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

Institutional Holders (2016Q1)
Portfolio Summary: 237 Institutional holders with a total value of $413,876,330.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 Creative Planning 1,000 0 0.00% Put
2 Creative Planning 21,000 0 0.00% Call
3 UBS Group AG 100 1,000 0.00% Put
4 Carnick & Kubik, LLC 320 2,000 0.00%
5 Beacon Capital Management, Inc. 250 2,000 0.00%
6 SONORA INVESTMENT MANAGEMENT, LLC 339 2,587 0.00%
7 Sunbelt Securities, Inc. 393 2,857 0.00%
8 Winch Advisory Services, LLC 468 3,000 0.00%
9 FIRST PREMIER BANK 400 3,000 0.00%
10 Weaver C. Barksdale & Associates, Inc. 375 3,000 0.00%
11 Hudock, Inc. 543 3,000 0.00%
12 TRUST CO OF VERMONT 500 4,000 0.00%
13 ADVANTAGE INVESTMENT MANAGEMENT, LLC 706 5,000 0.00%
14 Allworth Financial LP 800 6,000 0.00%
15 First Horizon Advisors, Inc. 1,000 7,000 0.00%
16 INTEGRATED WEALTH MANAGEMENT 1,000 7,000 0.00%
17 Edge Wealth Management LLC 1,000 7,000 0.00%
18 Gradient Investments LLC 1,000 7,000 0.00%
19 DUBUQUE BANK & TRUST CO 1,128 8,000 0.00%
20 North Star Investment Management Corp. 1,500 11,000 0.00%
21 MARKSTON INTERNATIONAL LLC 1,700 12,000 0.00%
22 CUTLER GROUP LLC / CA 22,700 12,000 0.00% Call
23 Ipswich Investment Management Co., Inc. 1,700 12,000 0.00%
24 REILLY FINANCIAL ADVISORS, LLC 1,750 13,000 0.00%
25 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 1,762 13,000 0.00%
26 PRENTISS SMITH & CO INC 1,800 13,000 0.00%
27 Plante Moran Financial Advisors, LLC 2,000 15,000 0.00%
28 GLENMEDE TRUST CO NA 2,276 16,000 0.00%
29 Global X Management CO LLC 2,485 18,000 0.00%
30 Transamerica Financial Advisors, LLC 3,000 22,000 0.01%
31 PENSERRA CAPITAL MANAGEMENT LLC 3,617 26,000 0.01%
32 Chicago Partners Investment Group LLC 3,870 28,000 0.01%
33 D'Orazio & Associates, Inc. 4,675 33,000 0.01%
34 WESTPORT RESOURCES MANAGEMENT INC 4,500 33,000 0.01%
35 MINICHMACGREGOR WEALTH MANAGEMENT, LLC 4,703 34,000 0.01%
36 NEXT Financial Group, Inc 5,173 37,000 0.01%
37 Walleye Trading LLC 5,100 37,000 0.01% Put
38 Tower Research Capital LLC (TRC) 5,538 40,000 0.01%
39 JNBA Financial Advisors 5,500 40,000 0.01%
40 Smithfield Trust Co 6,135 45,000 0.01%
41 PEAK6 Group LLC 6,884 50,000 0.01%
42 Kistler-Tiffany Companies, LLC 6,927 50,000 0.01%
43 AllSquare Wealth Management LLC 7,000 51,000 0.01%
44 FIFTH THIRD BANCORP 9,200 67,000 0.02%
45 Ameritas Investment Partners, Inc. 9,431 68,000 0.02%
46 NatWest Group plc 10,241 74,000 0.02%
47 Concorde Asset Management, LLC 10,288 75,000 0.02%
48 BLAIR WILLIAM & CO/IL 10,450 75,000 0.02%
49 Nadler Financial Group, Inc. 10,500 76,000 0.02%
50 Concert Wealth Management Inc. 10,574 77,000 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.