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

Institutional Holders (2015Q1)
Portfolio Summary: 224 Institutional holders with a total value of $441,058,388.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 MANAGED ACCOUNT ADVISORS LLC 5 0 0.00%
2 Waverly Advisors, LLC 5 0 0.00%
3 Creative Planning 22,100 0 0.00% Call
4 Baltimore-Washington Financial Advisors, Inc. 100 1,000 0.00%
5 UBS Group AG 100 1,000 0.00% Put
6 SIMPLEX TRADING, LLC 144 1,000 0.00%
7 Creative Planning 32,000 1,000 0.00% Put
8 WEALTHCARE CAPITAL MANAGEMENT LLC 200 2,000 0.00%
9 Perkins Coie Trust Co 200 2,000 0.00%
10 Gradient Investments LLC 270 2,000 0.00%
11 Hudock, Inc. 300 3,000 0.00%
12 Weaver C. Barksdale & Associates, Inc. 375 3,000 0.00%
13 Winch Advisory Services, LLC 424 4,000 0.00%
14 MARKSTON INTERNATIONAL LLC 600 5,000 0.00%
15 PRELUDE CAPITAL MANAGEMENT, LLC 700 6,000 0.00%
16 Riggs Asset Managment Co. Inc. 750 6,000 0.00%
17 Tower Research Capital LLC (TRC) 750 6,000 0.00%
18 INTEGRATED WEALTH MANAGEMENT 1,000 8,000 0.00%
19 Archford Capital Strategies, LLC 1,000 8,450 0.00%
20 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 1,380 12,000 0.00%
21 North Star Investment Management Corp. 1,500 13,000 0.00%
22 DUBUQUE BANK & TRUST CO 2,000 17,000 0.00%
23 GLENMEDE TRUST CO NA 2,276 19,000 0.00%
24 D'Orazio & Associates, Inc. 2,250 19,000 0.00%
25 ADVANTAGE INVESTMENT MANAGEMENT, LLC 2,192 19,000 0.00%
26 FineMark National Bank & Trust 2,548 22,000 0.00%
27 FIFTH THIRD BANCORP 2,708 23,000 0.01%
28 Genesis Wealth Advisors, LLC 3,500 29,400 0.01%
29 PRENTISS SMITH & CO INC 3,600 30,000 0.01%
30 Chicago Partners Investment Group LLC 3,959 33,000 0.01%
31 Advisory Services Network, LLC 4,000 34,000 0.01%
32 WESTPORT RESOURCES MANAGEMENT INC 4,500 38,000 0.01%
33 SHARKEY, HOWES & JAVER 4,500 38,000 0.01%
34 Transamerica Financial Advisors, LLC 4,600 39,000 0.01%
35 Kistler-Tiffany Companies, LLC 5,593 47,000 0.01%
36 NEXT Financial Group, Inc 5,844 49,000 0.01%
37 Smithfield Trust Co 6,000 51,000 0.01%
38 BARCLAYS PLC 6,398 52,000 0.01%
39 AllSquare Wealth Management LLC 7,000 59,000 0.01%
40 FIRST MERCANTILE TRUST CO 7,191 61,000 0.01%
41 Summit Financial Wealth Advisors, LLC 7,490 61,000 0.01%
42 MANUFACTURERS LIFE INSURANCE COMPANY, THE 7,404 63,000 0.01%
43 MCGLINN CAPITAL MANAGEMENT INC 9,000 76,000 0.02%
44 STANCORP INVESTMENT ADVISERS INC 9,354 79,000 0.02%
45 Sterneck Capital Management, LLC 10,000 85,000 0.02%
46 VOYA FINANCIAL ADVISORS, INC. 10,230 86,000 0.02%
47 NORTHERN TRUST CORP 10,225 86,000 0.02%
48 Stratos Wealth Partners, LTD. 10,225 87,000 0.02%
49 BOKF, NA 10,500 89,000 0.02%
50 IRON Financial LLC 10,575 89,000 0.02%
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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.