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

Institutional Holders (2016Q4)
Portfolio Summary: 231 Institutional holders with a total value of $477,393,631.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 CUTLER GROUP LLC / CA 1,000 0 0.00% Call
2 HAP Trading, LLC 419,000 0 0.00% Put
3 GIERL AUGUSTINE INVESTMENT MANAGEMENT INC 51 0 0.00%
4 Creative Planning 21,000 0 0.00% Call
5 Creative Planning 1,000 0 0.00% Put
6 BNP PARIBAS FINANCIAL MARKETS 55 825 0.00% Put
7 UBS Group AG 100 1,000 0.00% Put
8 ROYAL FUND MANAGEMENT, LLC 408 3,000 0.00%
9 Weaver C. Barksdale & Associates, Inc. 375 3,000 0.00%
10 Winch Advisory Services, LLC 483 4,000 0.00%
11 TRUST CO OF VERMONT 500 4,000 0.00%
12 ASSETMARK, INC 600 5,000 0.00%
13 SIMPLEX TRADING, LLC 790 6,000 0.00%
14 REILLY FINANCIAL ADVISORS, LLC 750 6,000 0.00%
15 Allworth Financial LP 800 7,000 0.00%
16 Edge Wealth Management LLC 1,000 8,000 0.00%
17 BELLWETHER INVESTMENT GROUP, LLC 989 8,000 0.00%
18 GLENMEDE TRUST CO NA 976 8,000 0.00%
19 First Horizon Advisors, Inc. 1,000 8,000 0.00%
20 BANK OF AMERICA CORP /DE/ 1,000 8,000 0.00% Put
21 Live Your Vision, LLC 1,225 10,000 0.00%
22 NewSquare Capital LLC 1,204 10,000 0.00%
23 MARKSTON INTERNATIONAL LLC 1,200 10,000 0.00%
24 SYNOVUS FINANCIAL CORP 1,500 13,000 0.00%
25 SARGENT BICKHAM LAGUDIS LLC 1,800 15,000 0.00%
26 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 1,877 16,000 0.00%
27 PATRIOT FINANCIAL GROUP INSURANCE AGENCY, LLC 1,800 16,000 0.00%
28 Plante Moran Financial Advisors, LLC 2,000 17,000 0.00%
29 D'Orazio & Associates, Inc. 2,275 19,000 0.00%
30 JACOBI CAPITAL MANAGEMENT LLC 2,400 21,000 0.00%
31 Financial Architects, Inc 2,908 25,000 0.01%
32 FIFTH THIRD BANCORP 3,000 25,000 0.01%
33 CUTLER GROUP LLC / CA 3,639 30,000 0.01%
34 Chicago Partners Investment Group LLC 3,870 32,000 0.01%
35 CITIGROUP INC 4,300 36,000 0.01% Call
36 North Star Investment Management Corp. 4,500 38,000 0.01%
37 CUTLER GROUP LLC / CA 143,300 40,000 0.01% Put
38 WEBSTER BANK, N. A. 4,800 41,000 0.01%
39 Liberty Capital Management, Inc. 4,850 42,000 0.01%
40 MINICHMACGREGOR WEALTH MANAGEMENT, LLC 5,050 42,000 0.01%
41 PENSERRA CAPITAL MANAGEMENT LLC 5,778 48,000 0.01%
42 NEXT Financial Group, Inc 5,850 49,000 0.01%
43 GLOBAL RETIREMENT PARTNERS, LLC 6,030 50,000 0.01%
44 Smithfield Trust Co 6,135 51,000 0.01%
45 Kistler-Tiffany Companies, LLC 6,927 58,000 0.01%
46 AllSquare Wealth Management LLC 7,000 58,000 0.01%
47 Tower Research Capital LLC (TRC) 7,208 60,000 0.01%
48 BNP PARIBAS FINANCIAL MARKETS 7,460 62,291 0.01%
49 Walleye Trading LLC 7,600 63,000 0.01% Call
50 FineMark National Bank & Trust 9,000 75,000 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.