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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
51 WELLS FARGO & COMPANY/MN 181,925 1,476,000 0.30%
52 ROYAL BANK OF CANADA 178,560 1,450,000 0.30%
53 DnB Asset Management AS 174,400 1,416,128 0.29%
54 SHUFRO ROSE & CO LLC 170,800 1,387,000 0.28%
55 MESSNER & SMITH THEME VALUE INVESTMENT MANAGEMENT LTD /CA/ 168,990 1,373,000 0.28%
56 Creative Planning 166,123 1,349,000 0.27%
57 MACQUARIE GROUP LTD 160,841 1,306,000 0.27%
58 RAYMOND JAMES & ASSOCIATES 156,492 1,271,000 0.26%
59 STIFEL FINANCIAL CORP 155,706 1,251,000 0.25%
60 PNC FINANCIAL SERVICES GROUP, INC. 144,232 1,173,000 0.24%
61 CIBC WORLD MARKET INC. 143,547 1,166,000 0.24%
62 NORTHERN TRUST CORP 133,197 1,081,000 0.22%
63 Jefferies Group LLC 133,000 1,080,000 0.22% Call
64 Sigma Planning Corp 132,038 1,072,000 0.22%
65 WOLVERINE TRADING LP /BD 131,900 1,068,000 0.22% Put
66 TWO SIGMA ADVISERS, LP 130,615 1,061,000 0.22%
67 PVG ASSET MANAGEMENT CORP 130,261 1,057,727 0.22%
68 Catalyst Capital Advisors LLC 126,900 1,030,000 0.21%
69 AMERIPRISE FINANCIAL INC 123,734 1,005,000 0.20%
70 Cambria Investment Management, L.P. 117,866 957,000 0.19%
71 MML INVESTORS SERVICES, INC. 113,881 925,000 0.19%
72 Freedom Investment Management, Inc. 109,048 885,000 0.18%
73 GARNER ASSET MANAGEMENT CORP 105,674 858,000 0.17%
74 IFP ADVISORS, INC 104,314 847,000 0.17%
75 SCOPIA CAPITAL MANAGEMENT LP 104,194 846,000 0.17%
76 First Allied Advisory Services, Inc. 101,647 826,000 0.17%
77 SVB WEALTH LLC 99,200 806,000 0.16%
78 Private Advisor Group, LLC 98,170 797,000 0.16%
79 Alberta Investment Management Corp 96,101 780,000 0.16%
80 WEDBUSH SECURITIES INC 90,228 733,000 0.15%
81 CITADEL ADVISORS LLC 88,100 715,000 0.15% Put
82 SAGE CAPITAL ADVISORS,LLC 83,947 682,000 0.14%
83 Archford Capital Strategies, LLC 122,149 669,000 0.14%
84 EAGLE GLOBAL ADVISORS LLC 78,628 638,000 0.13%
85 PineBridge Investments, L.P. 74,829 608,000 0.12%
86 NATIONAL PLANNING CORP 74,255 601,000 0.12%
87 SUSQUEHANNA INTERNATIONAL GROUP, LLP 73,400 596,000 0.12% Call
88 SII INVESTMENTS INC/WI 72,498 589,000 0.12%
89 ALPHA OMEGA WEALTH MANAGEMENT LLC 71,040 577,000 0.12%
90 DAVENPORT & Co LLC 70,400 571,648 0.12%
91 CETERA INVESTMENT ADVISERS 66,790 541,000 0.11%
92 Cetera Advisors LLC 66,790 541,000 0.11%
93 SUNTRUST BANKS INC 64,400 523,000 0.11%
94 GENEOS WEALTH MANAGEMENT INC. 60,159 488,000 0.10%
95 IFC Holdings Incorporated/FL 57,994 467,000 0.10%
96 OPPENHEIMER & CO INC 57,401 466,000 0.09%
97 Aperio Group, LLC 57,248 465,000 0.09%
98 D.A. DAVIDSON & CO. 57,013 462,000 0.09%
99 CAPITAL INVESTMENT ADVISORY SERVICES, LLC 56,392 458,000 0.09%
100 Cetera Advisor Networks LLC 55,108 442,000 0.09%
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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.