PROSPECT CAP CORP PSEC 6.375 03.01.25
NOTE 6.375% 3/0 · US DOMESTIC · CUSIP 74348TAT9
76
institutional holders
+6 vs Q1 2023
19.6m
shares reported held*
$75.3mreported value*
11 new
7 added
7 reduced
6 sold out
net bought ≈ $11.8m (+16.2m 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 ≈ $3.85.
Trends to Q2 2023
Institutional holders
Managers reporting a position, each quarter
Numbers
| Quarter | Holders |
|---|---|
| Q3 2022 | 72 |
| Q4 2022 | 71 |
| Q1 2023 | 70 |
| Q2 2023 | 76 |
Buyers vs sellers
Managers adding to or starting a position, vs cutting or selling out
Bought or addedCut or sold out
Numbers
| Quarter | Bought or added | Cut or sold out |
|---|---|---|
| Q4 2022 | 17 | 16 |
| Q1 2023 | 21 | 19 |
| Q2 2023 | 18 | 13 |
Biggest buyers
| NorthCoast Asset Management LLC | New | +11.0m |
| Catalyst Capital Advisors LLC | New | +4.1m |
| ROYAL BANK OF CANADA | Added | +1.6m |
| Kestra Advisory Services, LLC | New | +485.0k |
| Clearstead Advisors, LLC | New | +385.0k |
| COMMONWEALTH OF PENNSYLVANIA PUBLIC SCHOOL EMPLS RETRMT SYS | New | +270.0k |
| LPL Financial LLC | Added | +49.0k |
| Raymond James Financial Services Advisors, Inc. | Added | +45.0k |
| Lineweaver Wealth Advisors, LLC | New | +35.0k |
| Realta Investment Advisors | New | +30.0k |
Biggest sellers
| ZAZOVE ASSOCIATES LLC | Reduced | -1.6m |
| SSI INVESTMENT MANAGEMENT LLC | Reduced | -1.3m |
| Skaana Management L.P. | Sold out | -1.0m |
| AEGON USA Investment Management, LLC | Reduced | -1.0m |
| CITIGROUP INC | Reduced | -592.0k |
| MORGAN STANLEY | Reduced | -331.0k |
| Windsor Capital Management, LLC | Reduced | -100.0k |
| Johnson Financial Group, Inc. | Sold out | -50.0k |
| Sowell Financial Services LLC | Sold out | -50.0k |
| OSAIC HOLDINGS, INC. | Reduced | -45.0k |
Holders, Q2 2023
| Manager | Shares | Change |
|---|---|---|
| Radcliffe Capital Management, L.P. 1.02% of their portfolio | 12.2m $12.0m | Unchanged |
| NorthCoast Asset Management LLC 0.16% of their portfolio | 11.0m $10.8m | New |
| SCHRODER INVESTMENT MANAGEMENT GROUP 0.01% of their portfolio | 10.5m $10.3m | Unchanged |
| Windsor Capital Management, LLC 1.60% of their portfolio | 4.9m $4.8m | Reduced -100.0k |
| ROYAL BANK OF CANADA 0.00% of their portfolio | 4.1m $4.1m | Added +1.6m |
| Catalyst Capital Advisors LLC 0.12% of their portfolio | 4.1m $4.1m | New |
| UBS AM, a distinct business unit of UBS ASSET MANAGEMENT AMERICAS LLC 0.00% of their portfolio | 4.0m $3.9m | Unchanged |
| SSI INVESTMENT MANAGEMENT LLC 0.24% of their portfolio | 3.4m $3.4m | Reduced -1.3m |
| EUBEL BRADY & SUTTMAN ASSET MANAGEMENT INC 0.44% of their portfolio | 3.3m $3.2m | Unchanged |
| Amundi 0.00% of their portfolio | 2.0m $2.0m | Unchanged |
| Lombard Odier Asset Management (Europe) Ltd 0.09% of their portfolio | 2.0m $2.0m | Unchanged |
| AEGON USA Investment Management, LLC 0.56% of their portfolio | 1.0m $984.7k | Reduced -1.0m |
| MORGAN STANLEY 0.00% of their portfolio | 935.0k $920.7k | Reduced -331.0k |
| Calamos Advisors LLC 0.00% of their portfolio | 808.0k $803.7k | Unchanged |
| ZAZOVE ASSOCIATES LLC 0.07% of their portfolio | 782.0k $777.0k | Reduced -1.6m |
| Sculati Wealth Management, LLC 0.39% of their portfolio | 779.0k $772.1k | Unchanged |
| Carnegie Investment Counsel 0.02% of their portfolio | 666.0k $655.8k | Unchanged |
| COMMONWEALTH EQUITY SERVICES, LLC 0.00% of their portfolio | 598.0k $589.0k | Unchanged |
| Kestra Advisory Services, LLC 0.00% of their portfolio | 485.0k $487.8k | New |
| WELLS FARGO & COMPANY/MN 0.00% of their portfolio | 467.0k $464.6k | Unchanged |
| Clearstead Advisors, LLC 0.02% of their portfolio | 385.0k $381.8k | New |
| Cambridge Investment Research Advisors, Inc. 0.00% of their portfolio | 303.0k $299.0k | Added +15.0k |
| AFG FIDUCIARY SERVICES LIMITED PARTNERSHIP 0.22% of their portfolio | 295.0k $292.9k | Unchanged |
| OSAIC HOLDINGS, INC. 0.00% of their portfolio | 271.0k $267.2k | Reduced -45.0k |
| COMMONWEALTH OF PENNSYLVANIA PUBLIC SCHOOL EMPLS RETRMT SYS 0.00% of their portfolio | 270.0k $265.9k | New |
| AVANTAX ADVISORY SERVICES, INC. 0.00% of their portfolio | 193.0k $190.0k | Unchanged |
| Wealthstar Advisors, LLC 0.08% of their portfolio | 186.0k $183.1k | Unchanged |
| Sigma Planning Corp 0.01% of their portfolio | 175.0k $172.3k | Unchanged |
| CITIGROUP INC 0.00% of their portfolio | 140.0k $137.9k | Reduced -592.0k |
| STIFEL FINANCIAL CORP 0.00% of their portfolio | 138.8k $138.8k | Added +1.2k |
| LPL Financial LLC 0.00% of their portfolio | 124.0k $122.9k | Added +49.0k |
| Aveo Capital Partners, LLC 0.02% of their portfolio | 122.0k $120.1k | Unchanged |
| FIRST HAWAIIAN BANK 0.00% of their portfolio | 119.0k $117.2k | Unchanged |
| RAYMOND JAMES & ASSOCIATES 0.00% of their portfolio | 100.0k $98.5k | Unchanged |
| Cetera Advisor Networks LLC 0.00% of their portfolio | 90.0k $88.6k | Unchanged |
| Goodman Financial Corp 0.02% of their portfolio | 86.0k $84.7k | Unchanged |
| Integrated Advisors Network LLC 0.00% of their portfolio | 83.0k $83.5k | Unchanged |
| HOHIMER WEALTH MANAGEMENT, LLC 0.02% of their portfolio | 75.0k $73.8k | Unchanged |
| Cetera Advisors LLC 0.00% of their portfolio | 70.0k $68.9k | Unchanged |
| REGIONS FINANCIAL CORP 0.00% of their portfolio | 65.0k $64.0k | Unchanged |
| Raymond James Financial Services Advisors, Inc. 0.00% of their portfolio | 55.0k $54.2k | Added +45.0k |
| BLAIR WILLIAM & CO/IL 0.00% of their portfolio | 50.0k $49.2k | Unchanged |
| Cetera Investment Advisers 0.00% of their portfolio | 50.0k $49.2k | Unchanged |
| Divergent Wealth Advisors 0.01% of their portfolio | 49.0k $48.2k | Unchanged |
| OneDigital Investment Advisors LLC 0.00% of their portfolio | 45.0k $44.6k | Unchanged |
| NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.00% of their portfolio | 40.0k $39.4k | Unchanged |
| U.S. Capital Wealth Advisors, LLC 0.00% of their portfolio | 40.0k $39.4k | Unchanged |
| Lineweaver Wealth Advisors, LLC 0.01% of their portfolio | 35.0k $34.5k | New |
| GOLDMAN SACHS GROUP INC 0.00% of their portfolio | 32.0k $31.5k | Unchanged |
| DIMENSION CAPITAL MANAGEMENT LLC 0.01% of their portfolio | 30.0k $29.5k | Unchanged |
| Realta Investment Advisors 0.01% of their portfolio | 30.0k $29.5k | New |
| Commonwealth Retirement Investments LLC 0.02% of their portfolio | 30.0k $29.7k | Unchanged |
| Executive Wealth Management, LLC 0.00% of their portfolio | 27.0k $26.6k | Unchanged |
| HARBOUR INVESTMENTS, INC. 0.00% of their portfolio | 25.0k $24.6k | Unchanged |
| Sunbelt Securities, Inc. 0.00% of their portfolio | 25.0k $24.6k | Unchanged |
| OmniStar Financial Group, Inc. 0.03% of their portfolio | 25.0k $24.6k | Unchanged |
| CoreCap Advisors, LLC 0.00% of their portfolio | 25.0k $24.6k | First filing |
| BANK OF AMERICA CORP /DE/ 0.00% of their portfolio | 22.0k $21.7k | Unchanged |
| D.A. DAVIDSON & CO. 0.00% of their portfolio | 20.0k $19.7k | Unchanged |
| Wealthspire Advisors, LLC 0.00% of their portfolio | 20.0k $20.2k | Unchanged |
| Patriot Financial Group Insurance Agency, LLC 0.00% of their portfolio | 17.0k $16.7k | Unchanged |
| Focus Partners Advisor Solutions, LLC 0.00% of their portfolio | 17.0k $16.8k | Unchanged |
| AXXCESS WEALTH MANAGEMENT, LLC 0.00% of their portfolio | 16.0k $15.8k | New |
| WEDBUSH SECURITIES INC 0.07% of their portfolio | 15.0k $1.5m | Unchanged |
| Mariner, LLC 0.00% of their portfolio | 15.0k $14.8k | 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 $14.8k | Unchanged |
| Venture Visionary Partners LLC 0.00% of their portfolio | 14.0k $13.9k | Unchanged |
| Goldstein Advisors, LLC 0.00% of their portfolio | 14.0k $13.8k | New |
| Private Advisor Group, LLC 0.00% of their portfolio | 13.0k $12.9k | Unchanged |
| RDA Financial Network 0.00% of their portfolio | 10.0k $9.8k | New |
| Praetorian Wealth Management, Inc. 0.00% of their portfolio | 10.0k $9.8k | Unchanged |
| LAFFER TENGLER INVESTMENTS, INC. 0.69% of their portfolio | 2.5k $2.6m | Added +1.4k |
| MONETA GROUP INVESTMENT ADVISORS LLC 0.00% of their portfolio | 150 $14.8k | Added +1 |
| OSAIC HOLDINGS, INC. 0.00% of their portfolio | 20 $19.7k | New |
| CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.00% of their portfolio | 0 $0 | Unchanged |