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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 %
SSG
201
Summit Securities Group
New York
$19K -$276K -33,400 -94%
DOA
202
D'Orazio & Associates
Virginia
$19K +$19K +2,250 New
GT
203
Glenmede Trust
Pennsylvania
$18K – – –
SNT
204
Security National Trust
West Virginia
$17K – – –
AIM
205
Advantage Investment Management
Iowa
$14K +$14K +1,728 New
NSIM
206
North Star Investment Management
Illinois
$12K – – –
ACS
207
Archford Capital Strategies
Illinois
$8K – – –
BRWA
208
B. Riley Wealth Advisors
Florida
$7.4K +$2.69K +58,589 +57%
RAM
209
Riggs Asset Management
Pennsylvania
$6K – – –
MI
210
Markston International
New York
$3K +$3K +400 New
PCTC
211
Perkins Coie Trust Company
Washington
$2K – – –
WCM
212
Wealthcare Capital Management
Virginia
$2K – – –
RFA
213
Reilly Financial Advisors
California
$2K +$69 +8 +4%
HI
214
Hudock Inc
Pennsylvania
$2K +$667 +100 +50%
RC
215
RegentAtlantic Capital
New Jersey
$1.65K -$200K -24,182 -99%
Northwestern Mutual Wealth Management
216
Northwestern Mutual Wealth Management
Wisconsin
$1K -$16.8K -2,312 -94%
IF
217
IRON Financial
Illinois
$873 +$47 +575 +6%
NG
218
NatWest Group
United Kingdom
$128 -$116 -14,079 -48%
Manulife (Manufacturers Life Insurance)
219
Manulife (Manufacturers Life Insurance)
Ontario, Canada
$61 -$1 -115 -2%
VM
220
Varde Management
Minnesota
– -$14.4M -1,450,000 Closed
AAMU
221
Amundi Asset Management US
Massachusetts
– -$7.07M -714,572 Closed
AIM
222
Allen Investment Management
New York
– -$2.22M -224,054 Closed
DCM
223
Dupont Capital Management
Delaware
– -$1.83M -184,300 Closed
ACI
224
Alpha Cubed Investments
California
– -$1.75M -176,550 Closed
CK
225
Carnick & Kubik
Colorado
– -$1.29M -129,807 Closed
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