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Prospect Capital
PSEC

Overview Fund Activity

219 hedge funds and large institutions have $428M invested in Prospect Capital in 2014 Q4 according to their latest regulatory filings, with 53 funds opening new positions, 69 increasing their positions, 69 reducing their positions, and 35 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
219
Holders Change
+13
Holders Change %
+6.31%
% of All Funds
5.84%
Holding in Top 10
6
Holding in Top 10 Change
+2
Holding in Top 10 Change %
+50%
% of All Funds
0.16%
New
53
Increased
69
Reduced
69
Closed
35
Calls
$2.26M
Puts
$6.55M
Net Calls
-$4.29M
Net Calls Change
+$8.2M

Top Buyers

1
Deutsche Bank
1
Deutsche Bank
Germany
$24.2M
2
RCM
2
Rivernorth Capital Management
Florida
$9.07M
3
AFG
3
American Financial Group
Ohio
$8.26M
4
Citadel Advisors
4
Citadel Advisors
Florida
$10.9M
5
Two Sigma Investments
5
Two Sigma Investments
New York
$7.51M

Top Sellers

1
CNB
1
City National Bank
California
$6.38M
2
VM
2
Varde Management
Minnesota
$0
3
PSI
3
Pinnacle Summer Investments
Virginia
$1.24M
4
AAMU
4
Amundi Asset Management US
Massachusetts
$0
5
Goldman Sachs
5
Goldman Sachs
New York
$3.82M
Name Holding Trade Value Shares
Change 		Shares
Change %
JPTCCM
176
J.P. Turner & Co Capital Management
Georgia
$91K +$91K +10,768 New
Ameriprise
177
Ameriprise
Minnesota
$89K +$8.42K +1,020 +10%
MCM
178
McGlinn Capital Management
Pennsylvania
$83K – – –
SIA
179
Stancorp Investment Advisers
Oregon
$77K +$77K +9,354 New
Allianz Asset Management
180
Allianz Asset Management
Germany
$63K -$691K -83,900 -92%
FMT
181
First Mercantile Trust
Tennessee
$59K – – –
AWM
182
AllSquare Wealth Management
New York
$58K +$58K +7,000 New
Nomura Holdings
183
Nomura Holdings
Japan
$54K -$425K -50,823 -89%
SF
184
Synovus Financial
Georgia
$53K +$53K +6,410 New
ST
185
Smithfield Trust
Pennsylvania
$50K – – –
KTC
186
Kistler-Tiffany Companies
Pennsylvania
$46K +$46K +5,593 New
CCS
187
Crosspoint Capital Strategies
California
$37K – – –
ASN
188
Advisory Services Network
Georgia
$33K +$33K +4,000 New
CPIG
189
Chicago Partners Investment Group
Illinois
$32K +$32K +3,870 New
GWA
190
Genesis Wealth Advisors
Massachusetts
$30.5K +$30.5K +3,500 New
PG
191
PEAK6 Group
Illinois
$30K -$228K -27,652 -88%
PSC
192
Prentiss Smith & Co
Vermont
$30K – – –
ST
193
Spot Trading
Illinois
$30K +$30K +3,588 New
MAS
194
Madden Advisory Services
Florida
$29K -$91.6K -11,202 -76%
WRM
195
Westport Resources Management
Connecticut
$25K +$25K +3,000 New
TFA
196
Transamerica Financial Advisors
Florida
$22K – – –
NES
197
New England Securities
New York
$22K – – –
SFWA
198
Summit Financial Wealth Advisors
Louisiana
$22K +$22K +2,720 New
NFG
199
Next Financial Group
Texas
$21K -$53.8K -6,400 -72%
FNBT
200
FineMark National Bank & Trust
Florida
$21K +$149 +18 +0.7%
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