Vault-13

PROSPECT CAP CORP PSEC 6.375 03.01.25

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

93 institutional holders -7 vs Q2 2024
12,977,57313.0m shares reported held*
$67.6mreported value*
9 new 9 added 7 reduced 16 sold out net sold ≈ $11.5m (-11.3m 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 ≈ $5.21.

Trends to Q3 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: 100Q3 24: 9393Q3 22Q1 23Q3 23Q1 24Q3 24
Numbers
QuarterHolders
Q3 202272
Q4 202271
Q1 202370
Q2 202376
Q3 202379
Q4 202384
Q1 202495
Q2 2024100
Q3 202493

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 outQ1 23: 21 bought or addedQ1 23: 19 cut or sold outQ1 23Q2 23: 18 bought or addedQ2 23: 13 cut or sold outQ3 23: 19 bought or addedQ3 23: 13 cut or sold outQ3 23Q4 23: 20 bought or addedQ4 23: 16 cut or sold outQ1 24: 29 bought or addedQ1 24: 17 cut or sold outQ1 24Q2 24: 26 bought or addedQ2 24: 24 cut or sold outQ3 24: 18 bought or addedQ3 24: 23 cut or sold outQ3 24
Numbers
QuarterBought or addedCut or sold out
Q4 20221716
Q1 20232119
Q2 20231813
Q3 20231913
Q4 20232016
Q1 20242917
Q2 20242624
Q3 20241823

Biggest buyers

Radcliffe Capital Management, L.P. Added +1,500,000+1.5m
ROYAL BANK OF CANADA Added +410,000+410.0k
AFG FIDUCIARY SERVICES LIMITED PARTNERSHIP New +295,000+295.0k
PHILLIPS FINANCIAL MANAGEMENT, LLC New +100,000+100.0k
&PARTNERS Added +89,000+89.0k
STIFEL FINANCIAL CORP Added +41,745+41.7k
Lineweaver Wealth Advisors, LLC New +35,000+35.0k
LPL Financial LLC Added +31,000+31.0k
Bison Wealth, LLC New +30,000+30.0k
BOKF, NA New +25,000+25.0k

Biggest sellers

NorthCoast Asset Management LLC Sold out -10,724,000-10.7m
PIPER SANDLER & CO. Reduced -1,500,000-1.5m
Kestra Advisory Services, LLC Sold out -508,000-508.0k
Calamos Advisors LLC Sold out -450,000-450.0k
AFG FIDUCIARY SERVICES LIMITED PARTNERSHIP Sold out -295,000-295.0k
CITIGROUP INC Sold out -132,000-132.0k
PHILLIPS FINANCIAL MANAGEMENT, LLC Sold out -100,000-100.0k
Drake & Associates, LLC Sold out -90,000-90.0k
BRASS TAX WEALTH MANAGEMENT, INC Sold out -90,000-90.0k
Integrated Advisors Network LLC Sold out -83,000-83.0k

Holders, Q3 2024

#ManagerLocationShares Value% of their portfolioChangeShares change
1 Radcliffe Capital Management, L.P. 2.35% of their portfolio BALA CYNWYD, PA 13,826,00013.8m $13.8m $13.8m 2.35% Added +1.5m +1,500,000
2 SCHRODER INVESTMENT MANAGEMENT GROUP 0.01% of their portfolio London, X0 11,211,00011.2m $11.2m $11.2m 0.01% Unchanged
3 VICTORY CAPITAL MANAGEMENT INC 0.00% of their portfolio San Antonio, TX 4,911,0004.9m $4.9m $4.9m 0.00% Unchanged
4 Windsor Capital Management, LLC 1.37% of their portfolio Phoenix, AZ 4,687,0004.7m $4.7m $4.7m 1.37% Unchanged
5 Catalyst Capital Advisors LLC 0.09% of their portfolio San Juan, PR 4,079,0004.1m $4.1m $4.1m 0.09% Unchanged
6 Lombard Odier Asset Management (Europe) Ltd 0.16% of their portfolio LONDON, X0 3,613,0003.6m $3.6m $3.6m 0.16% Unchanged
7 EUBEL BRADY & SUTTMAN ASSET MANAGEMENT INC 0.43% of their portfolio Miamisburg, OH 3,272,0003.3m $3.3m $3.3m 0.43% Unchanged
8 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 3,021,0003.0m $3.0m $3.0m 0.00% Added +410.0k +410,000
9 Amundi 0.00% of their portfolio Paris, I0 2,800,0002.8m $2.8m $2.8m 0.00% Unchanged
10 PIPER SANDLER & CO. 1.73% of their portfolio MINNEAPOLIS, MN 2,544,0002.5m $2.6m $2.6m 1.73% Reduced -1.5m -1,500,000
11 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 1,088,0001.1m $1.1m $1.1m 0.00% Added +11.0k +11,000
12 Sculati Wealth Management, LLC 0.31% of their portfolio Bloomfield Hills, MI 779,000779.0k $782.2k $782.2k 0.31% Unchanged
13 COMMONWEALTH EQUITY SERVICES, LLC 0.00% of their portfolio WALTHAM, MA 688,000688.0k $688.0k $688.0k 0.00% Unchanged
14 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 611,000611.0k $607.9k $607.9k 0.00% Reduced -21.0k -21,000
15 Carnegie Investment Counsel 0.02% of their portfolio PEPPER PIKE, OH 570,000570.0k $572.4k $572.4k 0.02% Added +2.0k +2,000
16 SCHOLTZ & COMPANY, LLC 0.25% of their portfolio STAMFORD, CT 520,000520.0k $519.9k $519.9k 0.25% Unchanged
17 Clearstead Advisors, LLC 0.01% of their portfolio CLEVELAND, OH 350,000350.0k $350.9k $350.9k 0.01% Unchanged
18 COMMONWEALTH OF PENNSYLVANIA PUBLIC SCHOOL EMPLS RETRMT SYS 0.00% of their portfolio HARRISBURG, PA 340,000340.0k $340.2k $340.2k 0.00% Unchanged
19 Cambridge Investment Research Advisors, Inc. 0.00% of their portfolio FAIRFIELD, IA 338,000338.0k $338.0k $338.0k 0.00% Added +25.0k +25,000
20 AFG FIDUCIARY SERVICES LIMITED PARTNERSHIP 0.20% of their portfolio HINGHAM, MA 295,000295.0k $293.2k $293.2k 0.20% New
21 LPL Financial LLC 0.00% of their portfolio FORT MILL, SC 241,000241.0k $242.0k $242.0k 0.00% Added +31.0k +31,000
22 Cetera Investment Advisers 0.00% of their portfolio SCHAUMBURG, IL 230,000230.0k $230.1k $230.1k 0.00% Unchanged
23 AEGON USA Investment Management, LLC 0.16% of their portfolio CEDAR RAPIDS, IA 217,000217.0k $217.1k $217.1k 0.16% Unchanged
24 OPINICUS CAPITAL, INC. 0.17% of their portfolio TAMPA, FL 210,000210.0k $210.9k $210.9k 0.17% Unchanged
25 STIFEL FINANCIAL CORP 0.00% of their portfolio ST. LOUIS, MO 209,125209.1k $209.1k $209.1k 0.00% Added +41.7k +41,745
26 &PARTNERS 0.00% of their portfolio NASHVILLE, TN 202,000202.0k $202.1k $202.1k 0.00% Added +89.0k +89,000
27 AVANTAX ADVISORY SERVICES, INC. 0.00% of their portfolio DALLAS, TX 193,000193.0k $193.1k $193.1k 0.00% Unchanged
28 Sigma Planning Corp 0.01% of their portfolio ANN ARBOR, MI 175,000175.0k $175.1k $175.1k 0.01% Reduced -6.0k -6,000
29 GRAHAM CAPITAL WEALTH MANAGEMENT, LLC 0.18% of their portfolio WASHINGTON, DC 171,000171.0k $171.1k $171.1k 0.18% Reduced -10.0k -10,000
30 Aveo Capital Partners, LLC 0.01% of their portfolio ENGLEWOOD, CO 122,000122.0k $122.5k $122.5k 0.01% Unchanged
31 RAYMOND JAMES & ASSOCIATES 0.00% of their portfolio ST PETERSBURG, FL 100,000100.0k $100.1k $100.1k 0.00% Unchanged
32 PHILLIPS FINANCIAL MANAGEMENT, LLC 0.01% of their portfolio FORT WAYNE, IN 100,000100.0k $100.1k $100.1k 0.01% New
33 Simplicity Wealth,LLC 0.01% of their portfolio SUMMIT, NJ 100,000100.0k $100.1k $100.1k 0.01% Unchanged
34 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.00% of their portfolio MILWAUKEE, WI 96,00096.0k $96.1k $96.1k 0.00% Unchanged
35 SSI INVESTMENT MANAGEMENT LLC 0.01% of their portfolio Los Angeles, CA 92,00092.0k $92.1k $92.1k 0.01% Unchanged
36 Stratos Wealth Advisors, LLC 0.00% of their portfolio BEACHWOOD, OH 90,00090.0k $90.4k $90.4k 0.00% Unchanged
37 Goodman Financial Corp 0.02% of their portfolio HOUSTON, TX 86,00086.0k $86.3k $86.3k 0.02% Unchanged
38 Apeiron RIA LLC 0.02% of their portfolio Dallas, TX 80,00080.0k $80.3k $80.3k 0.02% Unchanged
39 HOHIMER WEALTH MANAGEMENT, LLC 0.02% of their portfolio SEATTLE, WA 75,00075.0k $75.0k $75.0k 0.02% Unchanged
40 MWA Asset Management 0.04% of their portfolio DANVERS, MA 53,00053.0k $53.0k $53.0k 0.04% Unchanged
41 BARCLAYS PLC 0.00% of their portfolio LONDON, X0 50,00050.0k $49.6k $49.6k 0.00% Unchanged
42 BLAIR WILLIAM & CO/IL 0.00% of their portfolio CHICAGO, IL 50,00050.0k $50.0k $50.0k 0.00% Unchanged
43 Divergent Wealth Advisors 0.01% of their portfolio SOUTH JORDAN, UT 49,00049.0k $49.0k $49.0k 0.01% Unchanged
44 Wealthspire Retirement, LLC 0.00% of their portfolio ALISO VIEJO, CA 49,00049.0k $49.0k $49.0k 0.00% Unchanged
45 OneDigital Investment Advisors LLC 0.00% of their portfolio OVERLAND PARK, KS 45,00045.0k $45.2k $45.2k 0.00% Unchanged
46 U.S. Capital Wealth Advisors, LLC 0.00% of their portfolio AUSTIN, TX 40,00040.0k $40.0k $40.0k 0.00% Unchanged
47 Lineweaver Wealth Advisors, LLC 0.01% of their portfolio VALLEY VIEW, OH 35,00035.0k $35.0k $35.0k 0.01% New
48 SUTTON PLACE INVESTORS LLC 0.02% of their portfolio ARMONK, NY 35,00035.0k $35.3k $35.3k 0.02% Unchanged
49 GOLDMAN SACHS GROUP INC 0.00% of their portfolio NEW YORK, NY 32,00032.0k $32.0k $32.0k 0.00% Unchanged
50 TOWNSQUARE CAPITAL LLC 0.00% of their portfolio Lehi, UT 32,00032.0k $32.1k $32.1k 0.00% Reduced -5.0k -5,000
51 Bison Wealth, LLC 0.00% of their portfolio Atlanta, GA 30,00030.0k $30.0k $30.0k 0.00% New
52 Advisory Services Network, LLC 0.00% of their portfolio ATLANTA, GA 29,00029.0k $28.9k $28.9k 0.00% Unchanged
53 Executive Wealth Management, LLC 0.00% of their portfolio BRIGHTON, MI 27,00027.0k $27.1k $27.1k 0.00% Unchanged
54 BOKF, NA 0.00% of their portfolio TULSA, OK 25,00025.0k $25.0k $25.0k 0.00% New
55 HARBOUR INVESTMENTS, INC. 0.00% of their portfolio MADISON, WI 25,00025.0k $25.1k $25.1k 0.00% Unchanged
56 Sunbelt Securities, Inc. 0.00% of their portfolio HOUSTON, TX 25,00025.0k $25.0k $25.0k 0.00% Unchanged
57 OmniStar Financial Group, Inc. 0.02% of their portfolio Wilmington, NC 25,00025.0k $25.0k $25.0k 0.02% Unchanged
58 NFSG Corp 0.01% of their portfolio BOCA RATON, FL 25,00025.0k $25.1k $25.1k 0.01% Unchanged
59 CoreCap Advisors, LLC 0.00% of their portfolio SOUTHFIELD, MI 25,00025.0k $25.1k $25.1k 0.00% Unchanged
60 Cyndeo Wealth Partners, LLC 0.00% of their portfolio ST. PETERSBURG, FL 24,00024.0k $24.0k $24.0k 0.00% New
61 DIMENSION CAPITAL MANAGEMENT LLC 0.00% of their portfolio Coral Gables, FL 22,50022.5k $22.5k $22.5k 0.00% Unchanged
62 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 22,00022.0k $22.0k $22.0k 0.00% Unchanged
63 Mesirow Financial Investment Management, Inc. 0.00% of their portfolio CHICAGO, IL 20,00020.0k $20.0k $20.0k 0.00% Unchanged
64 Wealthspire Advisors, LLC 0.00% of their portfolio NEW YORK, NY 20,00020.0k $20.2k $20.2k 0.00% Unchanged
65 Bright Futures Wealth Management, LLC. 0.01% of their portfolio WEBSTER, NY 14580, NY 20,00020.0k $19.6k $19.6k 0.01% Unchanged
66 LANARK FINANCIAL, INC. 0.00% of their portfolio BIRMINGHAM, AL 19,00019.0k $19.0k $19.0k 0.00% Unchanged
67 PREVAIL INNOVATIVE WEALTH ADVISORS, LLC 0.01% of their portfolio LEAWOOD, KS 19,00019.0k $19.1k $19.1k 0.01% Unchanged
68 Patriot Financial Group Insurance Agency, LLC 0.00% of their portfolio Westborough, MA 17,00017.0k $17.1k $17.1k 0.00% Unchanged
69 Goldstein Advisors, LLC 0.00% of their portfolio Madison, WI 17,00017.0k $17.1k $17.1k 0.00% Reduced -1.0k -1,000
70 AXXCESS WEALTH MANAGEMENT, LLC 0.00% of their portfolio CARLSBAD, CA 16,00016.0k $16.0k $16.0k 0.00% Unchanged
71 WEDBUSH SECURITIES INC 0.06% of their portfolio PASADENA, CA 15,00015.0k $1.5m $1.5m 0.06% Unchanged
72 REGIONS FINANCIAL CORP 0.00% of their portfolio BIRMINGHAM, AL 15,00015.0k $15.0k $15.0k 0.00% Unchanged
73 Mariner, LLC 0.00% of their portfolio Overland Park, KS 15,00015.0k $15.0k $15.0k 0.00% Unchanged
74 Transcendent Capital Group LLC 0.01% of their portfolio EDMOND, OK 15,00015.0k $15.0k $15.0k 0.01% Unchanged
75 WEALTH ENHANCEMENT ADVISORY SERVICES, LLC 0.00% of their portfolio PLYMOUTH, MN 14,00014.0k $14.1k $14.1k 0.00% New
76 Venture Visionary Partners LLC 0.00% of their portfolio Sylvania, OH 14,00014.0k $14.1k $14.1k 0.00% Unchanged
77 Private Advisor Group, LLC 0.00% of their portfolio MORRISTOWN, NJ 13,00013.0k $13.1k $13.1k 0.00% Unchanged
78 INSIGNEO ADVISORY SERVICES, LLC 0.00% of their portfolio MIAMI, FL 13,00013.0k $13.0k $13.0k 0.00% Unchanged
79 AlphaStar Capital Management, LLC 0.00% of their portfolio CORNELIUS, NC 11,00011.0k $11.0k $11.0k 0.00% New
80 Triumph Capital Management 0.00% of their portfolio DENVER, CO 11,00011.0k $11.1k $11.1k 0.00% Unchanged
81 PRINCIPAL SECURITIES, INC. 0.00% of their portfolio DES MOINES, IA 10,00010.0k $10.0k $10.0k 0.00% Unchanged
82 MCDONALD PARTNERS LLC 0.00% of their portfolio CLEVELAND, OH 10,00010.0k $10.0k $10.0k 0.00% Unchanged
83 Raymond James Financial Services Advisors, Inc. 0.00% of their portfolio ST. PETERSBURG, FL 10,00010.0k $10.0k $10.0k 0.00% Unchanged
84 WOOSTER CORTHELL WEALTH MANAGEMENT, INC. 0.00% of their portfolio GLASTONBURY, CT 10,00010.0k $10.1k $10.1k 0.00% Unchanged
85 Foundations Investment Advisors, LLC 0.00% of their portfolio PHOENIX, AZ 10,00010.0k $10.0k $10.0k 0.00% New
86 RDA Financial Network 0.00% of their portfolio AKRON, IA 10,00010.0k $10.0k $10.0k 0.00% Unchanged
87 Praetorian Wealth Management, Inc. 0.00% of their portfolio CARMEL, CA 10,00010.0k $10.0k $10.0k 0.00% Unchanged
88 CGN Advisors LLC 0.00% of their portfolio MANHATTAN, KS 10,00010.0k $10.0k $10.0k 0.00% Unchanged
89 LAFFER TENGLER INVESTMENTS, INC. 0.52% of their portfolio Scottsdale, AZ 2,5482.5k $2.6m $2.6m 0.52% Added +9 +9
90 OSAIC HOLDINGS, INC. 0.00% of their portfolio SCOTTSDALE, AZ 1,0001.0k $1.0k $1.0k 0.00% Unchanged
91 Activest Wealth Management 0.01% of their portfolio AVENTURA, FL 2525 $25.1k $25.1k 0.01% Unchanged
92 OSAIC HOLDINGS, INC. 0.00% of their portfolio SCOTTSDALE, AZ 1010 $10.0k $10.0k 0.00% Reduced -28 -28
93 CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.00% of their portfolio BIRMINGHAM, AL 00 $0 $0 0.00% Unchanged