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

Institutional Holders (2016Q3)
Portfolio Summary: 237 Institutional holders with a total value of $394,286,299.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 Creative Planning 1,000 0 0.00% Put
2 Concert Wealth Management Inc. 20,000 0 0.00% Call
3 Creative Planning 21,000 0 0.00% Call
4 UBS Group AG 100 1,000 0.00% Put
5 Weaver C. Barksdale & Associates, Inc. 375 3,000 0.00%
6 FIRST PREMIER BANK 400 3,000 0.00%
7 TCI Wealth Advisors, Inc. 312 3,000 0.00%
8 Winch Advisory Services, LLC 468 4,000 0.00%
9 TRUST CO OF VERMONT 500 4,000 0.00%
10 Elite Wealth Management, Inc. 574 5,000 0.00%
11 Allworth Financial LP 800 6,000 0.00%
12 WEALTHPLAN PARTNERS, LLC 766 6,156 0.00%
13 GLENMEDE TRUST CO NA 976 7,000 0.00%
14 BANK OF AMERICA CORP /DE/ 1,000 8,000 0.00% Put
15 INTEGRATED WEALTH MANAGEMENT 1,000 8,000 0.00%
16 First Horizon Advisors, Inc. 1,000 8,000 0.00%
17 Edge Wealth Management LLC 1,000 8,000 0.00% SH
18 REILLY FINANCIAL ADVISORS, LLC 1,050 9,000 0.00%
19 Live Your Vision, LLC 1,188 10,000 0.00%
20 MARKSTON INTERNATIONAL LLC 1,200 10,000 0.00%
21 NewSquare Capital LLC 1,204 10,000 0.00%
22 SARGENT BICKHAM LAGUDIS LLC 1,800 15,000 0.00%
23 Plante Moran Financial Advisors, LLC 2,000 16,000 0.00%
24 D'Orazio & Associates, Inc. 2,275 18,000 0.00%
25 JACOBI CAPITAL MANAGEMENT LLC 2,400 19,000 0.00%
26 CUTLER GROUP LLC / CA 46,100 21,000 0.01% Call
27 Financial Architects, Inc 2,865 23,000 0.01%
28 FIFTH THIRD BANCORP 3,000 24,000 0.01%
29 Chicago Partners Investment Group LLC 3,870 31,000 0.01%
30 North Star Investment Management Corp. 4,500 36,000 0.01%
31 WESTPORT RESOURCES MANAGEMENT INC 4,500 36,000 0.01%
32 Liberty Capital Management, Inc. 4,850 39,000 0.01%
33 MINICHMACGREGOR WEALTH MANAGEMENT, LLC 4,932 39,000 0.01%
34 BNP PARIBAS FINANCIAL MARKETS 4,882 39,544 0.01%
35 PENSERRA CAPITAL MANAGEMENT LLC 5,136 41,000 0.01%
36 HAP Trading, LLC 419,100 42,000 0.01% Put
37 Walleye Trading LLC 5,700 46,000 0.01% Call
38 NEXT Financial Group, Inc 5,850 47,000 0.01%
39 Mariner, LLC 6,219 50,000 0.01%
40 Smithfield Trust Co 6,135 50,000 0.01%
41 Global X Management CO LLC 6,484 53,000 0.01%
42 Quantbot Technologies LP 6,756 54,000 0.01%
43 Kistler-Tiffany Companies, LLC 6,927 56,000 0.01%
44 AllSquare Wealth Management LLC 7,000 57,000 0.01%
45 FineMark National Bank & Trust 9,000 73,000 0.02%
46 Ameritas Investment Partners, Inc. 9,431 76,000 0.02%
47 BLAIR WILLIAM & CO/IL 10,000 81,000 0.02%
48 Airain ltd 10,058 81,000 0.02%
49 BB&T SECURITIES, LLC 10,250 83,000 0.02%
50 CUTLER GROUP LLC / CA 224,000 84,000 0.02% Put
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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.