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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 %
GT
201
Glenmede Trust
Pennsylvania
$50K +$49.4K +4,500 +8,824%
HNB
202
Huntington National Bank
Ohio
$34K +$34K +3,000 New
FI
203
FCM Investments
Texas
$30K – – –
FMII
204
Farmers & Merchants Investments Inc
Nebraska
$27K – – –
Jones Financial Companies
205
Jones Financial Companies
Missouri
$23K +$23K +2,084 New
SNT
206
Security National Trust
West Virginia
$22K – – –
TWA
207
TCI Wealth Advisors
Arizona
$20K +$20K +1,800 New
PMFA
208
Plante Moran Financial Advisors
Michigan
$17K – – –
PAS
209
Partnervest Advisory Services
California
$11K – – –
FMP
210
Financial Management Professionals
Texas
$6K +$173 +15 +3%
FNBT
211
FineMark National Bank & Trust
Florida
$5K +$144 +12 +3%
Envestnet Asset Management
212
Envestnet Asset Management
Illinois
$5K +$5K +437 New
PIA
213
Piedmont Investment Advisors
North Carolina
$3.14K – – –
WCM
214
Wealthcare Capital Management
Virginia
$2K – – –
TFA
215
Transamerica Financial Advisors
Florida
$2K – – –
GGPS
216
Gary Goldberg Planning Services
New York
$2K – – –
ECM
217
ETrade Capital Management
Virginia
$2K +$54 +6 +3%
Manulife (Manufacturers Life Insurance)
218
Manulife (Manufacturers Life Insurance)
Ontario, Canada
$1.85K -$22 -1,985 -1%
CPS
219
Counsel Portfolio Services
Ontario, Canada
$840 +$117 +10,500 +16%
Two Sigma Investments
220
Two Sigma Investments
New York
– -$4.55M -421,646 Closed
Fidelity Investments
221
Fidelity Investments
Massachusetts
– -$3.46M -320,000 Closed
PRCM
222
Pine River Capital Management
Minnesota
– -$2.97M -274,978 Closed
RJFSA
223
Raymond James Financial Services Advisors
Florida
– -$1.58M -146,059 Closed
SFM
224
Systematic Financial Management
New Jersey
– -$1.45M -134,190 Closed
Wellington Management Group
225
Wellington Management Group
Massachusetts
– -$1.13M -104,588 Closed
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