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PROSPECT CAPITAL CORPORATION
PROSPECT CAPITAL CORPORATION. Institutional holdings reported to the SEC.

Institutional Holders (2014Q1)
Portfolio Summary: 253 Institutional holders with a total value of $900,563,884.
#
Manager Name
Shares
Value ($)
%
Options
Notes
101 Counsel Portfolio Services Inc. 87,900 949,000 0.11%
102 ACADIAN ASSET MANAGEMENT LLC 87,900 949,000 0.11%
103 BANK OF MONTREAL /CAN/ 86,530 935,000 0.10%
104 Allianz Asset Management GmbH 85,740 926,000 0.10%
105 PRINCIPAL FINANCIAL GROUP INC 85,465 923,000 0.10%
106 Nuveen Asset Management, LLC 85,199 920,000 0.10%
107 KMS FINANCIAL SERVICES, INC 83,421 901,000 0.10%
108 Sumitomo Mitsui DS Asset Management Company, Ltd 82,820 894,000 0.10%
109 ADVISORY RESEARCH INC 82,820 894,000 0.10%
110 LADENBURG THALMANN FINANCIAL SERVICES INC. 82,451 890,000 0.10%
111 Rock Point Advisors, LLC 76,070 822,000 0.09%
112 Santa Fe Partners LLC 75,753 817,000 0.09%
113 Municipal Employees' Retirement System of Michigan 75,200 812,000 0.09%
114 DIALECTIC CAPITAL MANAGEMENT, LP 74,896 809,000 0.09%
115 Cutter & CO Brokerage, Inc. 73,894 798,000 0.09%
116 Paloma Partners Management Co 73,483 794,000 0.09%
117 Creative Planning 71,956 777,000 0.09%
118 INVESTMENT CENTERS OF AMERICA INC 68,469 776,000 0.09%
119 First Allied Advisory Services, Inc. 70,606 765,000 0.08%
120 SALEM INVESTMENT COUNSELORS INC 68,370 738,000 0.08%
121 WFG Advisors, LP 66,497 718,000 0.08%
122 NAPLES GLOBAL ADVISORS, LLC 65,050 703,000 0.08%
123 Bell Bank 65,070 703,000 0.08%
124 WEDBUSH SECURITIES INC 63,308 684,000 0.08%
125 Man Investments Ltd 61,231 661,000 0.07%
126 TEXAS PERMANENT SCHOOL FUND CORP 57,880 625,000 0.07%
127 Allen Investment Management, LLC 57,908 625,000 0.07%
128 STRS OHIO 56,900 615,000 0.07%
129 Winslow, Evans & Crocker, Inc. 50,899 549,709 0.06%
130 LOS ANGELES CAPITAL MANAGEMENT LLC 50,425 545,000 0.06%
131 Highlander Capital Management, LLC 50,250 542,700 0.06%
132 FIFTH THIRD BANCORP 49,800 538,000 0.06%
133 Barnett & Company, Inc. 49,780 538,000 0.06%
134 HighTower Advisors, LLC 47,961 518,000 0.06%
135 MOODY NATIONAL BANK TRUST DIVISION 47,600 514,000 0.06%
136 Freedom Investment Management, Inc. 47,440 512,000 0.06%
137 Aviance Capital Partners, LLC 45,825 494,910 0.05%
138 OPTIMUM INVESTMENT ADVISORS 44,795 484,000 0.05%
139 HUNTINGTON NATIONAL BANK 44,000 475,000 0.05%
140 NISA INVESTMENT ADVISORS, LLC 42,700 461,000 0.05%
141 J.P. Morgan Private Wealth Advisors LLC 40,923 442,000 0.05%
142 Schonfeld Group Holdings LLC 40,106 433,000 0.05%
143 D.A. DAVIDSON & CO. 39,845 430,000 0.05%
144 RUSSELL FRANK CO/ 39,400 425,000 0.05%
145 Janney Montgomery Scott LLC 39,004 421,247 0.05%
146 Numeric Investors LLC 38,800 419,000 0.05%
147 Virtu KCG Holdings LLC 38,647 417,000 0.05%
148 M&T BANK CORP 38,613 417,000 0.05%
149 NOMURA HOLDINGS INC 38,436 415,000 0.05%
150 OPPENHEIMER & CO INC 38,165 411,000 0.05%
Page 3 of 6

From 2023-01-03 onward, the SEC requires values to be reported in nearest dollars. Earlier filings reported values in thousands; therefore, positions shown as $0 in older filings may represent actual values between $0–$999.