Vault-13

PROSPECT CAP CORP PSEC 6.375 03.01.25

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

84 institutional holders +5 vs Q3 2023
20,301,85520.3m shares reported held*
$80.5mreported value*
11 new 9 added 8 reduced 8 sold out net bought ≈ $1.8m (+1.1m 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 ≈ $3.97.

Trends to Q4 2023

Institutional holders

Managers reporting a position, each quarter

050100Q3 22: 72Q4 22: 71Q1 23: 70Q2 23: 76Q3 23: 79Q4 23: 8484Q3 22Q4 22Q1 23Q2 23Q3 23Q4 23
Numbers
QuarterHolders
Q3 202272
Q4 202271
Q1 202370
Q2 202376
Q3 202379
Q4 202384

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 23Q4 23: 20 bought or addedQ4 23: 16 cut or sold outQ4 23
Numbers
QuarterBought or addedCut or sold out
Q4 20221716
Q1 20232119
Q2 20231813
Q3 20231913
Q4 20232016

Biggest buyers

Windsor Capital Management, LLC New +4,767,000+4.8m
VICTORY CAPITAL MANAGEMENT INC New +4,541,000+4.5m
MORGAN STANLEY Added +1,131,000+1.1m
Kestra Advisory Services, LLC New +508,000+508.0k
CITIGROUP INC Added +500,000+500.0k
Wealthstar Advisors, LLC New +164,000+164.0k
GRAHAM CAPITAL WEALTH MANAGEMENT, LLC New +100,000+100.0k
Clark Capital Management Group, Inc. New +40,000+40.0k
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC New +35,000+35.0k
SSI INVESTMENT MANAGEMENT LLC Added +32,000+32.0k

Biggest sellers

Windsor Capital Management, LLC Sold out -4,842,000-4.8m
Catalyst Capital Advisors LLC Sold out -4,079,000-4.1m
UBS AM, a distinct business unit of UBS ASSET MANAGEMENT AMERICAS LLC Reduced -500,000-500.0k
Clearstead Advisors, LLC Reduced -420,000-420.0k
LPL Financial LLC Reduced -99,000-99.0k
ZAZOVE ASSOCIATES LLC Sold out -61,000-61.0k
Carnegie Investment Counsel Reduced -43,000-43.0k
ROYAL BANK OF CANADA Reduced -23,000-23.0k
D.A. DAVIDSON & CO. Sold out -20,000-20.0k
PREVAIL INNOVATIVE WEALTH ADVISORS, LLC Sold out -19,000-19.0k

Holders, Q4 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 Radcliffe Capital Management, L.P. 1.63% of their portfolio BALA CYNWYD, PA 12,193,00012.2m $12.2m $12.2m 1.63% Unchanged
2 NorthCoast Asset Management LLC 0.18% of their portfolio STAMFORD, CT 10,854,00010.9m $10.8m $10.8m 0.18% Reduced -15.0k -15,000
3 SCHRODER INVESTMENT MANAGEMENT GROUP 0.01% of their portfolio London, X0 10,500,00010.5m $10.5m $10.5m 0.01% Unchanged
4 Windsor Capital Management, LLC 1.54% of their portfolio Phoenix, AZ 4,767,0004.8m $4.7m $4.7m 1.54% New
5 VICTORY CAPITAL MANAGEMENT INC 0.00% of their portfolio San Antonio, TX 4,541,0004.5m $4.5m $4.5m 0.00% New
6 UBS AM, a distinct business unit of UBS ASSET MANAGEMENT AMERICAS LLC 0.00% of their portfolio NEW YORK, NY 3,488,0003.5m $3.5m $3.5m 0.00% Reduced -500.0k -500,000
7 SSI INVESTMENT MANAGEMENT LLC 0.26% of their portfolio Los Angeles, CA 3,438,0003.4m $3.4m $3.4m 0.26% Added +32.0k +32,000
8 EUBEL BRADY & SUTTMAN ASSET MANAGEMENT INC 0.43% of their portfolio Miamisburg, OH 3,272,0003.3m $3.3m $3.3m 0.43% Unchanged
9 Amundi 0.00% of their portfolio Paris, I0 2,800,0002.8m $2.8m $2.8m 0.00% Unchanged
10 Lombard Odier Asset Management (Europe) Ltd 0.19% of their portfolio LONDON, X0 2,800,0002.8m $2.8m $2.8m 0.19% Unchanged
11 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 2,433,0002.4m $2.4m $2.4m 0.00% Reduced -23.0k -23,000
12 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 2,070,0002.1m $2.1m $2.1m 0.00% Added +1.1m +1,131,000
13 AEGON USA Investment Management, LLC 0.71% of their portfolio CEDAR RAPIDS, IA 1,000,0001.0m $996.9k $996.9k 0.71% Unchanged
14 Calamos Advisors LLC 0.00% of their portfolio NAPERVILLE, IL 813,000813.0k $818.3k $818.3k 0.00% Unchanged
15 Sculati Wealth Management, LLC 0.36% of their portfolio Bloomfield Hills, MI 779,000779.0k $770.7k $770.7k 0.36% Unchanged
16 COMMONWEALTH EQUITY SERVICES, LLC 0.00% of their portfolio WALTHAM, MA 688,000688.0k $686.0k $686.0k 0.00% Added +15.0k +15,000
17 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 604,000604.0k $601.7k $601.7k 0.00% Reduced -15.0k -15,000
18 Carnegie Investment Counsel 0.02% of their portfolio PEPPER PIKE, OH 594,000594.0k $587.7k $587.7k 0.02% Reduced -43.0k -43,000
19 CITIGROUP INC 0.00% of their portfolio NEW YORK, NY 512,000512.0k $510.4k $510.4k 0.00% Added +500.0k +500,000
20 Kestra Advisory Services, LLC 0.00% of their portfolio AUSTIN, TX 508,000508.0k $517.1k $517.1k 0.00% New
21 Clearstead Advisors, LLC 0.02% of their portfolio CLEVELAND, OH 350,000350.0k $351.6k $351.6k 0.02% Reduced -420.0k -420,000
22 Cambridge Investment Research Advisors, Inc. 0.00% of their portfolio FAIRFIELD, IA 328,000328.0k $327.0k $327.0k 0.00% Added +25.0k +25,000
23 AFG FIDUCIARY SERVICES LIMITED PARTNERSHIP 0.24% of their portfolio HINGHAM, MA 295,000295.0k $294.9k $294.9k 0.24% Unchanged
24 OSAIC HOLDINGS, INC. 0.00% of their portfolio SCOTTSDALE, AZ 276,000276.0k $275.1k $275.1k 0.00% Unchanged
25 COMMONWEALTH OF PENNSYLVANIA PUBLIC SCHOOL EMPLS RETRMT SYS 0.00% of their portfolio HARRISBURG, PA 270,000270.0k $269.2k $269.2k 0.00% Unchanged
26 OPINICUS CAPITAL, INC. 0.24% of their portfolio TAMPA, FL 235,000235.0k $232.5k $232.5k 0.24% First filing
27 AVANTAX ADVISORY SERVICES, INC. 0.00% of their portfolio DALLAS, TX 193,000193.0k $192.4k $192.4k 0.00% Unchanged
28 Sigma Planning Corp 0.01% of their portfolio ANN ARBOR, MI 175,000175.0k $174.5k $174.5k 0.01% Unchanged
29 Wealthstar Advisors, LLC 0.06% of their portfolio Plano, TX 164,000164.0k $163.5k $163.5k 0.06% New
30 STIFEL FINANCIAL CORP 0.00% of their portfolio ST. LOUIS, MO 140,560140.6k $140.6k $140.6k 0.00% Added +747 +747
31 LPL Financial LLC 0.00% of their portfolio FORT MILL, SC 135,000135.0k $133.6k $133.6k 0.00% Reduced -99.0k -99,000
32 Aveo Capital Partners, LLC 0.01% of their portfolio ENGLEWOOD, CO 122,000122.0k $120.7k $120.7k 0.01% Unchanged
33 FIRST HAWAIIAN BANK 0.00% of their portfolio HONOLULU, HI 119,000119.0k $118.6k $118.6k 0.00% Unchanged
34 Cetera Advisor Networks LLC 0.00% of their portfolio EL SEGUNDO, CA 110,000110.0k $109.7k $109.7k 0.00% Unchanged
35 RAYMOND JAMES & ASSOCIATES 0.00% of their portfolio ST PETERSBURG, FL 100,000100.0k $99.7k $99.7k 0.00% Unchanged
36 PHILLIPS FINANCIAL MANAGEMENT, LLC 0.01% of their portfolio FORT WAYNE, IN 100,000100.0k $99.7k $99.7k 0.01% Unchanged
37 GRAHAM CAPITAL WEALTH MANAGEMENT, LLC 0.26% of their portfolio WASHINGTON, DC 100,000100.0k $99.7k $99.7k 0.26% New
38 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.00% of their portfolio MILWAUKEE, WI 96,00096.0k $95.7k $95.7k 0.00% Added +25.0k +25,000
39 Goodman Financial Corp 0.02% of their portfolio HOUSTON, TX 86,00086.0k $85.3k $85.3k 0.02% Unchanged
40 Integrated Advisors Network LLC 0.00% of their portfolio DALLAS, TX 83,00083.0k $84.5k $84.5k 0.00% Unchanged
41 HOHIMER WEALTH MANAGEMENT, LLC 0.02% of their portfolio SEATTLE, WA 75,00075.0k $74.8k $74.8k 0.02% Unchanged
42 Cetera Advisors LLC 0.00% of their portfolio DENVER, CO 70,00070.0k $69.8k $69.8k 0.00% Unchanged
43 REGIONS FINANCIAL CORP 0.00% of their portfolio BIRMINGHAM, AL 65,00065.0k $64.8k $64.8k 0.00% Unchanged
44 MWA Asset Management 0.04% of their portfolio DANVERS, MA 53,00053.0k $52.8k $52.8k 0.04% Unchanged
45 BLAIR WILLIAM & CO/IL 0.00% of their portfolio CHICAGO, IL 50,00050.0k $49.8k $49.8k 0.00% Unchanged
46 Cetera Investment Advisers 0.00% of their portfolio SCHAUMBURG, IL 50,00050.0k $49.8k $49.8k 0.00% Unchanged
47 Divergent Wealth Advisors 0.01% of their portfolio SOUTH JORDAN, UT 49,00049.0k $48.8k $48.8k 0.01% Unchanged
48 OneDigital Investment Advisors LLC 0.00% of their portfolio OVERLAND PARK, KS 45,00045.0k $44.5k $44.5k 0.00% Unchanged
49 Clark Capital Management Group, Inc. 0.00% of their portfolio PHILADELPHIA, PA 40,00040.0k $39.9k $39.9k 0.00% New
50 U.S. Capital Wealth Advisors, LLC 0.00% of their portfolio AUSTIN, TX 40,00040.0k $39.9k $39.9k 0.00% Unchanged
51 LANARK FINANCIAL, INC. 0.00% of their portfolio BIRMINGHAM, AL 37,00037.0k $36.0k $36.0k 0.00% Unchanged
52 Lineweaver Wealth Advisors, LLC 0.01% of their portfolio VALLEY VIEW, OH 35,00035.0k $34.9k $34.9k 0.01% Unchanged
53 INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC 0.00% of their portfolio ORLANDO, FL 35,00035.0k $34.9k $34.9k 0.00% New
54 GOLDMAN SACHS GROUP INC 0.00% of their portfolio NEW YORK, NY 32,00032.0k $31.9k $31.9k 0.00% Unchanged
55 Goldstein Advisors, LLC 0.52% of their portfolio Madison, WI 31,00031.0k $3.1m $3.1m 0.52% Added +10.0k +10,000
56 DIMENSION CAPITAL MANAGEMENT LLC 0.01% of their portfolio Coral Gables, FL 30,00030.0k $29.9k $29.9k 0.01% Unchanged
57 Realta Investment Advisors 0.01% of their portfolio WILMINGTON, DE 30,00030.0k $29.9k $29.9k 0.01% Unchanged
58 Commonwealth Retirement Investments LLC 0.02% of their portfolio RICHMOND, VA 30,00030.0k $29.7k $29.7k 0.02% Unchanged
59 Executive Wealth Management, LLC 0.00% of their portfolio BRIGHTON, MI 27,00027.0k $26.7k $26.7k 0.00% Unchanged
60 HARBOUR INVESTMENTS, INC. 0.00% of their portfolio MADISON, WI 25,00025.0k $24.7k $24.7k 0.00% Unchanged
61 Sunbelt Securities, Inc. 0.00% of their portfolio HOUSTON, TX 25,00025.0k $24.9k $24.9k 0.00% Unchanged
62 OmniStar Financial Group, Inc. 0.03% of their portfolio Wilmington, NC 25,00025.0k $24.9k $24.9k 0.03% Unchanged
63 CoreCap Advisors, LLC 0.00% of their portfolio SOUTHFIELD, MI 25,00025.0k $24.7k $24.7k 0.00% Unchanged
64 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 22,00022.0k $21.9k $21.9k 0.00% Unchanged
65 Wealthspire Advisors, LLC 0.00% of their portfolio NEW YORK, NY 20,00020.0k $20.2k $20.2k 0.00% Unchanged
66 TOWNSQUARE CAPITAL LLC 0.00% of their portfolio Lehi, UT 20,00020.0k $19.8k $19.8k 0.00% New
67 Patriot Financial Group Insurance Agency, LLC 0.00% of their portfolio Westborough, MA 17,00017.0k $16.8k $16.8k 0.00% Unchanged
68 AXXCESS WEALTH MANAGEMENT, LLC 0.00% of their portfolio CARLSBAD, CA 16,00016.0k $15.9k $15.9k 0.00% Unchanged
69 MONETA GROUP INVESTMENT ADVISORS LLC 0.00% of their portfolio ST LOUIS, MO 15,00015.0k $15.0k $15.0k 0.00% Added +14.9k +14,851
70 WEDBUSH SECURITIES INC 0.07% of their portfolio PASADENA, CA 15,00015.0k $1.5m $1.5m 0.07% Unchanged
71 Mariner, LLC 0.00% of their portfolio Overland Park, KS 15,00015.0k $15.0k $15.0k 0.00% Unchanged
72 Triton Financial Group Inc 0.01% of their portfolio Oklahoma City, OK 15,00015.0k $14.8k $14.8k 0.01% Unchanged
73 INTEGRAL INVESTMENT ADVISORS, INC. 0.01% of their portfolio TURLOCK, CA 15,00015.0k $14.9k $14.9k 0.01% Unchanged
74 World Investment Advisors 0.00% of their portfolio LINCROFT, NJ 14,00014.0k $14.3k $14.3k 0.00% New
75 Venture Visionary Partners LLC 0.00% of their portfolio Sylvania, OH 14,00014.0k $13.9k $13.9k 0.00% New
76 Private Advisor Group, LLC 0.00% of their portfolio MORRISTOWN, NJ 13,00013.0k $12.9k $12.9k 0.00% Unchanged
77 PRINCIPAL SECURITIES, INC. 0.00% of their portfolio DES MOINES, IA 10,00010.0k $10.0k $10.0k 0.00% First filing
78 Raymond James Financial Services Advisors, Inc. 0.00% of their portfolio ST. PETERSBURG, FL 10,00010.0k $10.0k $10.0k 0.00% Unchanged
79 RDA Financial Network 0.00% of their portfolio AKRON, IA 10,00010.0k $9.9k $9.9k 0.00% Unchanged
80 Praetorian Wealth Management, Inc. 0.00% of their portfolio CARMEL, CA 10,00010.0k $10.0k $10.0k 0.00% Unchanged
81 Advisor Resource Council 0.00% of their portfolio DALLAS, TX 10,00010.0k $9.9k $9.9k 0.00% New
82 LAFFER TENGLER INVESTMENTS, INC. 0.79% of their portfolio Scottsdale, AZ 2,8552.9k $3.0m $3.0m 0.79% Reduced -301 -301
83 OSAIC HOLDINGS, INC. 0.00% of their portfolio SCOTTSDALE, AZ 1010 $10.0k $10.0k 0.00% Unchanged
84 CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.00% of their portfolio BIRMINGHAM, AL 00 $0 $0 0.00% Unchanged