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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 %
HI
201
Hudock Inc
Pennsylvania
$2K -$1K -100 -33%
PCTC
202
Perkins Coie Trust Company
Washington
$2K – – –
WCM
203
Wealthcare Capital Management
Virginia
$2K – – –
RFA
204
Reilly Financial Advisors
California
$2K +$62 +7 +3%
NG
205
NatWest Group
United Kingdom
$293 +$154 +15,528 +110%
Manulife (Manufacturers Life Insurance)
206
Manulife (Manufacturers Life Insurance)
Ontario, Canada
$74 -$1 -106 -1%
PP
207
Paloma Partners
Connecticut
– -$14.3M -1,343,222 Closed
DFG
208
Delphi Financial Group
Delaware
– -$11.1M -1,045,366 Closed
YMRC
209
Yorktown Management & Research Company
Virginia
– -$9.56M -900,000 Closed
D.E. Shaw & Co
210
D.E. Shaw & Co
New York
– -$7.28M -685,408 Closed
AQR Capital Management
211
AQR Capital Management
Connecticut
– -$6.89M -648,800 Closed
COPPSERS
212
Commonwealth of Pennsylvania Public School Employees Retirement System
Pennsylvania
– -$5.06M -476,645 Closed
BCMU
213
BlueCrest Capital Management (UK)
Guernsey
– -$4.08M -384,246 Closed
ST
214
Spot Trading
Illinois
– -$3.94M -370,731 Closed
SCM
215
Sterling Capital Management
North Carolina
– -$3.21M -302,294 Closed
AGM
216
Alpine Global Management
New York
– -$2.42M -227,819 Closed
Two Sigma Advisers
217
Two Sigma Advisers
New York
– -$2.35M -221,352 Closed
NCCM
218
Nine Chapters Capital Management
New Jersey
– -$1.93M -181,300 Closed
SFM
219
Systematic Financial Management
New Jersey
– -$1.85M -174,245 Closed
JG
220
Jefferies Group
New York
– -$1.52M -143,469 Closed
NC
221
Northpointe Capital
Michigan
– -$1.46M -137,555 Closed
BIT
222
BlackRock Institutional Trust
California
– -$1.27M -119,017 Closed
CEP
223
Chicago Equity Partners
Illinois
– -$1.08M -101,355 Closed
LCM
224
Logan Capital Management
Pennsylvania
– -$1.04M -97,900 Closed
SGCA
225
Steel Grove Capital Advisors
Tennessee
– -$985K -92,668 Closed
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