Dark
Light
System
Security
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
101 PACER ADVISORS, INC. 53,897 438,000 0.09%
102 Gotham Asset Management, LLC 50,551 410,000 0.08%
103 Stratos Wealth Partners, LTD. 47,841 388,000 0.08%
104 MOODY NATIONAL BANK TRUST DIVISION 47,600 386,000 0.08%
105 Janney Montgomery Scott LLC 46,924 381,000 0.08%
106 WOLVERINE TRADING LP /BD 46,900 380,000 0.08% Call
107 AMERICAFIRST CAPITAL MANAGEMENT, LLC 46,566 378,000 0.08%
108 AMERICAFIRST QUANTITATIVE TRUST - AMERICAFIRST DEFENSIVE GROWTH & INCOME PORTFOLIO, SERIES 2 46,566 378,000 0.08%
109 OPTIMUM INVESTMENT ADVISORS 46,000 374,000 0.08%
110 SYNOVUS FINANCIAL CORP 45,531 370,000 0.08%
111 Essex Financial Services, Inc. 45,438 369,000 0.08%
112 STEEL GROVE CAPITAL ADVISORS, LLC 43,685 355,000 0.07%
113 INVESTMENT CENTERS OF AMERICA INC 43,434 350,000 0.07%
114 Arete Wealth Advisors, LLC 41,350 336,000 0.07%
115 PEAK6 Group LLC 40,600 330,000 0.07% Call
116 FIRST MIDWEST BANK TRUST DIVISION 40,486 329,000 0.07%
117 CWA ASSET MANAGEMENT GROUP, LLC 40,050 325,000 0.07%
118 GSA CAPITAL PARTNERS LLP 39,635 322,000 0.07%
119 Highlander Capital Management, LLC 39,000 316,000 0.06%
120 CITIGROUP INC 38,800 315,000 0.06% Put
121 ALLEGIS INVESTMENT ADVISORS, LLC 37,405 304,000 0.06%
122 BRIDGEWORTH, LLC 35,400 287,000 0.06%
123 INDEPENDENT ADVISOR ALLIANCE 35,007 284,000 0.06%
124 Aviance Capital Partners, LLC 34,496 280,000 0.06%
125 LIDO ADVISORS, LLC 32,985 268,000 0.05%
126 ENVESTNET ASSET MANAGEMENT INC 30,851 250,000 0.05%
127 Apriem Advisors 30,000 244,000 0.05%
128 SHELTON CAPITAL MANAGEMENT 30,000 244,000 0.05%
129 M&T BANK CORP 29,895 242,000 0.05%
130 CITIGROUP INC 29,532 240,000 0.05%
131 Sequoia Financial Advisors, LLC 29,185 237,000 0.05%
132 MANUFACTURERS LIFE INSURANCE COMPANY, THE 28,921 235,000 0.05%
133 Paragon Capital Management Ltd 28,844 234,000 0.05%
134 SPOT TRADING LLC /BD 28,400 231,000 0.05% Call
135 CITADEL ADVISORS LLC 27,500 223,000 0.05% Call
136 HighPoint Advisor Group LLC 3,613 222,000 0.05%
137 RHUMBLINE ADVISERS 26,791 218,000 0.04%
138 Verition Fund Management LLC 25,520 207,000 0.04%
139 TRENT CAPITAL MANAGEMENT INC /NC/ 22,765 185,000 0.04%
140 ROWLAND CARMICHAEL ADVISORS INC /ADV 22,710 184,000 0.04%
141 JPMORGAN CHASE & CO 22,211 181,000 0.04%
142 HighTower Advisors, LLC 21,551 174,000 0.04%
143 FEDERATION DES CAISSES DESJARDINS DU QUEBEC 21,300 172,956 0.04%
144 Walleye Trading LLC 21,100 171,000 0.03% Put
145 PEAK6 Group LLC 20,500 166,000 0.03% Put
146 CITIGROUP INC 20,500 166,000 0.03% Call
147 RAYMOND JAMES TRUST N.A. 20,050 163,000 0.03%
148 BANCORPSOUTH INC 20,000 162,000 0.03%
149 INFRASTRUCTURE CAPITAL ADVISORS, LLC 19,835 161,000 0.03%
150 Sumitomo Mitsui Trust Group, Inc. 19,659 160,000 0.03%
Page 3 of 5

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.