Vault-13

BLACKROCK TCP CAPITAL CORP TCPC

COM · Common Stock · CUSIP 09259E108

118 institutional holders +6 vs Q2 2023
12,775,46912.8m shares reported held*
22.1% of all shares outstanding*
$149.9mreported value*
18 new 47 added 26 reduced 13 sold out net sold ≈ $6.9m (-601.4k shares)

* Summed across managers. Shares that two managers' reports both contain – a subsidiary's holdings that its parent's report includes too, or a sub-adviser's in its client's – are counted once. Holder counts are more reliable. Shares outstanding: 57.8m as of 2023-11-02, from the company's own SEC filing; the percentage can still exceed 100%: lent-out shares are counted by the lender and the buyer, and some reports overlap without saying so. Implied quarter-end price ≈ $11.73. Options: 4 managers hold calls ($988.5k notional), 4 hold puts ($219.1k).

Trends to Q3 2023

Institutional holders

Managers reporting a position, each quarter

050100150Q3 22: 125Q4 22: 126Q1 23: 117Q2 23: 112Q3 23: 118118Q3 22Q4 22Q1 23Q2 23Q3 23
Numbers
QuarterHolders
Q3 2022125
Q4 2022126
Q1 2023117
Q2 2023112
Q3 2023118

Buyers vs sellers

Managers adding to or starting a position, vs cutting or selling out

Bought or addedCut or sold out
1000100Q4 22: 67 bought or addedQ4 22: 54 cut or sold outQ4 22Q1 23: 54 bought or addedQ1 23: 54 cut or sold outQ1 23Q2 23: 48 bought or addedQ2 23: 60 cut or sold outQ2 23Q3 23: 65 bought or addedQ3 23: 39 cut or sold outQ3 23
Numbers
QuarterBought or addedCut or sold out
Q4 20226754
Q1 20235454
Q2 20234860
Q3 20236539

Calls vs puts

Options held, notional value, last 4 quarters. P/C = puts ÷ calls

CallsPuts
$0$10m$20m$30mQ4 22 calls: $712.7kQ4 22 puts: $39.3kQ4 22P/C 0.06Q1 23 calls: $507.8kQ1 23 puts: $212.6kQ1 23P/C 0.42Q2 23 calls: $260.4kQ2 23 puts: $21.4mQ2 23P/C 82.02Q3 23 calls: $988.5kQ3 23 puts: $219.1kQ3 23P/C 0.22
Numbers
QuarterCallsPutsP/C
Q4 2022$712.7k$39.3k0.06
Q1 2023$507.8k$212.6k0.42
Q2 2023$260.4k$21.4m82.02
Q3 2023$988.5k$219.1k0.22

Biggest buyers

TWO SIGMA INVESTMENTS, LP Added +150,121+150.1k
CITADEL ADVISORS LLC New +140,778+140.8k
TWO SIGMA ADVISERS, LP Added +132,600+132.6k
Ignite Planners, LLC New +82,603+82.6k
Connor, Clark & Lunn Investment Management Ltd. New +70,536+70.5k
Campbell & CO Investment Adviser LLC Added +69,421+69.4k
VAN ECK ASSOCIATES CORP Added +59,596+59.6k
MARSHALL WACE, LLP New +58,873+58.9k
BI Asset Management Fondsmaeglerselskab A/S Added +54,064+54.1k
TUDOR INVESTMENT CORP ET AL New +50,106+50.1k

Biggest sellers

BARINGS LLC Reduced -1,163,734-1.2m
Privium Fund Management (UK) Ltd Sold out -113,740-113.7k
CREDIT SUISSE AG/ Sold out -113,740-113.7k
Trexquant Investment LP Reduced -86,675-86.7k
ACADIAN ASSET MANAGEMENT LLC Sold out -73,836-73.8k
MILLENNIUM MANAGEMENT LLC Reduced -71,770-71.8k
SG Americas Securities, LLC Sold out -58,500-58.5k
MACKENZIE FINANCIAL CORP Sold out -46,432-46.4k
HRT FINANCIAL LP Sold out -32,802-32.8k
UBS Group AG Reduced -29,043-29.0k

Biggest calls

SUSQUEHANNA INTERNATIONAL GROUP, LLP New $845.3k72.0k shares
CITADEL ADVISORS LLC Reduced $142.1k12.1k shares
GROUP ONE TRADING LLC Reduced $1.2k100 shares
CONCOURSE FINANCIAL GROUP SECURITIES, INC. Unchanged $00 shares

Biggest puts

SUSQUEHANNA INTERNATIONAL GROUP, LLP New $144.4k12.3k shares
CITADEL ADVISORS LLC Reduced $51.7k4.4k shares
SIMPLEX TRADING, LLC Reduced $23.0k2.0k shares
CONCOURSE FINANCIAL GROUP SECURITIES, INC. Unchanged $00 shares

Options at notional value: the value of the shares the contracts control, as filers report them, not what the options cost. Not included in the holders, shares or buying above.

Insider purchases and sales in Q3 2023

Shares bought or sold by the company's own officers, directors and 10% owners, in the open market or privately, as they reported to the SEC on Form 4 (due within two business days of the trade). Grants, option exercises, shares withheld for tax and gifts aren't included.

Officers and directors buying vs selling

Number of people, by quarter (10% owners not included)

BuyingSelling
404Q4 21: 4 buyingQ4 21: 0 sellingQ1 22: 0 buyingQ1 22: 0 sellingQ1 22Q2 22: 0 buyingQ2 22: 0 sellingQ3 22: 0 buyingQ3 22: 0 sellingQ3 22Q4 22: 0 buyingQ4 22: 0 sellingQ1 23: 0 buyingQ1 23: 0 sellingQ1 23Q2 23: 0 buyingQ2 23: 0 sellingQ3 23: 0 buyingQ3 23: 0 sellingQ3 23
Numbers
QuarterBuyingBoughtSellingSoldSold under a plan
Q4 20214$138.1k0——
Q1 20220—0——
Q2 20220—0——
Q3 20220—0——
Q4 20220—0——
Q1 20230—0——
Q2 20230—0——
Q3 20230—0——

None reported in Q3 2023.

Holders, Q3 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 VAN ECK ASSOCIATES CORP 0.02% of their portfolio NEW YORK, NY 957,629957.6k $11.2m $11.2m 0.02% Added +59.6k +59,596
2 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 760,208760.2k $8.9m $8.9m 0.00% Reduced -17.9k -17,939
3 MILLENNIUM MANAGEMENT LLC 0.01% of their portfolio NEW YORK, NY 743,799743.8k $8.7m $8.7m 0.01% Reduced -71.8k -71,770
4 Cliffwater LLC 2.65% of their portfolio MARINA DEL REY, CA 688,576688.6k $8.1m $8.1m 2.65% Unchanged
5 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 548,860548.9k $6.4m $6.4m 0.00% Added +31.5k +31,460
6 TWO SIGMA INVESTMENTS, LP 0.02% of their portfolio NEW YORK, NY 489,751489.8k $5.7m $5.7m 0.02% Added +150.1k +150,121
7 TWO SIGMA ADVISERS, LP 0.01% of their portfolio NEW YORK, NY 468,347468.3k $5.5m $5.5m 0.01% Added +132.6k +132,600
8 BARINGS LLC 0.18% of their portfolio CHARLOTTE, NC 439,638439.6k $5.2m $5.2m 0.18% Reduced -1.2m -1,163,734
9 Legal & General Group Plc 0.00% of their portfolio London, X0 415,751415.8k $4.9m $4.9m 0.00% Reduced -8.7k -8,670
10 FORT WASHINGTON INVESTMENT ADVISORS INC /OH/ 0.04% of their portfolio Cincinnati, OH 410,356410.4k $4.8m $4.8m 0.04% Unchanged
11 CONFLUENCE INVESTMENT MANAGEMENT LLC 0.07% of their portfolio ST. LOUIS, MO 395,224395.2k $4.6m $4.6m 0.07% Added +291 +291
12 D.A. DAVIDSON & CO. 0.04% of their portfolio GREAT FALLS, MT 346,864346.9k $4.1m $4.1m 0.04% Added +12.7k +12,738
13 Hennion & Walsh Asset Management, Inc. 0.23% of their portfolio Parsippany, NJ 312,472312.5k $3.7m $3.7m 0.23% Added +14.1k +14,066
14 BlackRock Inc. 0.00% of their portfolio New York, NY 309,967310.0k $3.6m $3.6m 0.00% Added +7.8k +7,788
15 LSV ASSET MANAGEMENT 0.01% of their portfolio CHICAGO, IL 278,300278.3k $3.3m $3.3m 0.01% Unchanged
16 Advisors Asset Management, Inc. 0.07% of their portfolio Monument, CO 259,543259.5k $3.0m $3.0m 0.07% Added +17.2k +17,215
17 RAYMOND JAMES & ASSOCIATES 0.00% of their portfolio ST PETERSBURG, FL 240,651240.7k $2.8m $2.8m 0.00% Reduced -20.9k -20,875
18 UBS Group AG 0.00% of their portfolio ZURICH, V8 236,222236.2k $2.8m $2.8m 0.00% Reduced -29.0k -29,043
19 Muzinich & Co., Inc. 2.09% of their portfolio NEW YORK, NY 202,790202.8k $2.4m $2.4m 2.09% Reduced -26.8k -26,810
20 LPL Financial LLC 0.00% of their portfolio FORT MILL, SC 202,283202.3k $2.4m $2.4m 0.00% Added +27.0k +27,041
21 Sumitomo Mitsui Trust Group, Inc. 0.00% of their portfolio CHIYODA-KU, TOKYO, M0 191,272191.3k $2.2m $2.2m 0.00% Reduced -23.2k -23,159
22 OPPENHEIMER & CO INC 0.05% of their portfolio NEW YORK, NY 188,344188.3k $2.2m $2.2m 0.05% Added +18.8k +18,780
23 CAPTRUST FINANCIAL ADVISORS 0.01% of their portfolio RALEIGH, NC 177,936177.9k $2.1m $2.1m 0.01% Reduced -712 -712
24 Richard P Slaughter Associates Inc 0.52% of their portfolio AUSTIN, TX 164,335164.3k $1.9m $1.9m 0.52% Reduced -28.3k -28,346
25 Raymond James Financial Services Advisors, Inc. 0.00% of their portfolio ST. PETERSBURG, FL 161,286161.3k $1.9m $1.9m 0.00% Added +4.5k +4,518
26 CITADEL ADVISORS LLC 0.00% of their portfolio MIAMI, FL 140,778140.8k $1.7m $1.7m 0.00% New
27 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 129,455129.5k $1.5m $1.5m 0.00% Added +6.3k +6,291
28 Cerity Partners LLC 0.01% of their portfolio NEW YORK, NY 110,125110.1k $1.3m $1.3m 0.01% Reduced -1.1k -1,150
29 Campbell & CO Investment Adviser LLC 0.15% of their portfolio BALTIMORE, MD 107,177107.2k $1.3m $1.3m 0.15% Added +69.4k +69,421
30 MCKINLEY CAPITAL MANAGEMENT LLC 0.18% of their portfolio ANCHORAGE, AK 107,023107.0k $1.3m $1.3m 0.18% Reduced -6.1k -6,149
31 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 100,870100.9k $1.2m $1.2m 0.00% Added +8.0k +7,972
32 Janney Montgomery Scott LLC 0.00% of their portfolio PHILADELPHIA, PA 100,236100.2k $1.2m $1.2m 0.00% Added +17.4k +17,355
33 Arkadios Wealth Advisors 0.11% of their portfolio ATLANTA, GA 99,40699.4k $1.2m $1.2m 0.11% Added +1.6k +1,556
34 BI Asset Management Fondsmaeglerselskab A/S 0.03% of their portfolio KOBENHAVN, G7 98,82698.8k $1.2m $1.2m 0.03% Added +54.1k +54,064
35 Alberta Investment Management Corp 0.01% of their portfolio EDMONTON, A0 95,00095.0k $1.1m $1.1m 0.01% Unchanged
36 NEUBERGER BERMAN GROUP LLC 0.00% of their portfolio NEW YORK, NY 94,73694.7k $1.1m $1.1m 0.00% Added +4.2k +4,207
37 Rockefeller Capital Management L.P. 0.00% of their portfolio NEW YORK, NY 92,93092.9k $1.1m $1.1m 0.00% Added +1.7k +1,664
38 STIFEL FINANCIAL CORP 0.00% of their portfolio ST. LOUIS, MO 90,60690.6k $1.1m $1.1m 0.00% Added +6.7k +6,663
39 OSAIC HOLDINGS, INC. 0.00% of their portfolio SCOTTSDALE, AZ 88,78188.8k $1.0m $1.0m 0.00% Added +22.9k +22,942
40 Ignite Planners, LLC 0.28% of their portfolio SAN CLEMENTE, CA 82,60382.6k $901.2k $901.2k 0.28% New
41 Next Capital Management LLC 0.38% of their portfolio NEW YORK, NY 70,61270.6k $829.0k $829.0k 0.38% Unchanged
42 Connor, Clark & Lunn Investment Management Ltd. 0.00% of their portfolio VANCOUVER, A1 70,53670.5k $828.1k $828.1k 0.00% New
43 M Holdings Securities, Inc. 0.10% of their portfolio PORTLAND, OR 67,36267.4k $791.0k $791.0k 0.10% Added +37.4k +37,385
44 Trexquant Investment LP 0.02% of their portfolio STAMFORD, CT 62,05962.1k $728.6k $728.6k 0.02% Reduced -86.7k -86,675
45 MARSHALL WACE, LLP 0.00% of their portfolio LONDON, X0 58,87358.9k $691.2k $691.2k 0.00% New
46 CANADA LIFE ASSURANCE Co 0.00% of their portfolio WINNIPEG, A2 56,91456.9k $669.0k $669.0k 0.00% Added +2.4k +2,408
47 AE Wealth Management LLC 0.00% of their portfolio TOPEKA, KS 56,68556.7k $665.5k $665.5k 0.00% Added +5.9k +5,853
48 VIRTUS ADVISERS, LLC 0.39% of their portfolio HARTFORD, CT 54,89354.9k $644.4k $644.4k 0.39% Added +19.0k +18,960
49 D. E. Shaw & Co., Inc. 0.00% of their portfolio New York, NY 54,60354.6k $641.0k $641.0k 0.00% Added +41.0k +40,969
50 NATIONS FINANCIAL GROUP INC, /IA/ /ADV 0.06% of their portfolio CEDAR RAPIDS, IA 52,95353.0k $621.7k $621.7k 0.06% Reduced -2.1k -2,076
51 ADVISORY RESEARCH INC 0.08% of their portfolio CHICAGO, IL 51,89151.9k $609.2k $609.2k 0.08% Reduced -5.4k -5,373
52 TUDOR INVESTMENT CORP ET AL 0.01% of their portfolio STAMFORD, CT 50,10650.1k $588.2k $588.2k 0.01% New
53 Global Wealth Management Investment Advisory, Inc. 0.15% of their portfolio FORT LAUDERDALE, FL 45,70645.7k $536.6k $536.6k 0.15% Added +3.9k +3,889
54 Virtu Financial LLC 0.05% of their portfolio New York, NY 43,85243.9k $515.0k $515.0k 0.05% New
55 HighTower Advisors, LLC 0.00% of their portfolio CHICAGO, IL 36,54036.5k $429.0k $429.0k 0.00% Added +2.2k +2,152
56 PNC Financial Services Group, Inc. 0.00% of their portfolio Pittsburgh, PA 36,21836.2k $425.2k $425.2k 0.00% Added +34.2k +34,218
57 INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC 0.06% of their portfolio ORLANDO, FL 35,70035.7k $419.8k $419.8k 0.06% Unchanged
58 Cetera Advisor Networks LLC 0.00% of their portfolio EL SEGUNDO, CA 34,27734.3k $402.4k $402.4k 0.00% Reduced -2.0k -2,025
59 Allen Investment Management, LLC 0.01% of their portfolio NEW YORK, NY 34,24834.2k $402.1k $402.1k 0.01% Unchanged
60 SeaCrest Wealth Management, LLC 0.05% of their portfolio PURCHASE, NY 32,90032.9k $386.2k $386.2k 0.05% Reduced -4.8k -4,750
61 Cambridge Investment Research Advisors, Inc. 0.00% of their portfolio FAIRFIELD, IA 31,99632.0k $376.0k $376.0k 0.00% Added +1.1k +1,118
62 WINTON GROUP Ltd 0.03% of their portfolio LONDON, X0 30,96331.0k $363.5k $363.5k 0.03% New
63 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 29,89029.9k $350.9k $350.9k 0.00% Added +1.6k +1,606
64 Corient Private Wealth LP 0.00% of their portfolio MIAMI, FL 28,78728.8k $338.0k $338.0k 0.00% Reduced -2.8k -2,787
65 Mariner, LLC 0.00% of their portfolio Overland Park, KS 28,43228.4k $333.8k $333.8k 0.00% Added +511 +511
66 INDEPENDENT FINANCIAL GROUP, LLC 0.02% of their portfolio SAN DIEGO, CA 24,03224.0k $282.1k $282.1k 0.02% Unchanged
67 Qube Research & Technologies Ltd 0.00% of their portfolio LONDON, X0 23,39323.4k $274.6k $274.6k 0.00% Added +8.9k +8,887
68 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.00% of their portfolio BALA CYNWYD, PA 22,25922.3k $261.3k $261.3k 0.00% New
69 NORTHERN TRUST CORP 0.00% of their portfolio CHICAGO, IL 21,81721.8k $256.1k $256.1k 0.00% Added +2.6k +2,587
70 CAXTON ASSOCIATES LP 0.03% of their portfolio NEW YORK, NY 20,75320.8k $243.6k $243.6k 0.03% Added +5.9k +5,869
71 Schonfeld Strategic Advisors LLC 0.00% of their portfolio NEW YORK, NY 20,30020.3k $238.3k $238.3k 0.00% New
72 NATIXIS 0.00% of their portfolio PARIS, I0 19,42419.4k $231.5k $231.5k 0.00% Unchanged
73 AMERIPRISE FINANCIAL INC 0.00% of their portfolio MINNEAPOLIS, MN 18,19318.2k $213.6k $213.6k 0.00% Reduced -3.3k -3,269
74 Centiva Capital, LP 0.01% of their portfolio New York, NY 16,82816.8k $197.6k $197.6k 0.01% New
75 Quantbot Technologies LP 0.01% of their portfolio NEW YORK, NY 16,19716.2k $190.2k $190.2k 0.01% Added +12.2k +12,247
76 COMMONWEALTH EQUITY SERVICES, LLC 0.00% of their portfolio WALTHAM, MA 15,97416.0k $188.0k $188.0k 0.00% Reduced -12.0k -12,041
77 Atria Wealth Solutions, Inc. 0.00% of their portfolio NEW YORK, NY 15,05915.1k $176.8k $176.8k 0.00% Added +534 +534
78 Bartlett & Co. LLC 0.00% of their portfolio CINCINNATI, OH 15,00015.0k $176.0k $176.0k 0.00% Unchanged
79 BARTLETT & CO. WEALTH MANAGEMENT LLC 0.00% of their portfolio CINCINNATI, OH 15,00015.0k $176.1k $176.1k 0.00% Unchanged
80 GOLDMAN SACHS GROUP INC 0.00% of their portfolio NEW YORK, NY 14,27714.3k $167.6k $167.6k 0.00% New
81 Sunbelt Securities, Inc. 0.02% of their portfolio HOUSTON, TX 14,18114.2k $166.5k $166.5k 0.02% Added +24 +24
82 FINANCIAL COUNSELORS INC 0.00% of their portfolio Overland Park, KS 12,50012.5k $146.8k $146.8k 0.00% Unchanged
83 Valeo Financial Advisors, LLC 0.01% of their portfolio CARMEL, IN 12,30012.3k $144.4k $144.4k 0.01% Unchanged
84 Y-Intercept (Hong Kong) Ltd 0.01% of their portfolio HONG KONG, K3 12,11412.1k $142.2k $142.2k 0.01% New
85 HARBOUR INVESTMENTS, INC. 0.01% of their portfolio MADISON, WI 12,10512.1k $142.1k $142.1k 0.01% Added +1.8k +1,780
86 Steward Partners Investment Advisory, LLC 0.00% of their portfolio STAMFORD, CT 12,09412.1k $142.0k $142.0k 0.00% Added +908 +908
87 Bogart Wealth, LLC 0.01% of their portfolio MCLEAN, VA 11,81211.8k $138.7k $138.7k 0.01% Unchanged
88 Thrivent Financial for Lutherans 0.00% of their portfolio Minneapolis, MN 11,67511.7k $137.0k $137.0k 0.00% Reduced -11.7k -11,675
89 Spire Wealth Management 0.00% of their portfolio MCLEAN, VA 11,12111.1k $130.6k $130.6k 0.00% Added +96 +96
90 JANE STREET GROUP, LLC 0.00% of their portfolio NEW YORK, NY 10,99111.0k $129.0k $129.0k 0.00% New
91 AXXCESS WEALTH MANAGEMENT, LLC 0.00% of their portfolio CARLSBAD, CA 10,40010.4k $122.1k $122.1k 0.00% New
92 NISA INVESTMENT ADVISORS, LLC 0.00% of their portfolio ST. LOUIS, MO 10,30010.3k $120.9k $120.9k 0.00% New
93 TWO SIGMA SECURITIES, LLC 0.01% of their portfolio NEW YORK, NY 10,19110.2k $119.6k $119.6k 0.01% New
94 Quadrature Capital Ltd 0.00% of their portfolio LONDON, X0 10,15410.2k $119.3k $119.3k 0.00% Reduced -20.5k -20,522
95 COMERICA BANK 0.00% of their portfolio DALLAS, TX 10,14010.1k $119.0k $119.0k 0.00% Reduced -12.8k -12,752
96 SIGNATUREFD, LLC 0.00% of their portfolio ATLANTA, GA 7,7907.8k $91.5k $91.5k 0.00% Added +790 +790
97 Aquatic Capital Management LLC 0.00% of their portfolio CHICAGO, IL 6,8006.8k $80.0k $80.0k 0.00% Added +2.8k +2,800
98 OPTIMUM INVESTMENT ADVISORS 0.03% of their portfolio Chicago, IL 5,0005.0k $58.7k $58.7k 0.03% Added +4.0k +4,000
99 Bramshill Investments, LLC 0.00% of their portfolio NAPLES, FL 3,3233.3k $36.3k $36.3k 0.00% Unchanged
100 SIMPLEX TRADING, LLC 0.00% of their portfolio CHICAGO, IL 2,6052.6k $30.0k $30.0k 0.00% Added +2.0k +2,002