Vault-13

PROSPECT CAP CORP PSEC 6.375 03.01.25

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

100 institutional holders +5 vs Q1 2024
24,272,56424.3m shares reported held*
$78.9mreported value*
14 new 12 added 15 reduced 9 sold out net sold ≈ $4.9m (-211.2k 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 ≈ $3.25.

Trends to Q2 2024

Institutional holders

Managers reporting a position, each quarter

050100Q3 22: 72Q4 22: 71Q1 23: 70Q2 23: 76Q3 23: 79Q4 23: 84Q1 24: 95Q2 24: 100100Q3 22Q1 23Q3 23Q1 24Q2 24
Numbers
QuarterHolders
Q3 202272
Q4 202271
Q1 202370
Q2 202376
Q3 202379
Q4 202384
Q1 202495
Q2 2024100

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 outQ2 23: 18 bought or addedQ2 23: 13 cut or sold outQ2 23Q3 23: 19 bought or addedQ3 23: 13 cut or sold outQ4 23: 20 bought or addedQ4 23: 16 cut or sold outQ4 23Q1 24: 29 bought or addedQ1 24: 17 cut or sold outQ2 24: 26 bought or addedQ2 24: 24 cut or sold outQ2 24
Numbers
QuarterBought or addedCut or sold out
Q4 20221716
Q1 20232119
Q2 20231813
Q3 20231913
Q4 20232016
Q1 20242917
Q2 20242624

Biggest buyers

PIPER SANDLER & CO. Added +3,709,000+3.7m
Lombard Odier Asset Management (Europe) Ltd Added +813,000+813.0k
SCHRODER INVESTMENT MANAGEMENT GROUP Added +500,000+500.0k
VICTORY CAPITAL MANAGEMENT INC Added +370,000+370.0k
AFG FIDUCIARY SERVICES LIMITED PARTNERSHIP New +295,000+295.0k
&PARTNERS New +113,000+113.0k
Simplicity Wealth,LLC New +100,000+100.0k
PHILLIPS FINANCIAL MANAGEMENT, LLC New +100,000+100.0k
Stratos Wealth Advisors, LLC New +90,000+90.0k
Drake & Associates, LLC New +90,000+90.0k

Biggest sellers

UBS AM, a distinct business unit of UBS ASSET MANAGEMENT AMERICAS LLC Sold out -3,488,000-3.5m
SSI INVESTMENT MANAGEMENT LLC Reduced -3,346,000-3.3m
MORGAN STANLEY Reduced -2,295,000-2.3m
Radcliffe Capital Management, L.P. Reduced -370,000-370.0k
Calamos Advisors LLC Reduced -363,000-363.0k
AFG FIDUCIARY SERVICES LIMITED PARTNERSHIP Sold out -295,000-295.0k
OSAIC HOLDINGS, INC. Reduced -276,000-276.0k
CITIGROUP INC Reduced -168,000-168.0k
Wealthstar Advisors, LLC Sold out -164,000-164.0k
AEGON USA Investment Management, LLC Reduced -133,000-133.0k

Holders, Q2 2024

#ManagerLocationShares Value% of their portfolioChangeShares change
1 Radcliffe Capital Management, L.P. 2.41% of their portfolio BALA CYNWYD, PA 12,326,00012.3m $12.3m $12.3m 2.41% Reduced -370.0k -370,000
2 SCHRODER INVESTMENT MANAGEMENT GROUP 0.01% of their portfolio London, X0 11,211,00011.2m $11.2m $11.2m 0.01% Added +500.0k +500,000
3 NorthCoast Asset Management LLC 0.09% of their portfolio STAMFORD, CT 10,724,00010.7m $10.7m $10.7m 0.09% Reduced -120.0k -120,000
4 VICTORY CAPITAL MANAGEMENT INC 0.00% of their portfolio San Antonio, TX 4,911,0004.9m $4.9m $4.9m 0.00% Added +370.0k +370,000
5 Windsor Capital Management, LLC 1.44% of their portfolio Phoenix, AZ 4,687,0004.7m $4.7m $4.7m 1.44% Reduced -35.0k -35,000
6 Catalyst Capital Advisors LLC 0.09% of their portfolio San Juan, PR 4,079,0004.1m $4.1m $4.1m 0.09% Unchanged
7 PIPER SANDLER & CO. 3.13% of their portfolio MINNEAPOLIS, MN 4,044,0004.0m $4.0m $4.0m 3.13% Added +3.7m +3,709,000
8 Lombard Odier Asset Management (Europe) Ltd 0.18% of their portfolio LONDON, X0 3,613,0003.6m $3.6m $3.6m 0.18% Added +813.0k +813,000
9 EUBEL BRADY & SUTTMAN ASSET MANAGEMENT INC 0.47% of their portfolio Miamisburg, OH 3,272,0003.3m $3.3m $3.3m 0.47% Unchanged
10 Amundi 0.00% of their portfolio Paris, I0 2,800,0002.8m $2.8m $2.8m 0.00% Unchanged
11 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 2,611,0002.6m $2.6m $2.6m 0.00% Reduced -86.0k -86,000
12 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 1,077,0001.1m $1.1m $1.1m 0.00% Reduced -2.3m -2,295,000
13 Sculati Wealth Management, LLC 0.33% of their portfolio Bloomfield Hills, MI 779,000779.0k $774.1k $774.1k 0.33% Unchanged
14 COMMONWEALTH EQUITY SERVICES, LLC 0.00% of their portfolio WALTHAM, MA 688,000688.0k $685.0k $685.0k 0.00% Unchanged
15 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 632,000632.0k $632.3k $632.3k 0.00% Added +2.0k +2,000
16 Carnegie Investment Counsel 0.02% of their portfolio PEPPER PIKE, OH 568,000568.0k $564.4k $564.4k 0.02% Reduced -12.0k -12,000
17 SCHOLTZ & COMPANY, LLC 0.22% of their portfolio STAMFORD, CT 520,000520.0k $518.2k $518.2k 0.22% Added +40.0k +40,000
18 Kestra Advisory Services, LLC 0.00% of their portfolio AUSTIN, TX 508,000508.0k $516.8k $516.8k 0.00% Unchanged
19 Calamos Advisors LLC 0.00% of their portfolio NAPERVILLE, IL 450,000450.0k $446.6k $446.6k 0.00% Reduced -363.0k -363,000
20 Clearstead Advisors, LLC 0.01% of their portfolio CLEVELAND, OH 350,000350.0k $351.4k $351.4k 0.01% Unchanged
21 COMMONWEALTH OF PENNSYLVANIA PUBLIC SCHOOL EMPLS RETRMT SYS 0.00% of their portfolio HARRISBURG, PA 340,000340.0k $338.7k $338.7k 0.00% Added +20.0k +20,000
22 Cambridge Investment Research Advisors, Inc. 0.00% of their portfolio FAIRFIELD, IA 313,000313.0k $312.0k $312.0k 0.00% Added +5.0k +5,000
23 AFG FIDUCIARY SERVICES LIMITED PARTNERSHIP 0.21% of their portfolio HINGHAM, MA 295,000295.0k $294.3k $294.3k 0.21% New
24 Cetera Investment Advisers 0.00% of their portfolio SCHAUMBURG, IL 230,000230.0k $229.1k $229.1k 0.00% Unchanged
25 AEGON USA Investment Management, LLC 0.17% of their portfolio CEDAR RAPIDS, IA 217,000217.0k $216.2k $216.2k 0.17% Reduced -133.0k -133,000
26 LPL Financial LLC 0.00% of their portfolio FORT MILL, SC 210,000210.0k $208.7k $208.7k 0.00% Added +15.0k +15,000
27 OPINICUS CAPITAL, INC. 0.18% of their portfolio TAMPA, FL 210,000210.0k $208.7k $208.7k 0.18% Unchanged
28 AVANTAX ADVISORY SERVICES, INC. 0.00% of their portfolio DALLAS, TX 193,000193.0k $192.3k $192.3k 0.00% Unchanged
29 Sigma Planning Corp 0.01% of their portfolio ANN ARBOR, MI 181,000181.0k $180.3k $180.3k 0.01% Unchanged
30 GRAHAM CAPITAL WEALTH MANAGEMENT, LLC 0.24% of their portfolio WASHINGTON, DC 181,000181.0k $180.3k $180.3k 0.24% Added +71.0k +71,000
31 STIFEL FINANCIAL CORP 0.00% of their portfolio ST. LOUIS, MO 167,380167.4k $167.4k $167.4k 0.00% Reduced -9.3k -9,288
32 CITIGROUP INC 0.00% of their portfolio NEW YORK, NY 132,000132.0k $131.5k $131.5k 0.00% Reduced -168.0k -168,000
33 Aveo Capital Partners, LLC 0.01% of their portfolio ENGLEWOOD, CO 122,000122.0k $121.2k $121.2k 0.01% Unchanged
34 &PARTNERS 0.00% of their portfolio NASHVILLE, TN 113,000113.0k $112.6k $112.6k 0.00% New
35 RAYMOND JAMES & ASSOCIATES 0.00% of their portfolio ST PETERSBURG, FL 100,000100.0k $99.6k $99.6k 0.00% Unchanged
36 PHILLIPS FINANCIAL MANAGEMENT, LLC 0.01% of their portfolio FORT WAYNE, IN 100,000100.0k $99.6k $99.6k 0.01% New
37 Simplicity Wealth,LLC 0.00% of their portfolio SUMMIT, NJ 100,000100.0k $99.6k $99.6k 0.00% New
38 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.00% of their portfolio MILWAUKEE, WI 96,00096.0k $95.6k $95.6k 0.00% Unchanged
39 SSI INVESTMENT MANAGEMENT LLC 0.01% of their portfolio Los Angeles, CA 92,00092.0k $91.7k $91.7k 0.01% Reduced -3.3m -3,346,000
40 Stratos Wealth Advisors, LLC 0.00% of their portfolio BEACHWOOD, OH 90,00090.0k $89.4k $89.4k 0.00% New
41 Drake & Associates, LLC 0.03% of their portfolio WAUKESHA, WI 90,00090.0k $89.4k $89.4k 0.03% New
42 BRASS TAX WEALTH MANAGEMENT, INC 0.02% of their portfolio CINCINNATI, OH 90,00090.0k $89.4k $89.4k 0.02% New
43 Goodman Financial Corp 0.02% of their portfolio HOUSTON, TX 86,00086.0k $85.5k $85.5k 0.02% Unchanged
44 Integrated Advisors Network LLC 0.00% of their portfolio DALLAS, TX 83,00083.0k $84.5k $84.5k 0.00% Unchanged
45 Apeiron RIA LLC 0.02% of their portfolio Dallas, TX 80,00080.0k $79.5k $79.5k 0.02% New
46 HOHIMER WEALTH MANAGEMENT, LLC 0.02% of their portfolio SEATTLE, WA 75,00075.0k $74.7k $74.7k 0.02% Unchanged
47 MWA Asset Management 0.04% of their portfolio DANVERS, MA 53,00053.0k $52.8k $52.8k 0.04% Unchanged
48 BARCLAYS PLC 0.00% of their portfolio LONDON, X0 50,00050.0k $50.0k $50.0k 0.00% Unchanged
49 BLAIR WILLIAM & CO/IL 0.00% of their portfolio CHICAGO, IL 50,00050.0k $49.8k $49.8k 0.00% Unchanged
50 Divergent Wealth Advisors 0.01% of their portfolio SOUTH JORDAN, UT 49,00049.0k $48.8k $48.8k 0.01% Unchanged
51 Wealthspire Retirement, LLC 0.00% of their portfolio ALISO VIEJO, CA 49,00049.0k $48.8k $48.8k 0.00% Unchanged
52 OneDigital Investment Advisors LLC 0.00% of their portfolio OVERLAND PARK, KS 45,00045.0k $44.7k $44.7k 0.00% Unchanged
53 U.S. Capital Wealth Advisors, LLC 0.00% of their portfolio AUSTIN, TX 40,00040.0k $39.9k $39.9k 0.00% Unchanged
54 TOWNSQUARE CAPITAL LLC 0.00% of their portfolio Lehi, UT 37,00037.0k $36.8k $36.8k 0.00% Unchanged
55 Lineweaver Wealth Advisors, LLC 0.01% of their portfolio VALLEY VIEW, OH 35,00035.0k $34.9k $34.9k 0.01% Unchanged
56 INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC 0.00% of their portfolio ORLANDO, FL 35,00035.0k $34.9k $34.9k 0.00% Unchanged
57 SUTTON PLACE INVESTORS LLC 0.02% of their portfolio ARMONK, NY 35,00035.0k $35.5k $35.5k 0.02% Unchanged
58 GOLDMAN SACHS GROUP INC 0.00% of their portfolio NEW YORK, NY 32,00032.0k $31.9k $31.9k 0.00% Unchanged
59 Realta Investment Advisors 0.01% of their portfolio WILMINGTON, DE 30,00030.0k $29.9k $29.9k 0.01% Unchanged
60 Commonwealth Retirement Investments LLC 0.01% of their portfolio RICHMOND, VA 30,00030.0k $29.8k $29.8k 0.01% Unchanged
61 Advisory Services Network, LLC 0.00% of their portfolio ATLANTA, GA 29,00029.0k $28.9k $28.9k 0.00% New
62 Executive Wealth Management, LLC 0.00% of their portfolio BRIGHTON, MI 27,00027.0k $26.8k $26.8k 0.00% Unchanged
63 HARBOUR INVESTMENTS, INC. 0.00% of their portfolio MADISON, WI 25,00025.0k $24.8k $24.8k 0.00% Unchanged
64 Sunbelt Securities, Inc. 0.00% of their portfolio HOUSTON, TX 25,00025.0k $24.9k $24.9k 0.00% Unchanged
65 OmniStar Financial Group, Inc. 0.02% of their portfolio Wilmington, NC 25,00025.0k $24.9k $24.9k 0.02% Unchanged
66 NFSG Corp 0.01% of their portfolio BOCA RATON, FL 25,00025.0k $24.8k $24.8k 0.01% Unchanged
67 CoreCap Advisors, LLC 0.00% of their portfolio SOUTHFIELD, MI 25,00025.0k $24.8k $24.8k 0.00% Unchanged
68 DIMENSION CAPITAL MANAGEMENT LLC 0.00% of their portfolio Coral Gables, FL 22,50022.5k $22.5k $22.5k 0.00% Unchanged
69 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 22,00022.0k $21.9k $21.9k 0.00% Unchanged
70 US BANCORP \DE\ 0.00% of their portfolio MINNEAPOLIS, MN 20,00020.0k $19.9k $19.9k 0.00% Unchanged
71 Mesirow Financial Investment Management, Inc. 0.00% of their portfolio CHICAGO, IL 20,00020.0k $19.9k $19.9k 0.00% Unchanged
72 Wealthspire Advisors, LLC 0.00% of their portfolio NEW YORK, NY 20,00020.0k $20.3k $20.3k 0.00% Unchanged
73 Bright Futures Wealth Management, LLC. 0.01% of their portfolio WEBSTER, NY 14580, NY 20,00020.0k $19.7k $19.7k 0.01% Unchanged
74 Waycross Investment Management Co 0.02% of their portfolio BELLINGHAM, WA 20,00020.0k $19.9k $19.9k 0.02% New
75 LANARK FINANCIAL, INC. 0.00% of their portfolio BIRMINGHAM, AL 19,00019.0k $18.0k $18.0k 0.00% Unchanged
76 PREVAIL INNOVATIVE WEALTH ADVISORS, LLC 0.01% of their portfolio LEAWOOD, KS 19,00019.0k $18.9k $18.9k 0.01% Unchanged
77 Goldstein Advisors, LLC 0.00% of their portfolio Madison, WI 18,00018.0k $17.9k $17.9k 0.00% Reduced -7.0k -7,000
78 Patriot Financial Group Insurance Agency, LLC 0.00% of their portfolio Westborough, MA 17,00017.0k $16.9k $16.9k 0.00% Unchanged
79 AXXCESS WEALTH MANAGEMENT, LLC 0.00% of their portfolio CARLSBAD, CA 16,00016.0k $15.9k $15.9k 0.00% Unchanged
80 WEDBUSH SECURITIES INC 0.05% of their portfolio PASADENA, CA 15,00015.0k $1.5m $1.5m 0.05% Unchanged
81 REGIONS FINANCIAL CORP 0.00% of their portfolio BIRMINGHAM, AL 15,00015.0k $14.9k $14.9k 0.00% Reduced -50.0k -50,000
82 Mariner, LLC 0.00% of their portfolio Overland Park, KS 15,00015.0k $14.9k $14.9k 0.00% Unchanged
83 Transcendent Capital Group LLC 0.01% of their portfolio EDMOND, OK 15,00015.0k $14.9k $14.9k 0.01% Unchanged
84 Venture Visionary Partners LLC 0.00% of their portfolio Sylvania, OH 14,00014.0k $13.9k $13.9k 0.00% New
85 Private Advisor Group, LLC 0.00% of their portfolio MORRISTOWN, NJ 13,00013.0k $12.9k $12.9k 0.00% Unchanged
86 INSIGNEO ADVISORY SERVICES, LLC 0.00% of their portfolio MIAMI, FL 13,00013.0k $12.9k $12.9k 0.00% New
87 Triumph Capital Management 0.00% of their portfolio DENVER, CO 11,00011.0k $11.2k $11.2k 0.00% New
88 PRINCIPAL SECURITIES, INC. 0.00% of their portfolio DES MOINES, IA 10,00010.0k $10.0k $10.0k 0.00% Unchanged
89 MCDONALD PARTNERS LLC 0.00% of their portfolio CLEVELAND, OH 10,00010.0k $10.0k $10.0k 0.00% New
90 Raymond James Financial Services Advisors, Inc. 0.00% of their portfolio ST. PETERSBURG, FL 10,00010.0k $10.0k $10.0k 0.00% Unchanged
91 WOOSTER CORTHELL WEALTH MANAGEMENT, INC. 0.00% of their portfolio GLASTONBURY, CT 10,00010.0k $10.1k $10.1k 0.00% Unchanged
92 RDA Financial Network 0.00% of their portfolio AKRON, IA 10,00010.0k $9.9k $9.9k 0.00% Unchanged
93 Praetorian Wealth Management, Inc. 0.00% of their portfolio CARMEL, CA 10,00010.0k $10.0k $10.0k 0.00% Unchanged
94 CGN Advisors LLC 0.00% of their portfolio MANHATTAN, KS 10,00010.0k $9.9k $9.9k 0.00% Unchanged
95 LAFFER TENGLER INVESTMENTS, INC. 0.57% of their portfolio Scottsdale, AZ 2,5392.5k $2.6m $2.6m 0.57% Reduced -202 -202
96 OSAIC HOLDINGS, INC. 0.00% of their portfolio SCOTTSDALE, AZ 1,0001.0k $996 $996 0.00% Reduced -276.0k -276,000
97 MONETA GROUP INVESTMENT ADVISORS LLC 0.00% of their portfolio ST LOUIS, MO 153153 $14.9k $14.9k 0.00% Added +3 +3
98 OSAIC HOLDINGS, INC. 0.00% of their portfolio SCOTTSDALE, AZ 3838 $37.9k $37.9k 0.00% Added +15 +15
99 Activest Wealth Management 0.01% of their portfolio AVENTURA, FL 2525 $25.4k $25.4k 0.01% Unchanged
100 CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.00% of their portfolio BIRMINGHAM, AL 00 $0 $0 0.00% Unchanged