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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.

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 Market Value Shares Shares
Change 		Shares
Change %
U
1
UBS
Switzerland
$53.5M 5,404,467 -230,799 -4%
CNB
2
City National Bank
California
$50.5M 5,097,445 +700,018 +16%
Morgan Stanley
3
Morgan Stanley
New York
$21.8M 2,203,271 -1,622,609 -42%
AAM
4
Advisors Asset Management
Colorado
$21.5M 2,171,784 +615,082 +40%
BG
5
BlackRock Group
United Kingdom
$16M 1,611,110 -20,209 -1%
Invesco
6
Invesco
Georgia
$14.4M 1,457,133 -268,833 -16%
VM
7
Varde Management
Minnesota
$14.4M 1,450,000 – –
Bank of America
8
Bank of America
North Carolina
$12M 1,213,726 -632,880 -34%
TNBTD
9
Trustmark National Bank Trust Department
Mississippi
$10.5M 1,060,467 -388,225 -27%
Goldman Sachs
10
Goldman Sachs
New York
$9.68M 977,251 +413,751 +73%
TFMS
11
Trust & Fiduciary Management Services
Massachusetts
$9.54M 963,532 +264,207 +38%
Robeco Institutional Asset Management
12
Robeco Institutional Asset Management
Netherlands
$8.43M 851,198 – –
Deutsche Bank
13
Deutsche Bank
Germany
$7.66M 774,242 -1,229,113 -61%
AAMU
14
Amundi Asset Management US
Massachusetts
$7.07M 714,572 +714,572 New
Millennium Management
15
Millennium Management
New York
$6.76M 682,997 +298,556 +78%
LSV Asset Management
16
LSV Asset Management
Illinois
$6.02M 608,400 +150,300 +33%
USAA
17
United Services Automobile Association
Texas
$5.98M 604,000 – –
BC
18
Barnett & Company
Tennessee
$5.63M 568,600 +400,380 +238%
State Street
19
State Street
Massachusetts
$5.01M 505,461 -51,444 -9%
SAM
20
Selway Asset Management
$4.49M 453,085 -89,425 -16%
GC
21
Guggenheim Capital
Illinois
$4.41M 445,118 -51,765 -10%
CP
22
Camelot Portfolios
Ohio
$4.05M 408,899 +40,657 +11%
VanEck Associates
23
VanEck Associates
New York
$3.9M 394,007 +20,517 +5%
HighTower Advisors
24
HighTower Advisors
Illinois
$3.85M 389,110 +21,230 +6%
AIG
25
American International Group
New York
$3.73M 377,065 +82,946 +28%
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