Vault-13

PROSPECT CAP CORP PSEC 6.375 03.01.25

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

92 institutional holders -1 vs Q3 2024
13,999,02514.0m shares reported held*
$131.9mreported value*
11 new 9 added 9 reduced 15 sold out net bought ≈ $1.2m (+965.5k 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 ≈ $9.42.

Trends to Q4 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: 93Q4 24: 9292Q3 22Q1 23Q3 23Q1 24Q3 24Q4 24
Numbers
QuarterHolders
Q3 202272
Q4 202271
Q1 202370
Q2 202376
Q3 202379
Q4 202384
Q1 202495
Q2 2024100
Q3 202493
Q4 202492

Buyers vs sellers

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

Bought or addedCut or sold out
40040Q1 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 24Q3 24: 18 bought or addedQ3 24: 23 cut or sold outQ4 24: 20 bought or addedQ4 24: 24 cut or sold outQ4 24
Numbers
QuarterBought or addedCut or sold out
Q1 20232119
Q2 20231813
Q3 20231913
Q4 20232016
Q1 20242917
Q2 20242624
Q3 20241823
Q4 20242024

Biggest buyers

Radcliffe Capital Management, L.P. Added +5,836,000+5.8m
Kestra Advisory Services, LLC New +673,000+673.0k
ROYAL BANK OF CANADA Added +612,000+612.0k
Sowell Financial Services LLC New +341,000+341.0k
COMMONWEALTH EQUITY SERVICES, LLC Added +122,000+122.0k
COMMONWEALTH OF PENNSYLVANIA PUBLIC SCHOOL EMPLS RETRMT SYS Added +110,000+110.0k
Jaffetilchin Investment Partners, LLC New +106,000+106.0k
PHILLIPS FINANCIAL MANAGEMENT, LLC New +100,000+100.0k
LPL Financial LLC Added +65,000+65.0k
NewEdge Advisors, LLC New +58,000+58.0k

Biggest sellers

Lombard Odier Asset Management (Europe) Ltd Sold out -3,613,000-3.6m
VICTORY CAPITAL MANAGEMENT INC Reduced -2,560,000-2.6m
&PARTNERS Reduced -158,000-158.0k
Windsor Capital Management, LLC Reduced -118,000-118.0k
Simplicity Wealth,LLC Sold out -100,000-100.0k
PHILLIPS FINANCIAL MANAGEMENT, LLC Sold out -100,000-100.0k
Apeiron RIA LLC Sold out -80,000-80.0k
WELLS FARGO & COMPANY/MN Reduced -41,000-41.0k
Aveo Capital Partners, LLC Reduced -35,000-35.0k
AVANTAX ADVISORY SERVICES, INC. Reduced -33,000-33.0k

Holders, Q4 2024

#ManagerLocationShares Value% of their portfolioChangeShares change
1 Radcliffe Capital Management, L.P. 2.22% of their portfolio BALA CYNWYD, PA 19,662,00019.7m $19.5m $19.5m 2.22% Added +5.8m +5,836,000
2 SCHRODER INVESTMENT MANAGEMENT GROUP 0.01% of their portfolio London, X0 11,211,00011.2m $11.1m $11.1m 0.01% Unchanged
3 Windsor Capital Management, LLC 1.35% of their portfolio Phoenix, AZ 4,569,0004.6m $4.5m $4.5m 1.35% Reduced -118.0k -118,000
4 Catalyst Capital Advisors LLC 0.09% of their portfolio San Juan, PR 4,079,0004.1m $4.1m $4.1m 0.09% Unchanged
5 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 3,633,0003.6m $3.6m $3.6m 0.00% Added +612.0k +612,000
6 EUBEL BRADY & SUTTMAN ASSET MANAGEMENT INC 0.43% of their portfolio Miamisburg, OH 3,272,0003.3m $3.2m $3.2m 0.43% Unchanged
7 Amundi 0.00% of their portfolio Paris, I0 2,800,0002.8m $2.8m $2.8m 0.00% Unchanged
8 PIPER SANDLER & CO. 1.96% of their portfolio MINNEAPOLIS, MN 2,544,0002.5m $2.6m $2.6m 1.96% Unchanged
9 VICTORY CAPITAL MANAGEMENT INC 0.00% of their portfolio San Antonio, TX 2,351,0002.4m $2.3m $2.3m 0.00% Reduced -2.6m -2,560,000
10 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 1,111,0001.1m $1.1m $1.1m 0.00% Added +23.0k +23,000
11 COMMONWEALTH EQUITY SERVICES, LLC 0.00% of their portfolio WALTHAM, MA 810,000810.0k $802.0k $802.0k 0.00% Added +122.0k +122,000
12 Sculati Wealth Management, LLC 0.31% of their portfolio Bloomfield Hills, MI 779,000779.0k $773.2k $773.2k 0.31% Unchanged
13 Kestra Advisory Services, LLC 0.36% of their portfolio AUSTIN, TX 673,000673.0k $66.6m $66.6m 0.36% New
14 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 570,000570.0k $567.9k $567.9k 0.00% Reduced -41.0k -41,000
15 Carnegie Investment Counsel 0.02% of their portfolio PEPPER PIKE, OH 570,000570.0k $565.7k $565.7k 0.02% Unchanged
16 SCHOLTZ & COMPANY, LLC 0.25% of their portfolio STAMFORD, CT 520,000520.0k $518.2k $518.2k 0.25% Unchanged
17 COMMONWEALTH OF PENNSYLVANIA PUBLIC SCHOOL EMPLS RETRMT SYS 0.00% of their portfolio HARRISBURG, PA 450,000450.0k $445.5k $445.5k 0.00% Added +110.0k +110,000
18 Sowell Financial Services LLC 0.02% of their portfolio NORTH LITTLE ROCK, AR 341,000341.0k $338.4k $338.4k 0.02% New
19 Clearstead Advisors, LLC 0.01% of their portfolio CLEVELAND, OH 330,000330.0k $329.4k $329.4k 0.01% Reduced -20.0k -20,000
20 Cambridge Investment Research Advisors, Inc. 0.00% of their portfolio FAIRFIELD, IA 318,000318.0k $315.0k $315.0k 0.00% Reduced -20.0k -20,000
21 LPL Financial LLC 0.00% of their portfolio FORT MILL, SC 306,000306.0k $303.7k $303.7k 0.00% Added +65.0k +65,000
22 AFG FIDUCIARY SERVICES LIMITED PARTNERSHIP 0.21% of their portfolio HINGHAM, MA 295,000295.0k $291.8k $291.8k 0.21% Unchanged
23 STIFEL FINANCIAL CORP 0.00% of their portfolio ST. LOUIS, MO 235,620235.6k $235.6k $235.6k 0.00% Added +26.5k +26,495
24 Cetera Investment Advisers 0.00% of their portfolio SCHAUMBURG, IL 230,000230.0k $227.7k $227.7k 0.00% Unchanged
25 AEGON USA Investment Management, LLC 0.16% of their portfolio CEDAR RAPIDS, IA 217,000217.0k $214.8k $214.8k 0.16% Unchanged
26 AssuredPartners Investment Advisors, LLC 0.04% of their portfolio Tampa, FL 206,000206.0k $204.5k $204.5k 0.04% First filing
27 OPINICUS CAPITAL, INC. 0.17% of their portfolio TAMPA, FL 200,000200.0k $198.5k $198.5k 0.17% Reduced -10.0k -10,000
28 Sigma Planning Corp 0.01% of their portfolio ANN ARBOR, MI 175,000175.0k $173.2k $173.2k 0.01% Unchanged
29 GRAHAM CAPITAL WEALTH MANAGEMENT, LLC 0.15% of their portfolio WASHINGTON, DC 171,000171.0k $169.3k $169.3k 0.15% Unchanged
30 AVANTAX ADVISORY SERVICES, INC. 0.00% of their portfolio DALLAS, TX 160,000160.0k $158.4k $158.4k 0.00% Reduced -33.0k -33,000
31 RAYMOND JAMES FINANCIAL INC 0.00% of their portfolio ST. PETERSBURG, FL 110,000110.0k $108.9k $108.9k 0.00% First filing
32 Jaffetilchin Investment Partners, LLC 0.01% of their portfolio TAMPA, FL 106,000106.0k $105.2k $105.2k 0.01% New
33 PHILLIPS FINANCIAL MANAGEMENT, LLC 0.01% of their portfolio FORT WAYNE, IN 100,000100.0k $99.0k $99.0k 0.01% New
34 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.00% of their portfolio MILWAUKEE, WI 96,00096.0k $95.0k $95.0k 0.00% Unchanged
35 SSI INVESTMENT MANAGEMENT LLC 0.01% of their portfolio Los Angeles, CA 92,00092.0k $91.1k $91.1k 0.01% Unchanged
36 Stratos Wealth Advisors, LLC 0.00% of their portfolio BEACHWOOD, OH 90,00090.0k $89.3k $89.3k 0.00% Unchanged
37 Aveo Capital Partners, LLC 0.01% of their portfolio ENGLEWOOD, CO 87,00087.0k $86.3k $86.3k 0.01% Reduced -35.0k -35,000
38 Goodman Financial Corp 0.02% of their portfolio HOUSTON, TX 86,00086.0k $85.3k $85.3k 0.02% Unchanged
39 HOHIMER WEALTH MANAGEMENT, LLC 0.01% of their portfolio SEATTLE, WA 75,00075.0k $74.2k $74.2k 0.01% Unchanged
40 NewEdge Advisors, LLC 0.00% of their portfolio NEW ORLEANS, LA 58,00058.0k $57.6k $57.6k 0.00% New
41 Cyndeo Wealth Partners, LLC 0.00% of their portfolio ST. PETERSBURG, FL 56,00056.0k $55.4k $55.4k 0.00% Added +32.0k +32,000
42 MWA Asset Management 0.03% of their portfolio DANVERS, MA 53,00053.0k $52.5k $52.5k 0.03% Unchanged
43 BARCLAYS PLC 0.00% of their portfolio LONDON, X0 50,00050.0k $49.8k $49.8k 0.00% Unchanged
44 BLAIR WILLIAM & CO/IL 0.00% of their portfolio CHICAGO, IL 50,00050.0k $49.5k $49.5k 0.00% Unchanged
45 Wealthspire Retirement, LLC 0.00% of their portfolio ALISO VIEJO, CA 49,00049.0k $49.6k $49.6k 0.00% Unchanged
46 OneDigital Investment Advisors LLC 0.00% of their portfolio OVERLAND PARK, KS 45,00045.0k $44.7k $44.7k 0.00% Unchanged
47 Centurion Wealth Management LLC 0.01% of their portfolio Mclean, VA 45,00045.0k $45.5k $45.5k 0.01% New
48 &PARTNERS 0.00% of their portfolio NASHVILLE, TN 44,00044.0k $43.6k $43.6k 0.00% Reduced -158.0k -158,000
49 U.S. Capital Wealth Advisors, LLC 0.00% of their portfolio AUSTIN, TX 40,00040.0k $39.6k $39.6k 0.00% Unchanged
50 Argyle Capital Partners, LLC 0.03% of their portfolio LOS ANGELES, CA 39,00039.0k $39.5k $39.5k 0.03% First filing
51 Lineweaver Wealth Advisors, LLC 0.01% of their portfolio VALLEY VIEW, OH 35,00035.0k $34.6k $34.6k 0.01% Unchanged
52 SUTTON PLACE INVESTORS LLC 0.02% of their portfolio ARMONK, NY 35,00035.0k $35.5k $35.5k 0.02% Unchanged
53 GOLDMAN SACHS GROUP INC 0.00% of their portfolio NEW YORK, NY 32,00032.0k $31.7k $31.7k 0.00% Unchanged
54 FORTRESS PRIVATE LEDGER, LLC 0.02% of their portfolio RALEIGH, NC 32,00032.0k $31.8k $31.8k 0.02% First filing
55 Bison Wealth, LLC 0.01% of their portfolio Atlanta, GA 30,00030.0k $29.7k $29.7k 0.01% Unchanged
56 Executive Wealth Management, LLC 0.00% of their portfolio BRIGHTON, MI 27,00027.0k $26.8k $26.8k 0.00% Unchanged
57 BOKF, NA 0.00% of their portfolio TULSA, OK 25,00025.0k $24.7k $24.7k 0.00% Unchanged
58 HARBOUR INVESTMENTS, INC. 0.00% of their portfolio MADISON, WI 25,00025.0k $24.8k $24.8k 0.00% Unchanged
59 Sunbelt Securities, Inc. 0.00% of their portfolio HOUSTON, TX 25,00025.0k $24.8k $24.8k 0.00% Unchanged
60 OmniStar Financial Group, Inc. 0.02% of their portfolio Wilmington, NC 25,00025.0k $24.8k $24.8k 0.02% Unchanged
61 NFSG Corp 0.01% of their portfolio BOCA RATON, FL 25,00025.0k $24.8k $24.8k 0.01% Unchanged
62 CoreCap Advisors, LLC 0.00% of their portfolio SOUTHFIELD, MI 25,00025.0k $24.8k $24.8k 0.00% Unchanged
63 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 24,00024.0k $23.8k $23.8k 0.00% Added +2.0k +2,000
64 DIMENSION CAPITAL MANAGEMENT LLC 0.00% of their portfolio Coral Gables, FL 22,50022.5k $22.4k $22.4k 0.00% Unchanged
65 AMERIPRISE FINANCIAL INC 0.00% of their portfolio MINNEAPOLIS, MN 20,00020.0k $19.8k $19.8k 0.00% New
66 Mesirow Financial Investment Management, Inc. 0.00% of their portfolio CHICAGO, IL 20,00020.0k $19.8k $19.8k 0.00% Unchanged
67 Wealthspire Advisors, LLC 0.00% of their portfolio NEW YORK, NY 20,00020.0k $20.3k $20.3k 0.00% Unchanged
68 Bright Futures Wealth Management, LLC. 0.02% of their portfolio WEBSTER, NY 14580, NY 20,00020.0k $19.8k $19.8k 0.02% Unchanged
69 PREVAIL INNOVATIVE WEALTH ADVISORS, LLC 0.01% of their portfolio LEAWOOD, KS 19,00019.0k $18.9k $18.9k 0.01% Unchanged
70 Patriot Financial Group Insurance Agency, LLC 0.00% of their portfolio Westborough, MA 17,00017.0k $16.9k $16.9k 0.00% Unchanged
71 180 WEALTH ADVISORS, LLC 0.00% of their portfolio FEDERAL WAY, WA 17,00017.0k $16.8k $16.8k 0.00% New
72 AXXCESS WEALTH MANAGEMENT, LLC 0.00% of their portfolio CARLSBAD, CA 16,00016.0k $15.8k $15.8k 0.00% Unchanged
73 WEDBUSH SECURITIES INC 0.05% of their portfolio PASADENA, CA 15,00015.0k $1.5m $1.5m 0.05% Unchanged
74 REGIONS FINANCIAL CORP 0.00% of their portfolio BIRMINGHAM, AL 15,00015.0k $14.8k $14.8k 0.00% Unchanged
75 Mariner, LLC 0.00% of their portfolio Overland Park, KS 15,00015.0k $14.8k $14.8k 0.00% Unchanged
76 Transcendent Capital Group LLC 0.01% of their portfolio EDMOND, OK 15,00015.0k $14.8k $14.8k 0.01% Unchanged
77 Post Resch Tallon Group Inc. 0.01% of their portfolio PITTSFORD, NY 15,00015.0k $14.9k $14.9k 0.01% First filing
78 WEALTH ENHANCEMENT ADVISORY SERVICES, LLC 0.00% of their portfolio PLYMOUTH, MN 14,00014.0k $13.9k $13.9k 0.00% Unchanged
79 World Investment Advisors 0.00% of their portfolio LINCROFT, NJ 14,00014.0k $14.2k $14.2k 0.00% New
80 Venture Visionary Partners LLC 0.00% of their portfolio Sylvania, OH 14,00014.0k $13.9k $13.9k 0.00% New
81 Private Advisor Group, LLC 0.00% of their portfolio MORRISTOWN, NJ 13,00013.0k $12.9k $12.9k 0.00% Unchanged
82 INSIGNEO ADVISORY SERVICES, LLC 0.00% of their portfolio MIAMI, FL 13,00013.0k $12.9k $12.9k 0.00% Unchanged
83 AlphaStar Capital Management, LLC 0.00% of their portfolio CORNELIUS, NC 11,00011.0k $10.9k $10.9k 0.00% Unchanged
84 PRINCIPAL SECURITIES, INC. 0.00% of their portfolio DES MOINES, IA 10,00010.0k $9.9k $9.9k 0.00% Unchanged
85 MCDONALD PARTNERS LLC 0.00% of their portfolio CLEVELAND, OH 10,00010.0k $9.9k $9.9k 0.00% New
86 WOOSTER CORTHELL WEALTH MANAGEMENT, INC. 0.00% of their portfolio GLASTONBURY, CT 10,00010.0k $10.1k $10.1k 0.00% Unchanged
87 Foundations Investment Advisors, LLC 0.00% of their portfolio PHOENIX, AZ 10,00010.0k $9.9k $9.9k 0.00% Unchanged
88 RDA Financial Network 0.00% of their portfolio AKRON, IA 10,00010.0k $9.9k $9.9k 0.00% Unchanged
89 YANKCOM Partnership 0.00% of their portfolio Yankton, SD 2,0002.0k $2.0k $2.0k 0.00% First filing
90 Activest Wealth Management 0.01% of their portfolio AVENTURA, FL 2525 $25.3k $25.3k 0.01% Unchanged
91 OSAIC HOLDINGS, INC. 0.00% of their portfolio SCOTTSDALE, AZ 1010 $9.9k $9.9k 0.00% Unchanged
92 CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.00% of their portfolio BIRMINGHAM, AL 00 $0 $0 0.00% Unchanged