095 -6%
WFM
191
Wilmington Funds Management
Delaware
$182K +$27.1K +2,500 +17%
SCA
192
SAC Capital Advisors
Connecticut
$177K -$380K -35,080 -68%
DekaBank Deutsche Girozentrale
193
DekaBank Deutsche Girozentrale
Germany
$173K +$173K +16,000 New
PTC
194
Private Trust Company
Ohio
$172K -$16.2K -1,500 -9%
NG
195
NatWest Group
United Kingdom
$172K +$13.8K +1,272 +9%
Canada Life
196
Canada Life
Manitoba, Canada
$166K – – –
JG
197
Jefferies Group
New York
$161K +$159K +14,720 +10,514%
CAM
198
Capstone Asset Management
Texas
$156K -$1.01M -93,818 -87%
DAM
199
Delta Asset Management
Tennessee
$151K – – –
PAM
200
Princeton Alpha Management
New Jersey
$140K -$7.42K -685 -5%
6 7
8
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