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

Institutional Holders (2014Q4)
Portfolio Summary: 224 Institutional holders with a total value of $419,180,235.
#
Manager Name
Shares
Value ($)
%
Options
Notes
201 Creative Planning 12,900 29,000 0.01% Put
202 WESTPORT RESOURCES MANAGEMENT INC 3,000 25,000 0.01%
203 Summit Financial Wealth Advisors, LLC 2,720 22,000 0.01%
204 Transamerica Financial Advisors, LLC 2,600 22,000 0.01%
205 NEW ENGLAND SECURITIES CORP /MA/ 2,650 22,000 0.01%
206 NEXT Financial Group, Inc 2,500 21,000 0.01%
207 FineMark National Bank & Trust 2,529 21,000 0.01%
208 D'Orazio & Associates, Inc. 2,250 19,000 0.00%
209 SUMMIT SECURITIES GROUP LLC 2,300 19,000 0.00%
210 GLENMEDE TRUST CO NA 2,276 18,000 0.00%
211 SECURITY NATIONAL TRUST CO 2,000 17,000 0.00%
212 Simplicity Solutions, LLC 1,796 14,835 0.00%
213 ADVANTAGE INVESTMENT MANAGEMENT, LLC 1,728 14,000 0.00%
214 North Star Investment Management Corp. 1,500 12,000 0.00%
215 Archford Capital Strategies, LLC 1,000 8,000 0.00%
216 Riggs Asset Managment Co. Inc. 750 6,000 0.00%
217 Creative Planning 30,100 4,000 0.00% Call
218 MARKSTON INTERNATIONAL LLC 400 3,000 0.00%
219 REILLY FINANCIAL ADVISORS, LLC 232 2,000 0.00%
220 Perkins Coie Trust Co 200 2,000 0.00%
221 WEALTHCARE CAPITAL MANAGEMENT LLC 200 2,000 0.00%
222 Hudock, Inc. 300 2,000 0.00%
223 REGENTATLANTIC CAPITAL LLC 200 1,652 0.00%
224 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 138 1,000 0.00%
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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.