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PROSPECT CAPITAL CORPORA
PROSPECT CAPITAL CORPORA. 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
51 CIBC WORLD MARKET INC. 217,257 1,601,000 0.40%
52 Commonwealth Equity Services, Inc 215,618 1,589,000 0.39%
53 Prospera Financial Services Inc 208,912 1,540,000 0.38%
54 SHUFRO ROSE & CO LLC 208,800 1,538,000 0.38%
55 GROUP ONE TRADING LLC 202,663 1,494,000 0.37%
56 Montecito Bank & Trust 161,082 1,361,000 0.34%
57 Creative Planning 178,313 1,314,000 0.33%
58 SG Americas Securities, LLC 170,975 1,260,000 0.31%
59 B. Riley Wealth Advisors, Inc. 169,173 1,254,000 0.31%
60 WEDBUSH SECURITIES INC 164,824 1,215,000 0.30%
61 Bison Wealth, LLC 158,886 1,157,000 0.29%
62 VSR Financial Services, Inc. 150,437 1,109,000 0.27%
63 MCKINLEY CAPITAL MANAGEMENT LLC 143,057 1,054,000 0.26%
64 Old West Investment Management, LLC 140,000 1,031,000 0.26%
65 Texas Yale Capital Corp. 138,630 1,022,000 0.25%
66 HighTower Advisors, LLC 129,472 954,000 0.24%
67 SMITH CHAS P & ASSOCIATES PA CPAS 123,425 910,000 0.23%
68 Freedom Investment Management, Inc. 118,841 876,000 0.22%
69 Sigma Planning Corp 112,373 828,000 0.20%
70 DESCHAINE & COMPANY, LLC 107,135 790,000 0.20%
71 DnB Asset Management AS 101,600 748,792 0.19%
72 SCOPIA CAPITAL MANAGEMENT LP 100,000 737,000 0.18%
73 MANNING & NAPIER ADVISORS LLC 97,400 716,000 0.18%
74 STIFEL FINANCIAL CORP 96,967 715,000 0.18%
75 Bell Bank 95,924 707,000 0.18%
76 Partners Group Holding AG 95,200 702,000 0.17%
77 HL FINANCIAL SERVICES LLC 94,738 698,000 0.17%
78 TUDOR INVESTMENT CORP ET AL 88,833 655,000 0.16%
79 Taylor Frigon Capital Management LLC 83,741 620,000 0.15%
80 Pomelo Capital LLC 1,109,000 555,000 0.14% Put
81 WFG Advisors, LP 72,772 536,000 0.13%
82 RAYMOND JAMES & ASSOCIATES 72,548 535,000 0.13%
83 Aperio Group, LLC 72,194 532,000 0.13%
84 Raymond James Financial Services Advisors, Inc. 70,113 517,000 0.13%
85 PARK CIRCLE Co 70,000 516,000 0.13%
86 SUSQUEHANNA INTERNATIONAL GROUP, LLP 68,200 503,000 0.12% Call
87 St. James Investment Company, LLC 67,859 500,000 0.12%
88 BECK CAPITAL MANAGEMENT, LLC 66,575 491,000 0.12%
89 HighPoint Advisor Group LLC 66,160 488,000 0.12%
90 SUNTRUST BANKS INC 64,400 474,000 0.12%
91 JPMORGAN CHASE & CO 61,199 451,000 0.11%
92 EAGLE GLOBAL ADVISORS LLC 61,180 451,000 0.11%
93 BUCKHEAD CAPITAL MANAGEMENT LLC 60,000 442,000 0.11%
94 Cetera Advisor Networks LLC 52,304 428,000 0.11%
95 OPPENHEIMER & CO INC 57,247 422,000 0.10%
96 PNC FINANCIAL SERVICES GROUP, INC. 56,596 417,000 0.10%
97 PineBridge Investments, L.P. 55,605 410,000 0.10%
98 Allianz Asset Management GmbH 55,022 407,000 0.10%
99 INVESTMENT CENTERS OF AMERICA INC 52,866 391,000 0.10%
100 IMA Advisory Services, Inc. 52,770 389,000 0.10%
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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.