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Prospect Capital
PSEC

Overview Fund Activity

206 hedge funds and large institutions have $434M invested in Prospect Capital in 2014 Q3 according to their latest regulatory filings, with 21 funds opening new positions, 82 increasing their positions, 68 reducing their positions, and 42 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
206
Holders Change
-21
Holders Change %
-9.25%
% of All Funds
5.98%
Holding in Top 10
4
Holding in Top 10 Change
-1
Holding in Top 10 Change %
-20%
% of All Funds
0.12%
New
21
Increased
82
Reduced
68
Closed
42
Calls
$623K
Puts
$13.1M
Net Calls
-$12.5M
Net Calls Change
-$3.58M

Top Buyers

1
AAMU
1
Amundi Asset Management US
Massachusetts
$7.07M
2
CNB
2
City National Bank
California
$50.5M
3
AAM
3
Advisors Asset Management
Colorado
$21.5M
4
Goldman Sachs
4
Goldman Sachs
New York
$9.68M
5
BC
5
Barnett & Company
Tennessee
$5.63M

Top Sellers

1
Northern Trust
1
Northern Trust
Illinois
$319K
2
Morgan Stanley
2
Morgan Stanley
New York
$21.8M
3
PP
3
Paloma Partners
Connecticut
$0
4
Citigroup
4
Citigroup
New York
$1.29M
5
Deutsche Bank
5
Deutsche Bank
Germany
$7.66M
Name Holding Trade Value Shares
Change 		Shares
Change %
TRCT
176
Tower Research Capital (TRC)
New York
$76K +$76K +7,710 New
FMT
177
First Mercantile Trust
Tennessee
$71K – – –
RIA
178
Regal Investment Advisors
Michigan
$68K – – –
ST
179
Smithfield Trust
Pennsylvania
$59K – – –
WTB
180
Washington Trust Bank
Washington
$46K – – –
CCS
181
Crosspoint Capital Strategies
California
$44K – – –
PSC
182
Prentiss Smith & Co
Vermont
$36K – – –
GAM
183
Gemmer Asset Management
California
$30K +$8K +800 +36%
MIM
184
Macroview Investment Management
Maryland
$29K +$29K +2,914 New
TFA
185
Transamerica Financial Advisors
Florida
$26K – – –
NES
186
New England Securities
New York
$26K +$16.2K +1,650 +165%
FNBT
187
FineMark National Bank & Trust
Florida
$25K +$20.1K +2,016 +407%
PIA
188
Peachtree Investment Advisors
Georgia
$24K +$24K +2,400 New
Northwestern Mutual Wealth Management
189
Northwestern Mutual Wealth Management
Wisconsin
$24K +$24K +2,450 New
GT
190
Glenmede Trust
Pennsylvania
$22K – – –
KBC Group
191
KBC Group
Belgium
$20K -$301K -29,894 -94%
SNT
192
Security National Trust
West Virginia
$20K – – –
FMP
193
Financial Management Professionals
Texas
$17K – – –
RIM
194
Ranger International Management
Illinois
$16K – – –
NSIM
195
North Star Investment Management
Illinois
$15K +$15K +1,500 New
WF
196
WealthTrust Fairport
Ohio
$12K +$12K +1,185 New
ACS
197
Archford Capital Strategies
Illinois
$10K – – –
RAM
198
Riggs Asset Management
Pennsylvania
$7K +$7K +750 New
1IC
199
1919 Investment Counsel
Maryland
$5K +$5K +500 New
WAS
200
Winch Advisory Services
Wisconsin
$4K +$1K +100 +33%
6 7
8
9 10