Prospect Capital Corporation

Q1 2016 vs Q2 2016

Comparing institutional holders between quarters

Compare Detailed Historical Funds Options 13D/13G Peers Targeting Trading Summary Profile

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Radcliffe Capital Management, L.P.

INCREASED

Shares75,817,000 from 71,817,000

Change+4,000,000 (+6%)

Value$76.2K (+$3.8K)

Filed 2016-08-15

Commonwealth of Pennsylvania Public School Empls Retrmt SYS

INCREASED

Shares26,282,000 from 25,352,000

Change+930,000 (+4%)

Value$26.3K (+$963)

Filed 2016-08-11

Thrivent Financial for Lutherans

UNCHANGED

Shares6,750,000 from 6,750,000

Change0 (0%)

Value$6.8K (+$11)

Filed 2016-08-12

Advisors Capital Management, LLC

DECREASED

Shares6,495,000 from 6,740,000

Change-245,000 (-4%)

Value$6.5K (-$237)

Filed 2016-08-11

Royal Bank of Canada

INCREASED

Shares5,857,000 from 5,804,000

Change+53,000 (+1%)

Value$5.8K (-$3)

Filed 2016-08-24

Morgan Stanley

DECREASED

Shares5,456,000 from 5,575,000

Change-119,000 (-2%)

Value$5.5K (-$92)

Filed 2016-08-12

UBS Asset Management Americas LLC

UNCHANGED

Shares2,050,000 from 2,050,000

Change0 (0%)

Value$2.1K (-$9)

Filed 2016-11-29

Thompson Investment Management, Inc.

UNCHANGED

Shares1,340,000 from 1,340,000

Change0 (0%)

Value$1.3K (+$2)

Filed 2016-08-01

Bank of New York Mellon Corp

UNCHANGED

Shares1,300,000 from 1,300,000

Change0 (0%)

Value$1.3K (-$12)

Filed 2016-08-01

Bcwm, LLC

DECREASED

Shares956,000 from 959,000

Change-3,000 (0%)

Value$957 (-$8)

Filed 2016-08-11

Ladenburg Thalmann Financial Services Inc

DECREASED

Shares434,000 from 464,000

Change-30,000 (-6%)

Value$435 (-$29)

Filed 2016-08-15

LPL Financial LLC

DECREASED

Shares410,000 from 770,000

Change-360,000 (-47%)

Value$411 (-$363)

Filed 2016-08-15

Prospera Financial Services Inc

DECREASED

Shares240,000 from 245,000

Change-5,000 (-2%)

Value$241 (-$7)

Filed 2016-07-26

Carnegie Investment Counsel

DECREASED

Shares200,000 from 300,000

Change-100,000 (-33%)

Value$200 (-$100)

Filed 2016-08-02

JAG Capital Management, LLC

UNCHANGED

Shares200,000 from 200,000

Change0 (0%)

Value$200 ($0)

Filed 2016-07-20

M&T Bank Corp

UNCHANGED

Shares200,000 from 200,000

Change0 (0%)

Value$200 ($0)

Filed 2016-08-04

Stanley-Laman Group, Ltd.

DECREASED

Shares195,000 from 220,000

Change-25,000 (-11%)

Value$195 (-$26)

Filed 2016-08-04

Cambridge Investment Research Advisors, Inc.

DECREASED

Shares125,000 from 135,000

Change-10,000 (-7%)

Value$125 (-$10)

Filed 2016-08-04

Stifel Financial Corp

INCREASED

Shares115,144 from 115,000

Change+144 (+0%)

Value$115 ($0)

Filed 2016-08-17

Great Lakes Advisors, LLC

UNCHANGED

Shares115,000 from 115,000

Change0 (0%)

Value$115 (-$1)

Filed 2016-08-12

Investors Capital Advisory Services

UNCHANGED

Shares65,000 from 65,000

Change0 (0%)

Value$65 ($0)

Filed 2016-08-02

PNC Financial Services Group, Inc.

NEW

Shares45,000

Change+45,000

Value$4.5K

Filed 2016-08-05

Commonwealth Equity Services, Inc

UNCHANGED

Shares42,000 from 42,000

Change0 (0%)

Value$42 ($0)

Filed 2016-08-04

Bank of America Corp

UNCHANGED

Shares28,000 from 28,000

Change0 (0%)

Value$28 ($0)

Filed 2016-08-15

D.A. Davidson & Co.

UNCHANGED

Shares27,000 from 27,000

Change0 (0%)

Value$27 ($0)

Filed 2016-08-15

Flputnam Investment Management Co

UNCHANGED

Shares25,000 from 25,000

Change0 (0%)

Value$25 ($0)

Filed 2016-08-01

Thompson Siegel & Walmsley LLC

UNCHANGED

Shares20,000 from 20,000

Change0 (0%)

Value$20 ($0)

Filed 2016-08-05

Waverly Advisors, LLC

UNCHANGED

Shares18,000 from 18,000

Change0 (0%)

Value$18 ($0)

Filed 2016-07-13

Wealthsource Partners, LLC

UNCHANGED

Shares16,000 from 16,000

Change0 (0%)

Value$16 ($0)

Filed 2016-08-08

Creative Planning

UNCHANGED

Shares15,000 from 15,000

Change0 (0%)

Value$15 ($0)

Filed 2016-07-12

IFP Advisors, Inc

NEW

Shares14,000

Change+14,000

Value$14

Filed 2019-06-03

Advisor Group, Inc.

NEW

Shares23

Change+23

Value$23

Filed 2016-08-12

Pine River Capital Management L.P.

CLOSED

Shares0 from 1,092,000

Change-1,092,000 (-100%)

Value$0 (-$1.1K)

Filed 2017-08-14

UBS Group AG

CLOSED

Shares0 from 25,000

Change-25,000 (-100%)

Value$0 (-$25)

Filed 2016-08-12

American International Group, Inc.

CLOSED

Shares0 from 23

Change-23 (-100%)

Value$0 (-$23.0K)

Filed 2016-08-11

	Status
Radcliffe Capital Management, L.P.	INCREASED	75,817,000	71,817,000	+4,000,000	+6%	$72.3K	$76.2K	+$3.8K	2016-08-15
Commonwealth of Pennsylvania Public School Empls Retrmt SYS	INCREASED	26,282,000	25,352,000	+930,000	+4%	$25.4K	$26.3K	+$963	2016-08-11
Thrivent Financial for Lutherans	UNCHANGED	6,750,000	6,750,000	0	0%	$6.8K	$6.8K	+$11	2016-08-12
Advisors Capital Management, LLC	DECREASED	6,495,000	6,740,000	-245,000	-4%	$6.7K	$6.5K	-$237	2016-08-11
Royal Bank of Canada	INCREASED	5,857,000	5,804,000	+53,000	+1%	$5.8K	$5.8K	-$3	2016-08-24
Morgan Stanley	DECREASED	5,456,000	5,575,000	-119,000	-2%	$5.6K	$5.5K	-$92	2016-08-12
UBS Asset Management Americas LLC	UNCHANGED	2,050,000	2,050,000	0	0%	$2.1K	$2.1K	-$9	2016-11-29
Thompson Investment Management, Inc.	UNCHANGED	1,340,000	1,340,000	0	0%	$1.3K	$1.3K	+$2	2016-08-01
Bank of New York Mellon Corp	UNCHANGED	1,300,000	1,300,000	0	0%	$1.3K	$1.3K	-$12	2016-08-01
Bcwm, LLC	DECREASED	956,000	959,000	-3,000	0%	$965	$957	-$8	2016-08-11
Ladenburg Thalmann Financial Services Inc	DECREASED	434,000	464,000	-30,000	-6%	$464	$435	-$29	2016-08-15
LPL Financial LLC	DECREASED	410,000	770,000	-360,000	-47%	$774	$411	-$363	2016-08-15
Prospera Financial Services Inc	DECREASED	240,000	245,000	-5,000	-2%	$248	$241	-$7	2016-07-26
Carnegie Investment Counsel	DECREASED	200,000	300,000	-100,000	-33%	$300	$200	-$100	2016-08-02
JAG Capital Management, LLC	UNCHANGED	200,000	200,000	0	0%	$200	$200	$0	2016-07-20
M&T Bank Corp	UNCHANGED	200,000	200,000	0	0%	$200	$200	$0	2016-08-04
Stanley-Laman Group, Ltd.	DECREASED	195,000	220,000	-25,000	-11%	$221	$195	-$26	2016-08-04
Cambridge Investment Research Advisors, Inc.	DECREASED	125,000	135,000	-10,000	-7%	$135	$125	-$10	2016-08-04
Stifel Financial Corp	INCREASED	115,144	115,000	+144	+0%	$115	$115	$0	2016-08-17
Great Lakes Advisors, LLC	UNCHANGED	115,000	115,000	0	0%	$116	$115	-$1	2016-08-12
Investors Capital Advisory Services	UNCHANGED	65,000	65,000	0	0%	$65	$65	$0	2016-08-02
PNC Financial Services Group, Inc.	NEW	45,000	—	+45,000	—	—	$4.5K	—	2016-08-05
Commonwealth Equity Services, Inc	UNCHANGED	42,000	42,000	0	0%	$42	$42	$0	2016-08-04
Bank of America Corp	UNCHANGED	28,000	28,000	0	0%	$28	$28	$0	2016-08-15
D.A. Davidson & Co.	UNCHANGED	27,000	27,000	0	0%	$27	$27	$0	2016-08-15
Flputnam Investment Management Co	UNCHANGED	25,000	25,000	0	0%	$25	$25	$0	2016-08-01
Thompson Siegel & Walmsley LLC	UNCHANGED	20,000	20,000	0	0%	$20	$20	$0	2016-08-05
Waverly Advisors, LLC	UNCHANGED	18,000	18,000	0	0%	$18	$18	$0	2016-07-13
Wealthsource Partners, LLC	UNCHANGED	16,000	16,000	0	0%	$16	$16	$0	2016-08-08
Creative Planning	UNCHANGED	15,000	15,000	0	0%	$15	$15	$0	2016-07-12
IFP Advisors, Inc	NEW	14,000	—	+14,000	—	—	$14	—	2019-06-03
Advisor Group, Inc.	NEW	23	—	+23	—	—	$23	—	2016-08-12
Pine River Capital Management L.P.	CLOSED	0	1,092,000	-1,092,000	-100%	$1.1K	$0	-$1.1K	2017-08-14
UBS Group AG	CLOSED	0	25,000	-25,000	-100%	$25	$0	-$25	2016-08-12
American International Group, Inc.	CLOSED	0	23	-23	-100%	$23.0K	$0	-$23.0K	2016-08-11

Showing 35 of 35 institutions