PROSPECT CAP CORP PSEC 6.375 03.01.25
NOTE 6.375% 3/0 · US DOMESTIC · CUSIP 74348TAT9
71
institutional holders
-1 vs Q3 2022
20.0m
shares reported held*
$80.7mreported value*
7 new
10 added
7 reduced
9 sold out
net bought ≈ $2.0m (-5.3m 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. Implied quarter-end price ≈ $4.03.
Trends to Q4 2022
Institutional holders
Managers reporting a position, each quarter
Numbers
| Quarter | Holders |
|---|---|
| Q3 2022 | 72 |
| Q4 2022 | 71 |
Biggest buyers
| Windsor Capital Management, LLC | New | +5.1m |
| SCHRODER INVESTMENT MANAGEMENT GROUP | Added | +3.0m |
| AEGON USA Investment Management, LLC | Added | +1.0m |
| MORGAN STANLEY | Added | +267.0k |
| WELLS FARGO & COMPANY/MN | Added | +55.0k |
| AlphaStar Capital Management, LLC | New | +51.0k |
| OneDigital Investment Advisors LLC | New | +45.0k |
| OSAIC HOLDINGS, INC. | Added | +40.0k |
| Lineweaver Wealth Advisors, LLC | New | +35.0k |
| Cetera Advisors LLC | Added | +35.0k |
Biggest sellers
| Windsor Capital Management, LLC | Sold out | -5.1m |
| Radcliffe Capital Management, L.P. | Reduced | -2.0m |
| ZAZOVE ASSOCIATES LLC | Reduced | -155.0k |
| Apeiron RIA LLC | Sold out | -80.0k |
| Cambridge Investment Research Advisors, Inc. | Reduced | -71.0k |
| AlphaStar Capital Management, LLC | Sold out | -51.0k |
| NorthCoast Asset Management LLC | Reduced | -45.0k |
| AE Wealth Management LLC | Sold out | -41.0k |
| U.S. Capital Wealth Advisors, LLC | Sold out | -40.0k |
| Lineweaver Wealth Advisors, LLC | Sold out | -35.0k |
Holders, Q4 2022
| Manager | Shares | Change |
|---|---|---|
| NorthCoast Asset Management LLC 0.23% of their portfolio | 11.5m $11.4m | Reduced -45.0k |
| Radcliffe Capital Management, L.P. 0.37% of their portfolio | 11.2m $11.2m | Reduced -2.0m |
| SCHRODER INVESTMENT MANAGEMENT GROUP 0.01% of their portfolio | 7.0m $7.0m | Added +3.0m |
| ZAZOVE ASSOCIATES LLC 0.55% of their portfolio | 5.9m $5.9m | Reduced -155.0k |
| SSI INVESTMENT MANAGEMENT LLC 0.35% of their portfolio | 5.6m $5.6m | Unchanged |
| Windsor Capital Management, LLC 1.84% of their portfolio | 5.1m $5.1m | New |
| Lombard Odier Asset Management (Europe) Ltd 0.23% of their portfolio | 4.0m $5.4m | Unchanged |
| Ameritas Investment Partners, Inc. 0.14% of their portfolio | 3.5m $3.5m | Unchanged |
| Amundi 0.00% of their portfolio | 3.0m $3.0m | Unchanged |
| ROYAL BANK OF CANADA 0.00% of their portfolio | 2.5m $2.5m | Reduced -25.0k |
| BNP PARIBAS FINANCIAL MARKETS 0.01% of their portfolio | 2.4m $2.4m | Unchanged |
| EUBEL BRADY & SUTTMAN ASSET MANAGEMENT INC 0.36% of their portfolio | 2.3m $2.3m | Unchanged |
| AEGON USA Investment Management, LLC 0.59% of their portfolio | 2.0m $2.0m | Added +1.0m |
| Thrivent Financial for Lutherans 0.00% of their portfolio | 1.8m $1.8m | Unchanged |
| MORGAN STANLEY 0.00% of their portfolio | 1.2m $1.2m | Added +267.0k |
| Skaana Management L.P. 0.37% of their portfolio | 1.0m $996.3k | Unchanged |
| AQR Arbitrage LLC 0.02% of their portfolio | 896.0k $901.6k | Unchanged |
| Sculati Wealth Management, LLC 0.43% of their portfolio | 779.0k $774.0k | Unchanged |
| Carnegie Investment Counsel 0.03% of their portfolio | 661.0k $658.6k | Unchanged |
| COMMONWEALTH EQUITY SERVICES, LLC 0.00% of their portfolio | 468.0k $466.0k | Unchanged |
| WELLS FARGO & COMPANY/MN 0.00% of their portfolio | 409.0k $408.7k | Added +55.0k |
| UBS AM, a distinct business unit of UBS ASSET MANAGEMENT AMERICAS LLC 0.00% of their portfolio | 388.0k $385.4k | Unchanged |
| OSAIC HOLDINGS, INC. 0.00% of their portfolio | 316.0k $315.0k | Added +40.0k |
| Cambridge Investment Research Advisors, Inc. 0.00% of their portfolio | 296.0k $295.0k | Reduced -71.0k |
| AFG FIDUCIARY SERVICES LIMITED PARTNERSHIP 0.28% of their portfolio | 295.0k $293.9k | Unchanged |
| AVANTAX ADVISORY SERVICES, INC. 0.00% of their portfolio | 193.0k $192.3k | Unchanged |
| Wealthstar Advisors, LLC 0.08% of their portfolio | 186.0k $185.3k | Unchanged |
| Sigma Planning Corp 0.01% of their portfolio | 175.0k $174.4k | Unchanged |
| STIFEL FINANCIAL CORP 0.00% of their portfolio | 140.5k $140.5k | Reduced -2.8k |
| Aveo Capital Partners, LLC 0.02% of their portfolio | 122.0k $121.5k | Unchanged |
| FIRST HAWAIIAN BANK 0.00% of their portfolio | 119.0k $119.0k | Unchanged |
| RAYMOND JAMES & ASSOCIATES 0.00% of their portfolio | 95.0k $94.6k | Added +5.0k |
| Cetera Advisor Networks LLC 0.00% of their portfolio | 90.0k $89.7k | Added +15.0k |
| Goodman Financial Corp 0.03% of their portfolio | 86.0k $85.7k | Unchanged |
| LPL Financial LLC 0.00% of their portfolio | 75.0k $74.5k | Unchanged |
| HOHIMER WEALTH MANAGEMENT, LLC 0.02% of their portfolio | 75.0k $74.7k | Unchanged |
| Cetera Advisors LLC 0.00% of their portfolio | 70.0k $69.7k | Added +35.0k |
| REGIONS FINANCIAL CORP 0.00% of their portfolio | 65.0k $65.0k | Unchanged |
| Integrated Advisors Network LLC 0.00% of their portfolio | 53.0k $53.9k | Unchanged |
| AlphaStar Capital Management, LLC 0.01% of their portfolio | 51.0k $50.8k | New |
| BLAIR WILLIAM & CO/IL 0.00% of their portfolio | 50.0k $49.8k | Unchanged |
| Cetera Investment Advisers 0.00% of their portfolio | 50.0k $49.8k | Unchanged |
| Divergent Wealth Advisors 0.01% of their portfolio | 49.0k $48.8k | Unchanged |
| OneDigital Investment Advisors LLC 0.00% of their portfolio | 45.0k $44.7k | New |
| Lineweaver Wealth Advisors, LLC 0.01% of their portfolio | 35.0k $34.9k | New |
| GOLDMAN SACHS GROUP INC 0.00% of their portfolio | 32.0k $31.9k | Unchanged |
| DIMENSION CAPITAL MANAGEMENT LLC 0.01% of their portfolio | 30.0k $29.9k | Unchanged |
| Commonwealth Retirement Investments LLC 0.02% of their portfolio | 30.0k $29.8k | First filing |
| AMERIPRISE FINANCIAL INC 0.00% of their portfolio | 29.0k $29.0k | Reduced -5.0k |
| Executive Wealth Management, LLC 0.00% of their portfolio | 27.0k $26.9k | Added +27.0k |
| HARBOUR INVESTMENTS, INC. 0.00% of their portfolio | 25.0k $24.9k | New |
| Sunbelt Securities, Inc. 0.00% of their portfolio | 25.0k $24.9k | Unchanged |
| OmniStar Financial Group, Inc. 0.03% of their portfolio | 25.0k $24.9k | New |
| Activest Wealth Management 0.01% of their portfolio | 25.0k $25.1k | Unchanged |
| CoreCap Advisors, LLC 0.00% of their portfolio | 25.0k $24.9k | Unchanged |
| WORLD EQUITY GROUP, INC. 0.00% of their portfolio | 21.0k $20.9k | Unchanged |
| D.A. DAVIDSON & CO. 0.00% of their portfolio | 20.0k $19.9k | Unchanged |
| Wealthspire Advisors, LLC 0.00% of their portfolio | 20.0k $20.3k | Unchanged |
| Patriot Financial Group Insurance Agency, LLC 0.00% of their portfolio | 17.0k $16.9k | Unchanged |
| Focus Partners Advisor Solutions, LLC 0.00% of their portfolio | 17.0k $16.9k | Unchanged |
| US BANCORP \DE\ 0.00% of their portfolio | 15.0k $14.9k | New |
| WEDBUSH SECURITIES INC 0.08% of their portfolio | 15.0k $1.5m | Unchanged |
| Mariner, LLC 0.00% of their portfolio | 15.0k $15.0k | Unchanged |
| Biondo Investment Advisors, LLC 0.00% of their portfolio | 15.0k $15.3k | Unchanged |
| Triton Financial Group Inc 0.01% of their portfolio | 15.0k $14.9k | Unchanged |
| INTEGRAL INVESTMENT ADVISORS, INC. 0.01% of their portfolio | 15.0k $14.9k | Unchanged |
| Private Advisor Group, LLC 0.00% of their portfolio | 13.0k $13 | Unchanged |
| Praetorian Wealth Management, Inc. 0.00% of their portfolio | 10.0k $10.0k | Unchanged |
| BANK OF AMERICA CORP /DE/ 0.00% of their portfolio | 7.0k $7.0k | Unchanged |
| LAFFER TENGLER INVESTMENTS, INC. 0.34% of their portfolio | 1.1k $1.2m | Added +100 |
| CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.00% of their portfolio | 0 $0 | Unchanged |