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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
151 Capital Investment Advisors, LLC 18,968 154,000 0.03%
152 Advisory Services Network, LLC 17,741 144,000 0.03%
153 SUMMIT SECURITIES GROUP LLC 17,500 142,000 0.03%
154 NWAM LLC 16,825 137,000 0.03%
155 Regal Investment Advisors LLC 16,819 137,000 0.03%
156 Walleye Trading LLC 16,800 136,000 0.03% Call
157 CONTRAVISORY INVESTMENT MANAGEMENT, INC. 15,742 128,000 0.03%
158 PRUDENTIAL FINANCIAL INC 15,500 126,000 0.03%
159 Global X Management CO LLC 15,479 126,000 0.03%
160 WOLVERINE TRADING LP /BD 15,196 123,000 0.03%
161 Boston Common Asset Management, LLC 15,048 122,000 0.02%
162 STABLEFORD CAPITAL II LLC 14,510 118,000 0.02%
163 BLAIR WILLIAM & CO/IL 14,000 114,000 0.02%
164 BROWN ADVISORY INC 13,952 113,000 0.02%
165 B. Riley Wealth Advisors, Inc. 13,696 112,000 0.02%
166 SALEM INVESTMENT COUNSELORS INC 13,300 108,000 0.02%
167 Atria Investments, Inc 12,866 104,000 0.02%
168 VICUS CAPITAL 12,600 102,000 0.02%
169 Callahan Advisors, LLC 12,000 97,000 0.02%
170 CIBC Asset Management Inc 11,781 96,000 0.02%
171 CFO4LIFE GROUP, LLC 11,676 95,000 0.02%
172 Moors & Cabot, Inc. 10,930 88,000 0.02%
173 FRONTIER INVESTMENT MGMT CO 10,740 87,000 0.02%
174 Winslow, Evans & Crocker, Inc. 10,639 86,389 0.02%
175 Nadler Financial Group, Inc. 10,500 85,000 0.02%
176 Telos Capital Management, Inc. 10,500 85,000 0.02%
177 BB&T SECURITIES, LLC 10,021 81,000 0.02%
178 NEXT Financial Group, Inc 9,849 80,000 0.02%
179 Ameritas Investment Partners, Inc. 9,431 76,000 0.02%
180 ADVOCACY WEALTH MANAGEMENT SERVICES, LLC 8,700 71,000 0.01%
181 Financial Architects, Inc 7,844 64,000 0.01%
182 SIMPLEX TRADING, LLC 7,631 61,000 0.01%
183 V WEALTH MANAGEMENT,LLC 7,141 58,000 0.01%
184 AllSquare Wealth Management LLC 7,000 57,000 0.01%
185 Kistler-Tiffany Companies, LLC 6,927 56,000 0.01%
186 REILLY FINANCIAL ADVISORS, LLC 6,750 55,000 0.01%
187 Smithfield Trust Co 6,135 50,000 0.01%
188 ADVANTAGE INVESTMENT MANAGEMENT, LLC 6,150 50,000 0.01%
189 Compagnie Lombard Odier SCmA 6,208 50,000 0.01%
190 GLOBAL RETIREMENT PARTNERS, LLC 5,584 45,000 0.01%
191 PENSERRA CAPITAL MANAGEMENT LLC 5,458 44,000 0.01%
192 MINICHMACGREGOR WEALTH MANAGEMENT, LLC 4,896 39,000 0.01%
193 WEBSTER BANK, N. A. 4,800 39,000 0.01%
194 Liberty Capital Management, Inc. 4,850 39,000 0.01%
195 ENTERPRISE FINANCIAL SERVICES CORP 4,500 37,000 0.01%
196 North Star Investment Management Corp. 4,500 37,000 0.01%
197 CUTLER GROUP LLC / CA 4,153 33,000 0.01%
198 FIFTH THIRD BANCORP 3,000 24,000 0.00%
199 CUTLER GROUP LLC / CA 64,300 23,000 0.00% Put
200 JACOBI CAPITAL MANAGEMENT LLC 2,400 19,000 0.00%
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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.