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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
101 Aviance Capital Partners, LLC 53,121 444,000 0.09%
102 Cetera Advisor Networks LLC 52,420 432,000 0.09%
103 IFC Holdings Incorporated/FL 49,413 414,000 0.09%
104 FIRST FOUNDATION ADVISORS 47,888 400,000 0.08%
105 MOODY NATIONAL BANK TRUST DIVISION 47,600 398,000 0.08%
106 JANE STREET GROUP, LLC 46,925 392,000 0.08%
107 OPTIMUM INVESTMENT ADVISORS 46,000 384,000 0.08%
108 INVESTMENT CENTERS OF AMERICA INC 45,334 380,000 0.08%
109 ALLEGIS INVESTMENT ADVISORS, LLC 45,085 376,000 0.08%
110 Essex Financial Services, Inc. 44,822 374,000 0.08%
111 B. Riley Wealth Advisors, Inc. 44,766 374,000 0.08%
112 MENTA CAPITAL LLC 44,513 372,000 0.08%
113 PEAK6 Group LLC 44,500 372,000 0.08% Put
114 CALIFORNIA PUBLIC EMPLOYEES RETIREMENT SYSTEM 43,600 364,000 0.08%
115 INDEPENDENT ADVISOR ALLIANCE 41,274 356,301 0.07%
116 CWA ASSET MANAGEMENT GROUP, LLC 41,950 350,000 0.07%
117 STEEL GROVE CAPITAL ADVISORS, LLC 41,200 347,000 0.07%
118 FIRST MIDWEST BANK TRUST DIVISION 40,047 334,000 0.07%
119 Highlander Capital Management, LLC 39,400 329,000 0.07%
120 PACER ADVISORS, INC. 39,416 329,000 0.07%
121 SII INVESTMENTS INC/WI 38,860 326,000 0.07%
122 Sequoia Financial Advisors, LLC 38,568 322,000 0.07%
123 Aperio Group, LLC 34,237 286,000 0.06%
124 BRIDGEWORTH, LLC 30,200 260,000 0.05%
125 LIDO ADVISORS, LLC 31,098 260,000 0.05%
126 M&T BANK CORP 30,115 251,000 0.05%
127 HighPoint Advisor Group LLC 26,360 248,000 0.05%
128 NORTHERN TRUST CORP 29,214 244,000 0.05%
129 GSA CAPITAL PARTNERS LLP 28,900 241,000 0.05%
130 ENVESTNET ASSET MANAGEMENT INC 27,273 228,000 0.05%
131 RHUMBLINE ADVISERS 26,656 223,000 0.05%
132 MANUFACTURERS LIFE INSURANCE COMPANY, THE 26,642 223,000 0.05%
133 Janney Montgomery Scott LLC 26,528 222,000 0.05%
134 JPMORGAN CHASE & CO 25,482 213,000 0.04%
135 BANCORPSOUTH INC 25,000 209,000 0.04%
136 Radcliffe Capital Management, L.P. 24,000 200,000 0.04%
137 CITIGROUP INC 23,700 198,000 0.04% Put
138 Stratos Wealth Partners, LTD. 22,826 191,000 0.04%
139 ROWLAND CARMICHAEL ADVISORS INC /ADV 22,710 190,000 0.04%
140 SOWELL FINANCIAL SERVICES LLC 20,000 188,000 0.04%
141 NWAM LLC 22,154 185,000 0.04%
142 SUSQUEHANNA INTERNATIONAL GROUP, LLP 20,900 175,000 0.04% Call
143 Capital Investment Advisors, LLC 20,768 173,000 0.04%
144 RAYMOND JAMES TRUST N.A. 20,050 168,000 0.04%
145 WEALTHSOURCE PARTNERS, LLC 19,600 164,000 0.03%
146 WOLVERINE TRADING LP /BD 19,379 162,000 0.03%
147 HighTower Advisors, LLC 18,849 157,000 0.03%
148 LUCUS ADVISORS LLC 18,633 156,000 0.03%
149 JANICZEK WEALTH MANAGEMENT, LLC 18,000 150,000 0.03%
150 Arete Wealth Advisors, LLC 17,353 145,000 0.03%
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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.