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

Institutional Holders (2015Q2)
Portfolio Summary: 205 Institutional holders with a total value of $403,902,958.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 Waverly Advisors, LLC 5 0 0.00%
2 UBS Group AG 100 1,000 0.00% Put
3 WEALTHCARE CAPITAL MANAGEMENT LLC 200 1,000 0.00%
4 Creative Planning 21,000 1,000 0.00% Call
5 Creative Planning 20,000 2,000 0.00% Put
6 WEALTHFRONT CORP 300 2,000 0.00%
7 Winch Advisory Services, LLC 438 3,000 0.00%
8 Weaver C. Barksdale & Associates, Inc. 375 3,000 0.00%
9 Hudock, Inc. 500 3,000 0.00%
10 SIMPLEX TRADING, LLC 598 4,000 0.00%
11 ROBLE, BELKO & COMPANY, INC 661 5,000 0.00%
12 Allworth Financial LP 800 6,000 0.00%
13 ADVANTAGE INVESTMENT MANAGEMENT, LLC 999 7,000 0.00%
14 Madden Advisory Services, Inc. 960 7,000 0.00%
15 Pinnacle Summer Investments, Inc. 900 7,000 0.00%
16 INTEGRATED WEALTH MANAGEMENT 1,000 7,000 0.00%
17 Archford Capital Strategies, LLC 1,000 7,000 0.00%
18 North Star Investment Management Corp. 1,500 11,000 0.00%
19 PRELUDE CAPITAL MANAGEMENT, LLC 1,600 12,000 0.00%
20 MARKSTON INTERNATIONAL LLC 1,700 13,000 0.00%
21 SUMMIT SECURITIES GROUP LLC 2,000 15,000 0.00%
22 GLENMEDE TRUST CO NA 2,276 16,000 0.00%
23 D'Orazio & Associates, Inc. 2,250 17,000 0.00%
24 FIFTH THIRD BANCORP 2,708 20,000 0.00%
25 BNP PARIBAS FINANCIAL MARKETS 3,059 22,545 0.01%
26 DUBUQUE BANK & TRUST CO 3,117 23,000 0.01%
27 Genesis Wealth Advisors, LLC 3,500 25,795 0.01%
28 PRENTISS SMITH & CO INC 3,600 27,000 0.01%
29 BARCLAYS PLC 4,000 28,000 0.01%
30 Chicago Partners Investment Group LLC 3,870 29,000 0.01%
31 Transamerica Financial Advisors, LLC 4,100 31,000 0.01%
32 WESTPORT RESOURCES MANAGEMENT INC 4,500 33,000 0.01%
33 Quantbot Technologies LP 5,590 41,000 0.01%
34 Kistler-Tiffany Companies, LLC 5,593 41,000 0.01%
35 Advisory Services Network, LLC 5,641 42,000 0.01%
36 Smithfield Trust Co 6,000 44,000 0.01%
37 Simplicity Solutions, LLC 7,000 51,590 0.01%
38 Summit Financial Wealth Advisors, LLC 7,490 55,000 0.01%
39 AllSquare Wealth Management LLC 9,000 66,000 0.02%
40 MANUFACTURERS LIFE INSURANCE COMPANY, THE 9,433 70,000 0.02%
41 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 10,000 74,000 0.02%
42 PEAK6 Group LLC 10,000 74,000 0.02% Put
43 CIBC Asset Management Inc 10,186 75,000 0.02%
44 TEACHERS RETIREMENT SYSTEM OF THE STATE OF KENTUCKY 10,891 80,000 0.02%
45 NatWest Group plc 11,479 85,000 0.02%
46 B. Riley Wealth Management, Inc. 12,000 88,000 0.02%
47 BEACON TRUST CO 12,000 88,000 0.02%
48 Cubist Systematic Strategies, LLC 11,998 88,000 0.02%
49 AMERIPRISE FINANCIAL INC 12,082 89,000 0.02%
50 BOKF, NA 12,220 90,000 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.