Notable Holders of Prospect Capital Corporation (PSEC)
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* Does Not Fully Represent All Holders
| Fund | Title | Shares | % Owned | Source |
|---|---|---|---|---|
| UBS AG | COM | 5,404,467 | 1.58% | 13F |
| UBS Group AG | COM | 4,989,986 | 1.46% | 13F |
| Van Eck | COM | 4,524,004 | 1.32% | 13F |
| LEGAL & GENERAL GROUP PLC | COM | 2,946,962 | 0.86% | 13F |
| BlackRock Group LTD | COM | 2,301,545 | 0.67% | 13F |
| LSV ASSET MANAGEMENT | COM | 1,713,054 | 0.50% | 13F |
| AHL Partners LLP | COM | 1,533,477 | 0.45% | 13F |
| XML Financial, LLC | COM | 1,324,844 | 0.39% | 13F |
| FOURSIXTHREE CAPITAL LP (PUT) | COM | 1,303,900 | 0.38% | 13F |
| Y.D. More Investments Ltd | COM | 1,273,209 | 0.37% | 13F |
| COMMONWEALTH EQUITY SERVICES, LLC. | COM | 910,806 | 0.27% | 13F |
| LPL Financial LLC | COM | 860,315 | 0.25% | 13F |
| CARRONADE CAPITAL MANAGEMENT, LP (PUT) | COM | 850,000 | 0.25% | 13F |
| Commonwealth Equity Services, Inc | COM | 795,541 | 0.23% | 13F |
| GROUP ONE TRADING, L.P. (PUT) | COM | 791,800 | 0.23% | 13F |
| Cambridge Investment Research Advisors, Inc. | CAP CORP COM | 750,357 | 0.22% | 13F |
| SOCIETE GENERALE (PUT) | OPT | 624,800 | 0.18% | 13F |
| Paragon Wealth Strategies, LLC | CEF | 588,460 | 0.17% | 13F |
| Advisors Asset Management, Inc. | COM | 574,149 | 0.17% | 13F |
| FIRST REPUBLIC INVESTMENT MANAGEMENT, INC. | COM | 560,340 | 0.16% | 13F |
| Muzinich & Co., Inc. | COM | 541,754 | 0.16% | 13F |
| RAYMOND JAMES FINANCIAL INC | COM | 472,586 | 0.14% | 13F |
| MCKINLEY CAPITAL MANAGEMENT LLC /DELAWARE | COM | 450,417 | 0.13% | 13F |
| NORTHERN TRUST CORP | COM | 421,590 | 0.12% | 13F |
| TRUST & FIDUCIARY MANAGEMENT SERVICES INC | COM | 416,550 | 0.12% | 13F |
| Advisor Group, Inc. | COM | 405,053 | 0.12% | 13F |
| RAYMOND JAMES & ASSOCIATES | COM | 399,571 | 0.12% | 13F |
| WFG Advisors, LP | COM | 371,436 | 0.11% | 13F |
| Qube Research & Technologies Ltd | COM | 363,392 | 0.11% | 13F |
| ROCKWOOD ASSET MANAGEMENT, LLC | COM | 355,500 | 0.10% | 13F |
| LADENBURG THALMANN FINANCIAL SERVICES INC | COM | 353,713 | 0.10% | 13F |
| PVG Asset Management | COM | 350,070 | 0.10% | 13F |
| WHITEBOX ADVISORS LLC (PUT) | COM | 311,000 | 0.09% | 13F |
| GREAT WEST LIFE ASSURANCE CO /CAN/ | COM | 274,874 | 0.08% | 13F |
| BANK OF AMERICA CORP /DE/ | COM | 254,670 | 0.07% | 13F |
| INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC | COM | 234,412 | 0.07% | 13F |
| KESTRA PRIVATE WEALTH SERVICES, LLC | COM | 229,527 | 0.07% | 13F |
| DnB NOR Asset Management AS | common | 212,110 | 0.06% | 13F |
| PHILADELPHIA TRUST CO | COM | 191,350 | 0.06% | 13F |
| STIFEL FINANCIAL CORP | COM | 189,424 | 0.06% | 13F |
| Strategic Wealth Advisors Group,Inc. | COM | 184,198 | 0.05% | 13F |
| Mariner Wealth Advisors, LLC | COM | 173,864 | 0.05% | 13F |
| Guild Investment Management, Inc. | COM | 173,460 | 0.05% | 13F |
| Palogic Value Management, L.P. | COM | 171,718 | 0.05% | 13F |
| Garner Asset Management Corp | COM | 162,810 | 0.05% | 13F |
| BALYASNY ASSET MANAGEMENT LLC | COM | 160,261 | 0.05% | 13F |
| BI Asset Management Fondsmaeglerselskab A/S | COM | 159,258 | 0.05% | 13F |
| BB&T CORP | COM | 153,940 | 0.04% | 13F |
| HighTower Advisors, LLC | COM | 153,344 | 0.04% | 13F |
| Financial Network | COM | 150,462 | 0.04% | 13F |
| AE Wealth Management LLC | COM | 147,674 | 0.04% | 13F |
| FIRST FINANCIAL EQUITY CORPORATION | COM | 133,182 | 0.04% | 13F |
| EDELMAN FINANCIAL GROUP INC. | COM | 133,127 | 0.04% | 13F |
| Arkadios Wealth Advisors | CEF | 132,024 | 0.04% | 13F |
| Aperio Group, LLC | COM | 130,884 | 0.04% | 13F |
| Her Majesty the Queen in Right of the Province of Alberta as represented by Alberta Investment Management Corp | COM | 124,900 | 0.04% | 13F |
| Kovack Advisors, Inc. | COM | 124,572 | 0.04% | 13F |
| Advisory Services Network, LLC | CEF | 120,258 | 0.04% | 13F |
| SUNTRUST BANKS INC | COM | 119,400 | 0.03% | 13F |
| Sculati Wealth Management, LLC | COM | 116,565 | 0.03% | 13F |
| MetLife Securities, Inc | COM | 112,657 | 0.03% | 13F |
| ROWLAND CARMICHAEL ADVISORS INC /ADV | COM | 108,010 | 0.03% | 13F |
| DESCHAINE & COMPANY, LLC | COM | 107,135 | 0.03% | 13F |
| VSR Financial Services, Inc. | COM | 106,165 | 0.03% | 13F |
| ING INVESTMENT MANAGEMENT CO | COM | 104,352 | 0.03% | 13F |
| SMH CAPITAL ADVISORS INC | COM | 100,719 | 0.03% | 13F |
| JANE STREET GROUP, LLC (PUT) | COM | 95,200 | 0.03% | 13F |
| Catalyst Capital Advisors LLC | COM | 95,140 | 0.03% | 13F |
| Raymond James Financial Services Advisors, Inc. | COM | 93,300 | 0.03% | 13F |
| WESTWOOD HOLDINGS GROUP INC | COM | 93,246 | 0.03% | 13F |
| Sigma Planning Corp | COM | 85,833 | 0.03% | 13F |
| KNIGHT CAPITAL GROUP, INC. | COM | 85,106 | 0.02% | 13F |
| Garden State Investment Advisory Services LLC | COM | 80,793 | 0.02% | 13F |
| MFC GLOBAL INVESTMENT MANAGEMENT (U.S.), LLC | COM | 79,366 | 0.02% | 13F |
| Prospera Financial Services | COM | 78,914 | 0.02% | 13F |
| Sheaff Brock Investment Advisors, LLC | COM | 78,738 | 0.02% | 13F |
| Summit Global Investments | COM | 75,022 | 0.02% | 13F |
| Triumph Capital Management | COM | 74,853 | 0.02% | 13F |
| Creative Planning | COM | 70,415 | 0.02% | 13F |
| CAXTON ASSOCIATES LP | COM | 68,413 | 0.02% | 13F |
| HRT FINANCIAL LLC | COM | 67,200 | 0.02% | 13F |
| BARRETT & COMPANY, INC. | COM | 66,624 | 0.02% | 13F |
| American Portfolios Advisors | COM | 60,524 | 0.02% | 13F |
| Corsicana & Co. | COM | 60,000 | 0.02% | 13F |
| US BANCORP \DE\ | COM | 60,000 | 0.02% | 13F |
| GUGGENHEIM CAPITAL LLC | COM | 59,304 | 0.02% | 13F |
| Virtus ETF Advisers LLC | COM | 57,223 | 0.02% | 13F |
| ROYAL BANK OF CANADA \ | COM | 56,828 | 0.02% | 13F |
| BLAIR WILLIAM & CO/IL | COM | 54,300 | 0.02% | 13F |
| ROMAN BUTLER FULLERTON & CO | COM | 52,903 | 0.02% | 13F |
| Multi-Financial Securities Corp | COM | 52,854 | 0.02% | 13F |
| Teamwork Financial Advisors, LLC | COM | 52,318 | 0.02% | 13F |
| Thrive Wealth Management, LLC | COM | 51,748 | 0.02% | 13F |
| Cetera Investment Advisers | COM | 50,951 | 0.01% | 13F |
| Berkeley Capital Partners, LLC | COM | 50,243 | 0.01% | 13F |
| LODESTAR PRIVATE ASSET MANAGEMENT LLC | COM | 50,000 | 0.01% | 13F |
| Caption Management, LLC (CALL) | COM | 50,000 | 0.01% | 13F |
| ProShare Advisors LLC | COM | 49,920 | 0.01% | 13F |
| Manulife Asset Management (North America) Ltd | COM | 48,717 | 0.01% | 13F |
| DARK FOREST CAPITAL MANAGEMENT LP | Stock | 48,208 | 0.01% | 13F |
| Kathmere Capital Management, LLC | COM | 47,267 | 0.01% | 13F |
| AmericaFirst Quantitative Trust - AmericaFirst Defensive Growth & Income Portfolio, Series 2 | Common Stock | 46,566 | 0.01% | 13F |
| H D Vest Advisory Services | COM | 46,225 | 0.01% | 13F |
| Pacific West Financial Consultants, Inc. | COM | 46,100 | 0.01% | 13F |
| Blue Chip Wealth Management, Inc. | COM | 45,900 | 0.01% | 13F |
| CREATIVE FINANCIAL DESIGNS INC /ADV | CEF | 45,526 | 0.01% | 13F |
| Kestra Advisory Services, LLC | COM | 44,745 | 0.01% | 13F |
| Vanguard Capital Wealth Advisors | COM | 44,488 | 0.01% | 13F |
| Next Level Private LLC | COM | 43,135 | 0.01% | 13F |
| WELLS FARGO & CO/MN | COM | 42,792 | 0.01% | 13F |
| Claro Advisors LLC | COM | 42,390 | 0.01% | 13F |
| AMERIPRISE FINANCIAL INC | COM | 42,355 | 0.01% | 13F |
| STIFEL NICOLAUS & CO INC \MO\ | Com | 42,000 | 0.01% | 13F |
| Global X Management CO LLC | COM | 41,993 | 0.01% | 13F |
| DAVIDSON D A & CO | COM | 40,031 | 0.01% | 13F |
| BESSEMER GROUP INC | SC | 40,000 | 0.01% | 13F |
| Investors Capital Advisory Services | COM | 39,785 | 0.01% | 13F |
| Biltmore Capital Advisors LLC | COM | 39,000 | 0.01% | 13F |
| Spire Wealth Management | COM | 37,739 | 0.01% | 13F |
| First Allied Securities, Inc. | COM | 37,200 | 0.01% | 13F |
| IFG Advisory, LLC | MF Closed and MF Open | 36,195 | 0.01% | 13F |
| NATIXIS | COM | 34,728 | 0.01% | 13F |
| HARBOUR INVESTMENTS, INC. | COM | 34,603 | 0.01% | 13F |
| Red Alder LLC | COM | 34,382 | 0.01% | 13F |
