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

Institutional Holders (2017Q2)
Portfolio Summary: 229 Institutional holders with a total value of $491,017,824.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 Creative Planning 1,000 0 0.00% Call
2 BB&T INVESTMENT SERVICES, INC. 1 0 0.00%
3 GIERL AUGUSTINE INVESTMENT MANAGEMENT INC 53 0 0.00%
4 NORWAY SAVINGS BANK 100 1,000 0.00%
5 HAP Trading, LLC 12,000 1,000 0.00% Call
6 CUTLER GROUP LLC / CA 17,700 2,000 0.00% Call
7 Winch Advisory Services, LLC 511 4,000 0.00%
8 TRUST CO OF VERMONT 500 4,000 0.00%
9 ROYAL FUND MANAGEMENT, LLC 524 4,000 0.00%
10 Allworth Financial LP 800 6,000 0.00%
11 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 900 7,000 0.00%
12 BANK OF AMERICA CORP /DE/ 1,000 8,000 0.00% Put
13 Vantage Investment Advisors, LLC 1,000 8,000 0.00%
14 GLENMEDE TRUST CO NA 976 8,000 0.00%
15 PATRIOT FINANCIAL GROUP INSURANCE AGENCY, LLC 1,000 8,000 0.00%
16 Edge Wealth Management LLC 1,000 8,000 0.00%
17 First Horizon Advisors, Inc. 1,000 8,000 0.00%
18 Tradewinds Capital Management, LLC 1,014 8,000 0.00%
19 Baystate Wealth Management LLC 1,142 9,000 0.00%
20 MARKSTON INTERNATIONAL LLC 1,200 10,000 0.00%
21 NewSquare Capital LLC 1,204 10,000 0.00%
22 IHT WEALTH MANAGEMENT, LLC 462 11,000 0.00%
23 Live Your Vision, LLC 1,310 11,000 0.00%
24 SPOT TRADING LLC /BD 1,300 11,000 0.00% Put
25 Chicago Partners Investment Group LLC 1,500 12,000 0.00%
26 SARGENT BICKHAM LAGUDIS LLC 1,500 12,000 0.00%
27 BNP PARIBAS FINANCIAL MARKETS 1,598 12,976 0.00%
28 SEI INVESTMENTS CO 2,109 17,000 0.00%
29 BESSEMER GROUP INC 2,268 18,000 0.00%
30 JACOBI CAPITAL MANAGEMENT LLC 2,400 19,000 0.00%
31 CUTLER GROUP LLC / CA 64,300 23,000 0.00% Put
32 FIFTH THIRD BANCORP 3,000 24,000 0.00%
33 CUTLER GROUP LLC / CA 4,153 33,000 0.01%
34 North Star Investment Management Corp. 4,500 37,000 0.01%
35 ENTERPRISE FINANCIAL SERVICES CORP 4,500 37,000 0.01%
36 MINICHMACGREGOR WEALTH MANAGEMENT, LLC 4,896 39,000 0.01%
37 WEBSTER BANK, N. A. 4,800 39,000 0.01%
38 Liberty Capital Management, Inc. 4,850 39,000 0.01%
39 PENSERRA CAPITAL MANAGEMENT LLC 5,458 44,000 0.01%
40 GLOBAL RETIREMENT PARTNERS, LLC 5,584 45,000 0.01%
41 Compagnie Lombard Odier SCmA 6,208 50,000 0.01%
42 Smithfield Trust Co 6,135 50,000 0.01%
43 ADVANTAGE INVESTMENT MANAGEMENT, LLC 6,150 50,000 0.01%
44 REILLY FINANCIAL ADVISORS, LLC 6,750 55,000 0.01%
45 Kistler-Tiffany Companies, LLC 6,927 56,000 0.01%
46 AllSquare Wealth Management LLC 7,000 57,000 0.01%
47 V WEALTH MANAGEMENT,LLC 7,141 58,000 0.01%
48 SIMPLEX TRADING, LLC 7,631 61,000 0.01%
49 Financial Architects, Inc 7,844 64,000 0.01%
50 ADVOCACY WEALTH MANAGEMENT SERVICES, LLC 8,700 71,000 0.01%
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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.