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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.

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 Market Value Shares Shares
Change 		Shares
Change %
BFA
1
BlackRock Fund Advisors
California
$154M 13,812,534 +2,855,594 +26%
State Street
2
State Street
Massachusetts
$54.6M 4,885,881 +461,205 +10%
Northern Trust
3
Northern Trust
Illinois
$47.2M 4,229,208 +472,509 +13%
Vanguard Group
4
Vanguard Group
Pennsylvania
$39.8M 3,560,856 +549,793 +18%
BIT
5
BlackRock Institutional Trust
California
$38.7M 3,462,918 +208,076 +6%
U
6
UBS
Switzerland
$31.1M 2,783,274 +339,312 +14%
Morgan Stanley
7
Morgan Stanley
New York
$25.4M 2,274,196 +439,864 +24%
Bank of New York Mellon
8
Bank of New York Mellon
New York
$21.4M 1,919,252 +288,291 +18%
TNBTD
9
Trustmark National Bank Trust Department
Mississippi
$17.9M 1,598,692 – –
BG
10
BlackRock Group
United Kingdom
$16.8M 1,508,197 +187,671 +14%
Principal Financial Group
11
Principal Financial Group
Iowa
$16.6M 1,480,932 -1,089,429 -42%
Deutsche Bank
12
Deutsche Bank
Germany
$16M 1,432,704 -239,664 -14%
TCIM
13
TIAA CREF Investment Management
New York
$13.7M 1,221,311 +40,968 +3%
Invesco
14
Invesco
Georgia
$12.8M 1,147,521 +27,916 +2%
Citadel Advisors
15
Citadel Advisors
Florida
$12.6M 1,125,877 -376,450 -25%
JPMorgan Chase & Co
16
JPMorgan Chase & Co
New York
$12.4M 1,113,168 -350,079 -24%
BIM
17
BlackRock Investment Management
Delaware
$11.6M 1,039,160 +90,682 +10%
AAM
18
Advisors Asset Management
Colorado
$11.5M 1,024,268 +166,280 +19%
Ameriprise
19
Ameriprise
Minnesota
$11.3M 1,007,024 +16,730 +2%
DFG
20
Delphi Financial Group
Delaware
$10.6M 950,000 -850,000 -47%
KeyBank National Association
21
KeyBank National Association
Ohio
$10.2M 917,060 -2,755,002 -75%
YMRC
22
Yorktown Management & Research Company
Virginia
$10.1M 900,000 +610,000 +210%
D.E. Shaw & Co
23
D.E. Shaw & Co
New York
$9.59M 857,415 +857,415 New
CIA
24
CCM Investment Advisers
South Carolina
$8.42M 753,368 -53,841 -7%
TA
25
Teachers Advisors
New York
$7.51M 672,125 +31,297 +5%
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