Prospect Capital Corporation

Q2 2017 vs Q3 2017

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.

UNCHANGED

Shares4,949,000 from 4,949,000

Change0 (0%)

Value$5.0K (-$36)

Filed 2017-11-14

Pinnacle Holdings, LLC

DECREASED

Shares2,159,000 from 2,179,000

Change-20,000 (-1%)

Value$2.2M (-$31.7K)

Filed 2017-11-13

Morgan Stanley

INCREASED

Shares1,461,000 from 1,447,000

Change+14,000 (+1%)

Value$1.5K (+$7)

Filed 2017-11-14

Thrivent Financial for Lutherans

NEW

Shares1,164,000

Change+1,164,000

Value$1.2K

Filed 2017-11-14

Commonwealth Equity Services, Inc

UNCHANGED

Shares858,000 from 858,000

Change0 (0%)

Value$858 (-$6)

Filed 2018-02-16

Commonwealth of Pennsylvania Public School Empls Retrmt SYS

UNCHANGED

Shares820,000 from 820,000

Change0 (0%)

Value$820 (-$6)

Filed 2017-11-09

Calamos Advisors LLC

UNCHANGED

Shares722,000 from 722,000

Change0 (0%)

Value$726 (-$5)

Filed 2017-10-25

LPL Financial LLC

UNCHANGED

Shares375,000 from 375,000

Change0 (0%)

Value$376 (-$2)

Filed 2017-11-14

Barclays PLC

NEW

Shares250,000

Change+250,000

Value$250

Filed 2017-11-14

Mariner, LLC

UNCHANGED

Shares240,000 from 240,000

Change0 (0%)

Value$241 (-$1)

Filed 2017-11-14

Ladenburg Thalmann Financial Services Inc

UNCHANGED

Shares221,000 from 221,000

Change0 (0%)

Value$221 (-$2)

Filed 2017-11-15

SSI Investment Management LLC

UNCHANGED

Shares118,000 from 118,000

Change0 (0%)

Value$118 (-$1)

Filed 2017-11-14

Wealthsource Partners, LLC

UNCHANGED

Shares100,000 from 100,000

Change0 (0%)

Value$100 (-$1)

Filed 2017-11-20

Royal Bank of Canada

UNCHANGED

Shares74,000 from 74,000

Change0 (0%)

Value$74 ($0)

Filed 2017-11-14

Stifel Financial Corp

DECREASED

Shares65,000 from 70,527

Change-5,527 (-8%)

Value$65 (-$5)

Filed 2017-11-13

Bank of America Corp

INCREASED

Shares45,000 from 10,000

Change+35,000 (+350%)

Value$45 (+$35)

Filed 2017-11-14

D.A. Davidson & Co.

UNCHANGED

Shares45,000 from 45,000

Change0 (0%)

Value$4.5K (+$4.5K)

Filed 2017-11-08

Private Advisor Group, LLC

UNCHANGED

Shares40,000 from 40,000

Change0 (0%)

Value$40 ($0)

Filed 2017-11-13

WealthPLAN Partners, LLC

INCREASED

Shares30,000 from 20,000

Change+10,000 (+50%)

Value$30 (+$10)

Filed 2017-11-14

United Capital Financial Advisors, LLC

NEW

Shares25,000

Change+25,000

Value$25

Filed 2017-11-14

Cetera Advisors LLC

UNCHANGED

Shares22,000 from 22,000

Change0 (0%)

Value$22 ($0)

Filed 2017-11-16

UBS Group AG

UNCHANGED

Shares20,000 from 20,000

Change0 (0%)

Value$20 ($0)

Filed 2017-11-14

Raymond James Financial Services Advisors, Inc.

UNCHANGED

Shares16,000 from 16,000

Change0 (0%)

Value$16 ($0)

Filed 2017-10-26

Cambridge Investment Research Advisors, Inc.

UNCHANGED

Shares16,000 from 16,000

Change0 (0%)

Value$16 ($0)

Filed 2017-11-07

Independent Advisor Alliance

NEW

Shares13,000

Change+13,000

Value$13

Filed 2017-11-15

Citigroup Inc

NEW

Shares13,000

Change+13,000

Value$13

Filed 2017-11-13

BB&T Securities, LLC

UNCHANGED

Shares12,000 from 12,000

Change0 (0%)

Value$12 ($0)

Filed 2017-11-13

Wells Fargo & Company

DECREASED

Shares11,000 from 171,000

Change-160,000 (-94%)

Value$11 (-$161)

Filed 2017-11-09

Cetera Investment Advisers

UNCHANGED

Shares10,000 from 10,000

Change0 (0%)

Value$10 ($0)

Filed 2017-11-16

Lincoln National Corp

UNCHANGED

Shares10,000 from 10,000

Change0 (0%)

Value$10 ($0)

Filed 2017-10-31

IHT Wealth Management, LLC

NEW

Shares5,000

Change+5,000

Value$5

Filed 2017-11-14

Benjamin F. Edwards & Company, Inc.

UNCHANGED

Shares5,000 from 5,000

Change0 (0%)

Value$5 ($0)

Filed 2017-10-24

Advisor Group, Inc.

UNCHANGED

Shares5 from 5

Change0 (0%)

Value$5 ($0)

Filed 2017-11-06

Catalyst Capital Advisors LLC

CLOSED

Shares0 from 1,417,000

Change-1,417,000 (-100%)

Value$0 (-$1.4K)

Filed 2017-11-08

Goldman Sachs Group Inc

CLOSED

Shares0 from 1,164,000

Change-1,164,000 (-100%)

Value$0 (-$1.2K)

Filed 2017-11-14

V Wealth Management,LLC

CLOSED

Shares0 from 24,000

Change-24,000 (-100%)

Value$0 (-$24)

Filed 2017-10-12

Sowell Financial Services LLC

CLOSED

Shares0 from 11,000

Change-11,000 (-100%)

Value$0 (-$11)

Filed 2017-11-07

Kissinger Financial Services LLC

N/A

Shares— from 238,000

Change-238,000 (-100%)

Value—

	Status
Radcliffe Capital Management, L.P.	UNCHANGED	4,949,000	4,949,000	0	0%	$5.0K	$5.0K	-$36	2017-11-14
Pinnacle Holdings, LLC	DECREASED	2,159,000	2,179,000	-20,000	-1%	$2.2M	$2.2M	-$31.7K	2017-11-13
Morgan Stanley	INCREASED	1,461,000	1,447,000	+14,000	+1%	$1.5K	$1.5K	+$7	2017-11-14
Thrivent Financial for Lutherans	NEW	1,164,000	—	+1,164,000	—	—	$1.2K	—	2017-11-14
Commonwealth Equity Services, Inc	UNCHANGED	858,000	858,000	0	0%	$864	$858	-$6	2018-02-16
Commonwealth of Pennsylvania Public School Empls Retrmt SYS	UNCHANGED	820,000	820,000	0	0%	$826	$820	-$6	2017-11-09
Calamos Advisors LLC	UNCHANGED	722,000	722,000	0	0%	$731	$726	-$5	2017-10-25
LPL Financial LLC	UNCHANGED	375,000	375,000	0	0%	$378	$376	-$2	2017-11-14
Barclays PLC	NEW	250,000	—	+250,000	—	—	$250	—	2017-11-14
Mariner, LLC	UNCHANGED	240,000	240,000	0	0%	$242	$241	-$1	2017-11-14
Ladenburg Thalmann Financial Services Inc	UNCHANGED	221,000	221,000	0	0%	$223	$221	-$2	2017-11-15
SSI Investment Management LLC	UNCHANGED	118,000	118,000	0	0%	$119	$118	-$1	2017-11-14
Wealthsource Partners, LLC	UNCHANGED	100,000	100,000	0	0%	$101	$100	-$1	2017-11-20
Royal Bank of Canada	UNCHANGED	74,000	74,000	0	0%	$74	$74	$0	2017-11-14
Stifel Financial Corp	DECREASED	65,000	70,527	-5,527	-8%	$70	$65	-$5	2017-11-13
Bank of America Corp	INCREASED	45,000	10,000	+35,000	+350%	$10	$45	+$35	2017-11-14
D.A. Davidson & Co.	UNCHANGED	45,000	45,000	0	0%	$45	$4.5K	+$4.5K	2017-11-08
Private Advisor Group, LLC	UNCHANGED	40,000	40,000	0	0%	$40	$40	$0	2017-11-13
WealthPLAN Partners, LLC	INCREASED	30,000	20,000	+10,000	+50%	$20	$30	+$10	2017-11-14
United Capital Financial Advisors, LLC	NEW	25,000	—	+25,000	—	—	$25	—	2017-11-14
Cetera Advisors LLC	UNCHANGED	22,000	22,000	0	0%	$22	$22	$0	2017-11-16
UBS Group AG	UNCHANGED	20,000	20,000	0	0%	$20	$20	$0	2017-11-14
Raymond James Financial Services Advisors, Inc.	UNCHANGED	16,000	16,000	0	0%	$16	$16	$0	2017-10-26
Cambridge Investment Research Advisors, Inc.	UNCHANGED	16,000	16,000	0	0%	$16	$16	$0	2017-11-07
Independent Advisor Alliance	NEW	13,000	—	+13,000	—	—	$13	—	2017-11-15
Citigroup Inc	NEW	13,000	—	+13,000	—	—	$13	—	2017-11-13
BB&T Securities, LLC	UNCHANGED	12,000	12,000	0	0%	$12	$12	$0	2017-11-13
Wells Fargo & Company	DECREASED	11,000	171,000	-160,000	-94%	$172	$11	-$161	2017-11-09
Cetera Investment Advisers	UNCHANGED	10,000	10,000	0	0%	$10	$10	$0	2017-11-16
Lincoln National Corp	UNCHANGED	10,000	10,000	0	0%	$10	$10	$0	2017-10-31
IHT Wealth Management, LLC	NEW	5,000	—	+5,000	—	—	$5	—	2017-11-14
Benjamin F. Edwards & Company, Inc.	UNCHANGED	5,000	5,000	0	0%	$5	$5	$0	2017-10-24
Advisor Group, Inc.	UNCHANGED	5	5	0	0%	$5	$5	$0	2017-11-06
Catalyst Capital Advisors LLC	CLOSED	0	1,417,000	-1,417,000	-100%	$1.4K	$0	-$1.4K	2017-11-08
Goldman Sachs Group Inc	CLOSED	0	1,164,000	-1,164,000	-100%	$1.2K	$0	-$1.2K	2017-11-14
V Wealth Management,LLC	CLOSED	0	24,000	-24,000	-100%	$24	$0	-$24	2017-10-12
Sowell Financial Services LLC	CLOSED	0	11,000	-11,000	-100%	$11	$0	-$11	2017-11-07
Kissinger Financial Services LLC	N/A	—	238,000	-238,000	-100%	$239	—	—	—

Showing 38 of 38 institutions