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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 %
TYCC
201
Texas Yale Capital Corp
Florida
$112K +$112K +10,000 New
Teacher Retirement System of Texas
202
Teacher Retirement System of Texas
Texas
$109K -$244K -21,684 -69%
PL
203
Parkwood LLC
Ohio
$102K +$102K +9,076 New
Group One Trading
204
Group One Trading
Illinois
$91K -$6.08K -540 -6%
BlackRock
205
BlackRock
New York
$88K +$3.51K +311 +4%
FMT
206
First Mercantile Trust
Tennessee
$80K +$22.2K +1,973 +38%
ST
207
Smithfield Trust
Pennsylvania
$67K – – –
RIA
208
Regal Investment Advisors
Michigan
$63K +$57 +5 +0.1%
TWA
209
TCI Wealth Advisors
Arizona
$61K +$40.7K +3,600 +200%
ZTNA
210
Zions Trust National Association
Utah
$56K +$56K +5,000 New
GT
211
Glenmede Trust
Pennsylvania
$50K – – –
PSC
212
Prentiss Smith & Co
Vermont
$46K -$5.61K -500 -11%
HNB
213
Huntington National Bank
Ohio
$45K +$11.3K +1,000 +33%
BNP Paribas Financial Markets
214
BNP Paribas Financial Markets
France
$40.5K -$740K -65,953 -95%
PG
215
PEAK6 Group
Illinois
$31K -$488K -43,710 -94%
PMFA
216
Plante Moran Financial Advisors
Michigan
$31K +$14.2K +1,279 +85%
FNBT
217
FineMark National Bank & Trust
Florida
$30K +$25.3K +2,233 +534%
FMII
218
Farmers & Merchants Investments Inc
Nebraska
$27K – – –
SNT
219
Security National Trust
West Virginia
$22K – – –
TRCT
220
Tower Research Capital (TRC)
New York
$20K -$275K -24,066 -93%
Daiwa Securities Group
221
Daiwa Securities Group
Japan
$20K – – –
DCMA
222
Daiwa Capital Markets America
New York
$20K +$20K +2,000 New
SMU
223
Signet Management USA
Virginia
$15K +$15K +1,314 New
PCM
224
Prelude Capital Management
New York
$13K -$120K -10,420 -90%
PAS
225
Partnervest Advisory Services
California
$11K – – –
7 8
9
10 11