Vault-13

PROSPECT CAP CORP PSEC 6.375 03.01.25

NOTE 6.375% 3/0 · US DOMESTIC · CUSIP 74348TAT9

79 institutional holders +3 vs Q2 2023
19,192,18119.2m shares reported held*
$75.4mreported value*
5 new 14 added 9 reduced 4 sold out net sold ≈ $935.4k (-468.3k 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 ≈ $3.93.

Trends to Q3 2023

Institutional holders

Managers reporting a position, each quarter

050100Q3 22: 72Q4 22: 71Q1 23: 70Q2 23: 76Q3 23: 7979Q3 22Q4 22Q1 23Q2 23Q3 23
Numbers
QuarterHolders
Q3 202272
Q4 202271
Q1 202370
Q2 202376
Q3 202379

Buyers vs sellers

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

Bought or addedCut or sold out
40040Q4 22: 17 bought or addedQ4 22: 16 cut or sold outQ4 22Q1 23: 21 bought or addedQ1 23: 19 cut or sold outQ1 23Q2 23: 18 bought or addedQ2 23: 13 cut or sold outQ2 23Q3 23: 19 bought or addedQ3 23: 13 cut or sold outQ3 23
Numbers
QuarterBought or addedCut or sold out
Q4 20221716
Q1 20232119
Q2 20231813
Q3 20231913

Biggest buyers

Amundi Added +800,000+800.0k
Lombard Odier Asset Management (Europe) Ltd Added +800,000+800.0k
Clearstead Advisors, LLC Added +385,000+385.0k
Sigma Planning Corp New +175,000+175.0k
WELLS FARGO & COMPANY/MN Added +152,000+152.0k
LPL Financial LLC Added +110,000+110.0k
PHILLIPS FINANCIAL MANAGEMENT, LLC New +100,000+100.0k
COMMONWEALTH EQUITY SERVICES, LLC Added +75,000+75.0k
NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO Added +31,000+31.0k
Realta Investment Advisors New +30,000+30.0k

Biggest sellers

ROYAL BANK OF CANADA Reduced -1,664,000-1.7m
ZAZOVE ASSOCIATES LLC Reduced -721,000-721.0k
Kestra Advisory Services, LLC Sold out -485,000-485.0k
Wealthstar Advisors, LLC Sold out -186,000-186.0k
Sigma Planning Corp Sold out -175,000-175.0k
NorthCoast Asset Management LLC Reduced -140,000-140.0k
CITIGROUP INC Reduced -128,000-128.0k
Windsor Capital Management, LLC Reduced -60,000-60.0k
Raymond James Financial Services Advisors, Inc. Reduced -45,000-45.0k
Realta Investment Advisors Sold out -30,000-30.0k

Holders, Q3 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 Radcliffe Capital Management, L.P. 1.50% of their portfolio BALA CYNWYD, PA 12,193,00012.2m $12.1m $12.1m 1.50% Unchanged
2 NorthCoast Asset Management LLC 0.19% of their portfolio STAMFORD, CT 10,869,00010.9m $10.8m $10.8m 0.19% Reduced -140.0k -140,000
3 SCHRODER INVESTMENT MANAGEMENT GROUP 0.02% of their portfolio London, X0 10,500,00010.5m $10.4m $10.4m 0.02% Unchanged
4 Windsor Capital Management, LLC 1.66% of their portfolio Phoenix, AZ 4,842,0004.8m $4.8m $4.8m 1.66% Reduced -60.0k -60,000
5 Catalyst Capital Advisors LLC 0.11% of their portfolio San Juan, PR 4,079,0004.1m $4.1m $4.1m 0.11% Unchanged
6 UBS AM, a distinct business unit of UBS ASSET MANAGEMENT AMERICAS LLC 0.00% of their portfolio NEW YORK, NY 3,988,0004.0m $4.0m $4.0m 0.00% Unchanged
7 SSI INVESTMENT MANAGEMENT LLC 0.28% of their portfolio Los Angeles, CA 3,406,0003.4m $3.4m $3.4m 0.28% Unchanged
8 EUBEL BRADY & SUTTMAN ASSET MANAGEMENT INC 0.47% of their portfolio Miamisburg, OH 3,272,0003.3m $3.2m $3.2m 0.47% Unchanged
9 Amundi 0.00% of their portfolio Paris, I0 2,800,0002.8m $2.8m $2.8m 0.00% Added +800.0k +800,000
10 Lombard Odier Asset Management (Europe) Ltd 0.15% of their portfolio LONDON, X0 2,800,0002.8m $2.8m $2.8m 0.15% Added +800.0k +800,000
11 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 2,456,0002.5m $2.4m $2.4m 0.00% Reduced -1.7m -1,664,000
12 AEGON USA Investment Management, LLC 0.72% of their portfolio CEDAR RAPIDS, IA 1,000,0001.0m $991.6k $991.6k 0.72% Unchanged
13 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 939,000939.0k $931.1k $931.1k 0.00% Added +4.0k +4,000
14 Calamos Advisors LLC 0.00% of their portfolio NAPERVILLE, IL 813,000813.0k $814.3k $814.3k 0.00% Added +5.0k +5,000
15 Sculati Wealth Management, LLC 0.40% of their portfolio Bloomfield Hills, MI 779,000779.0k $773.1k $773.1k 0.40% Unchanged
16 Clearstead Advisors, LLC 0.02% of their portfolio CLEVELAND, OH 770,000770.0k $764.8k $764.8k 0.02% Added +385.0k +385,000
17 COMMONWEALTH EQUITY SERVICES, LLC 0.00% of their portfolio WALTHAM, MA 673,000673.0k $667.0k $667.0k 0.00% Added +75.0k +75,000
18 Carnegie Investment Counsel 0.02% of their portfolio PEPPER PIKE, OH 637,000637.0k $632.2k $632.2k 0.02% Reduced -29.0k -29,000
19 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 619,000619.0k $605.3k $605.3k 0.00% Added +152.0k +152,000
20 Cambridge Investment Research Advisors, Inc. 0.00% of their portfolio FAIRFIELD, IA 303,000303.0k $300.0k $300.0k 0.00% Unchanged
21 AFG FIDUCIARY SERVICES LIMITED PARTNERSHIP 0.26% of their portfolio HINGHAM, MA 295,000295.0k $292.1k $292.1k 0.26% Unchanged
22 OSAIC HOLDINGS, INC. 0.00% of their portfolio SCOTTSDALE, AZ 276,000276.0k $273.7k $273.7k 0.00% Added +5.0k +5,000
23 COMMONWEALTH OF PENNSYLVANIA PUBLIC SCHOOL EMPLS RETRMT SYS 0.00% of their portfolio HARRISBURG, PA 270,000270.0k $267.7k $267.7k 0.00% Unchanged
24 LPL Financial LLC 0.00% of their portfolio FORT MILL, SC 234,000234.0k $232.2k $232.2k 0.00% Added +110.0k +110,000
25 AVANTAX ADVISORY SERVICES, INC. 0.00% of their portfolio DALLAS, TX 193,000193.0k $191.4k $191.4k 0.00% Unchanged
26 Sigma Planning Corp 0.01% of their portfolio ANN ARBOR, MI 175,000175.0k $173.5k $173.5k 0.01% New
27 STIFEL FINANCIAL CORP 0.00% of their portfolio ST. LOUIS, MO 139,813139.8k $139.8k $139.8k 0.00% Added +975 +975
28 Aveo Capital Partners, LLC 0.02% of their portfolio ENGLEWOOD, CO 122,000122.0k $121.1k $121.1k 0.02% Unchanged
29 FIRST HAWAIIAN BANK 0.00% of their portfolio HONOLULU, HI 119,000119.0k $118.0k $118.0k 0.00% Unchanged
30 Cetera Advisor Networks LLC 0.00% of their portfolio EL SEGUNDO, CA 110,000110.0k $109.1k $109.1k 0.00% Added +20.0k +20,000
31 RAYMOND JAMES & ASSOCIATES 0.00% of their portfolio ST PETERSBURG, FL 100,000100.0k $99.2k $99.2k 0.00% Unchanged
32 PHILLIPS FINANCIAL MANAGEMENT, LLC 0.01% of their portfolio FORT WAYNE, IN 100,000100.0k $99.2k $99.2k 0.01% New
33 Goodman Financial Corp 0.02% of their portfolio HOUSTON, TX 86,00086.0k $85.3k $85.3k 0.02% Unchanged
34 Integrated Advisors Network LLC 0.01% of their portfolio DALLAS, TX 83,00083.0k $82.7k $82.7k 0.01% Unchanged
35 HOHIMER WEALTH MANAGEMENT, LLC 0.02% of their portfolio SEATTLE, WA 75,00075.0k $74.4k $74.4k 0.02% Unchanged
36 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.00% of their portfolio MILWAUKEE, WI 71,00071.0k $70.4k $70.4k 0.00% Added +31.0k +31,000
37 Cetera Advisors LLC 0.00% of their portfolio DENVER, CO 70,00070.0k $69.4k $69.4k 0.00% Unchanged
38 REGIONS FINANCIAL CORP 0.00% of their portfolio BIRMINGHAM, AL 65,00065.0k $64.5k $64.5k 0.00% Unchanged
39 ZAZOVE ASSOCIATES LLC 0.01% of their portfolio INCLINE VILLAGE, NV 61,00061.0k $61.0k $61.0k 0.01% Reduced -721.0k -721,000
40 MWA Asset Management 0.05% of their portfolio DANVERS, MA 53,00053.0k $52.6k $52.6k 0.05% First filing
41 BLAIR WILLIAM & CO/IL 0.00% of their portfolio CHICAGO, IL 50,00050.0k $49.6k $49.6k 0.00% Unchanged
42 Cetera Investment Advisers 0.00% of their portfolio SCHAUMBURG, IL 50,00050.0k $49.6k $49.6k 0.00% Unchanged
43 Divergent Wealth Advisors 0.01% of their portfolio SOUTH JORDAN, UT 49,00049.0k $48.6k $48.6k 0.01% Unchanged
44 OneDigital Investment Advisors LLC 0.00% of their portfolio OVERLAND PARK, KS 45,00045.0k $44.7k $44.7k 0.00% Unchanged
45 U.S. Capital Wealth Advisors, LLC 0.00% of their portfolio AUSTIN, TX 40,00040.0k $39.7k $39.7k 0.00% Unchanged
46 LANARK FINANCIAL, INC. 0.00% of their portfolio BIRMINGHAM, AL 37,00037.0k $36.0k $36.0k 0.00% First filing
47 Lineweaver Wealth Advisors, LLC 0.01% of their portfolio VALLEY VIEW, OH 35,00035.0k $34.7k $34.7k 0.01% Unchanged
48 GOLDMAN SACHS GROUP INC 0.00% of their portfolio NEW YORK, NY 32,00032.0k $31.7k $31.7k 0.00% Unchanged
49 DIMENSION CAPITAL MANAGEMENT LLC 0.01% of their portfolio Coral Gables, FL 30,00030.0k $29.3k $29.3k 0.01% Unchanged
50 Realta Investment Advisors 0.01% of their portfolio WILMINGTON, DE 30,00030.0k $29.5k $29.5k 0.01% New
51 Commonwealth Retirement Investments LLC 0.02% of their portfolio RICHMOND, VA 30,00030.0k $29.8k $29.8k 0.02% Unchanged
52 Executive Wealth Management, LLC 0.00% of their portfolio BRIGHTON, MI 27,00027.0k $26.8k $26.8k 0.00% Unchanged
53 HARBOUR INVESTMENTS, INC. 0.00% of their portfolio MADISON, WI 25,00025.0k $24.8k $24.8k 0.00% Unchanged
54 Sunbelt Securities, Inc. 0.00% of their portfolio HOUSTON, TX 25,00025.0k $24.8k $24.8k 0.00% Unchanged
55 OmniStar Financial Group, Inc. 0.03% of their portfolio Wilmington, NC 25,00025.0k $24.8k $24.8k 0.03% Unchanged
56 CoreCap Advisors, LLC 0.00% of their portfolio SOUTHFIELD, MI 25,00025.0k $24.8k $24.8k 0.00% Unchanged
57 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 22,00022.0k $21.8k $21.8k 0.00% Unchanged
58 Goldstein Advisors, LLC 0.00% of their portfolio Madison, WI 21,00021.0k $20.8k $20.8k 0.00% Added +7.0k +7,000
59 D.A. DAVIDSON & CO. 0.00% of their portfolio GREAT FALLS, MT 20,00020.0k $19.8k $19.8k 0.00% Unchanged
60 Wealthspire Advisors, LLC 0.00% of their portfolio NEW YORK, NY 20,00020.0k $20.0k $20.0k 0.00% Unchanged
61 PREVAIL INNOVATIVE WEALTH ADVISORS, LLC 0.01% of their portfolio LEAWOOD, KS 19,00019.0k $18.9k $18.9k 0.01% New
62 Patriot Financial Group Insurance Agency, LLC 0.00% of their portfolio Westborough, MA 17,00017.0k $16.9k $16.9k 0.00% Unchanged
63 Focus Partners Advisor Solutions, LLC 0.00% of their portfolio SAINT LOUIS, MO 17,00017.0k $16.9k $16.9k 0.00% Unchanged
64 AXXCESS WEALTH MANAGEMENT, LLC 0.00% of their portfolio CARLSBAD, CA 16,00016.0k $15.9k $15.9k 0.00% Unchanged
65 WEDBUSH SECURITIES INC 0.07% of their portfolio PASADENA, CA 15,00015.0k $1.5m $1.5m 0.07% Unchanged
66 Mariner, LLC 0.00% of their portfolio Overland Park, KS 15,00015.0k $14.9k $14.9k 0.00% Unchanged
67 Triton Financial Group Inc 0.01% of their portfolio Oklahoma City, OK 15,00015.0k $14.9k $14.9k 0.01% Unchanged
68 INTEGRAL INVESTMENT ADVISORS, INC. 0.01% of their portfolio TURLOCK, CA 15,00015.0k $14.9k $14.9k 0.01% Unchanged
69 Venture Visionary Partners LLC 0.00% of their portfolio Sylvania, OH 14,00014.0k $13.9k $13.9k 0.00% Unchanged
70 Private Advisor Group, LLC 0.00% of their portfolio MORRISTOWN, NJ 13,00013.0k $12.9k $12.9k 0.00% Unchanged
71 CITIGROUP INC 0.00% of their portfolio NEW YORK, NY 12,00012.0k $11.9k $11.9k 0.00% Reduced -128.0k -128,000
72 Raymond James Financial Services Advisors, Inc. 0.00% of their portfolio ST. PETERSBURG, FL 10,00010.0k $9.9k $9.9k 0.00% Reduced -45.0k -45,000
73 RDA Financial Network 0.00% of their portfolio AKRON, IA 10,00010.0k $9.9k $9.9k 0.00% Unchanged
74 Praetorian Wealth Management, Inc. 0.00% of their portfolio CARMEL, CA 10,00010.0k $9.9k $9.9k 0.00% Unchanged
75 LAFFER TENGLER INVESTMENTS, INC. 0.93% of their portfolio Scottsdale, AZ 3,1563.2k $3.2m $3.2m 0.93% Added +639 +639
76 MONETA GROUP INVESTMENT ADVISORS LLC 0.00% of their portfolio ST LOUIS, MO 149149 $14.9k $14.9k 0.00% Reduced -1 -1
77 Activest Wealth Management 0.02% of their portfolio AVENTURA, FL 2525 $24.9k $24.9k 0.02% New
78 OSAIC HOLDINGS, INC. 0.00% of their portfolio SCOTTSDALE, AZ 1010 $9.9k $9.9k 0.00% Reduced -10 -10
79 CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.00% of their portfolio BIRMINGHAM, AL 00 $0 $0 0.00% Unchanged