Stock Transactions — PROSPECT CAP CORP

Total Bought
23,755,131
108 transactions
Total Sold
22,752,241
79 transactions
Net
+1,002,890
shares
Filing Period:Transaction:
FundPrevious Shares
Current Shares
▲▼
Change in Shares
▲▼
Previous Portfolio Weightage (%)
Current Portfolio Weightage (%)
▲▼
Change in Weight (%)
▲▼
Type
PRIVATE MANAGEMENT GROUP INC3,224,84913,535,291+10,310,4420.241.02+0.77buy
TWO SIGMA INVESTMENTS, LP6,532,76815,849,407+9,316,6390.030.03+0.01buy
UBS Group AG4,989,9865,473,368+483,3820.000.00-0.00buy
Legal & General Group Plc3,321,4773,640,665+319,1880.000.00+0.00buy
GENDELL JEFFREY L3,728,3194,009,902+281,5830.170.14-0.03buy
TWO SIGMA SECURITIES, LLC0268,208+268,2080.000.08+0.08buy
Ocean Park Asset Management, LLC0212,817+212,8170.000.03+0.03buy
Naviter Wealth, LLC384,219570,785+186,5660.130.19+0.06buy
Engineers Gate Manager LP135,240303,743+168,5030.000.01+0.01buy
COMMONWEALTH EQUITY SERVICES, LLC663,035800,310+137,2750.000.00+0.00buy
LPL Financial LLC821,147951,562+130,4150.000.00+0.00buy
Brevan Howard Capital Management LP127,007246,087+119,0800.010.01+0.00buy
Squarepoint Ops LLC284,895386,695+101,8000.000.00+0.00buy
IMC-Chicago, LLC0101,242+101,2420.000.00+0.00buy
JANE STREET GROUP, LLC489,749584,196+94,4470.000.00+0.00buy
M&T BANK CORP069,179+69,1790.000.00+0.00buy
Vident Advisory, LLC068,333+68,3330.000.00+0.00buy
Cambridge Investment Research Advisors, Inc.358,070425,133+67,0630.000.00+0.00buy
Permanens Capital L.P.066,180+66,1800.000.02+0.02buy
Clear Harbor Asset Management, LLC065,500+65,5000.000.01+0.01buy
Kovack Advisors, Inc.403,090468,541+65,4510.050.07+0.02buy
AREX Capital Management, LP065,000+65,0000.000.28+0.28buy
FAMILY WEALTH PARTNERS, LLC150,479212,817+62,3380.140.19+0.05buy
BFSG, LLC10,51072,844+62,3340.000.02+0.02buy
Cetera Investment Advisers255,522316,704+61,1820.000.00+0.00buy
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC27,48986,903+59,4140.000.00+0.00buy
AXQ CAPITAL, LP056,756+56,7560.000.02+0.02buy
SUSQUEHANNA INTERNATIONAL GROUP, LLP1,645,1591,701,769+56,6100.010.01-0.00buy
EVERGREEN CAPITAL MANAGEMENT LLC11,73467,139+55,4050.000.00+0.00buy
180 WEALTH ADVISORS, LLC346,097400,521+54,4240.100.12+0.02buy
Focus Partners Advisor Solutions, LLC155,322205,853+50,5310.000.01+0.00buy
GUGGENHEIM CAPITAL LLC156,832200,777+43,9450.000.00+0.00buy
HUNTINGTON NATIONAL BANK043,192+43,1920.000.00+0.00buy
ExodusPoint Capital Management, LP034,292+34,2920.000.00+0.00buy
Strategic Wealth Partners, Ltd.10,00040,308+30,3080.000.01+0.01buy
BRIAN LOW FINANCIAL GROUP, LLC10,00040,308+30,3080.020.07+0.05buy
GROUP ONE TRADING LLC84,342114,459+30,1170.010.01+0.00buy
RAYMOND JAMES FINANCIAL INC472,586499,760+27,1740.000.00+0.00buy
Modera Wealth Management, LLC026,334+26,3340.000.00+0.00buy
Apella Capital, LLC024,234+24,2340.000.00+0.00buy
ROYAL BANK OF CANADA56,82881,016+24,1880.000.00+0.00buy
Mariner, LLC12,52035,572+23,0520.000.00+0.00buy
HUB Investment Partners, LLC019,280+19,2800.000.00+0.00buy
HighTower Advisors, LLC013,959+13,9590.000.00+0.00buy
Berkeley Capital Partners, LLC013,426+13,4260.000.01+0.01buy
Concurrent Investment Advisors, LLC013,338+13,3380.000.00+0.00buy
NOMURA ASSET MANAGEMENT CO LTD012,614+12,6140.000.00+0.00buy
Stratos Wealth Partners, LTD.010,845+10,8450.000.00+0.00buy
Advisory Services Network, LLC08,492+8,4920.000.00+0.00buy
FOUNDATIONS INVESTMENT ADVISORS, LLC12,07520,506+8,4310.000.00+0.00buy
HARBOUR INVESTMENTS, INC.38,97545,861+6,8860.000.00-0.00buy
Private Advisor Group, LLC1,705,3761,711,638+6,2620.020.02+0.00buy
BARRETT & COMPANY, INC.32,27738,321+6,0440.030.03+0.01buy
Caitong International Asset Management Co., Ltd5,18010,914+5,7340.000.01+0.00buy
Claro Advisors LLC192,405197,405+5,0000.070.06-0.01buy
FIFTH THIRD BANCORP4,2008,251+4,0510.000.00+0.00buy
Massar Capital Management, LP23,18427,095+3,9110.010.01+0.00buy
Prospera Financial Services Inc54,12157,986+3,8650.000.00+0.00buy
Cresset Asset Management, LLC64,72868,090+3,3620.000.00+0.00buy
Schonfeld Strategic Advisors LLC10,82514,144+3,3190.000.00+0.00buy
Tactive Advisors, LLC578,837581,994+3,1570.440.43-0.01buy
MAI Capital Management13,25516,306+3,0510.000.00+0.00buy
PFG Investments, LLC15,59918,645+3,0460.000.00+0.00buy
Larson Financial Group LLC02,891+2,8910.000.00+0.00buy
EverSource Wealth Advisors, LLC1483,015+2,8670.000.00+0.00buy
Regal Investment Advisors LLC18,02220,788+2,7660.000.00+0.00buy
Wealthfront Advisers LLC49,09251,744+2,6520.000.00+0.00buy
TCFG WEALTH MANAGEMENT, LLC275,333277,914+2,5810.280.27-0.01buy
Kestra Advisory Services, LLC75,78278,173+2,3910.000.00-0.00buy
Inspire Advisors, LLC13,00315,288+2,2850.000.00+0.00buy
North Star Investment Management Corp.02,083+2,0830.000.00+0.00buy
Strategies Wealth Advisors, LLC36,56138,459+1,8980.010.01+0.00buy
SIGNATUREFD, LLC8,53610,291+1,7550.000.00+0.00buy
Significant Wealth Partners LLC13,78015,527+1,7470.040.05+0.01buy
GREAT VALLEY ADVISOR GROUP, INC.22,80223,983+1,1810.000.00+0.00buy
IFP Advisors, Inc22,38823,512+1,1240.000.00-0.00buy
Navalign, LLC10,42811,551+1,1230.010.01+0.00buy
AMERIPRISE FINANCIAL INC42,35543,478+1,1230.000.00+0.00buy
Next Level Private LLC20,03521,061+1,0260.010.01-0.00buy
Founders Capital Management4,0005,000+1,0000.010.01+0.00buy
Activest Wealth Management2,3003,300+1,0000.000.00+0.00buy
STEPHENS INC /AR/16,42117,421+1,0000.000.00+0.00buy
Kingsview Wealth Management, LLC18,89719,878+9810.000.00+0.00buy
Rockefeller Capital Management L.P.0939+9390.000.00+0.00buy
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC124,100125,024+9240.020.02+0.00buy
Wealthcare Advisory Partners LLC11,99912,622+6230.000.00+0.00buy
Crewe Advisors LLC2,8933,516+6230.000.00+0.00buy
Spire Wealth Management102,050102,608+5580.010.01+0.00buy
CREATIVE FINANCIAL DESIGNS INC /ADV10,40010,940+5400.000.00+0.00buy
West Branch Capital LLC5581,077+5190.000.00+0.00buy
Cherry Creek Investment Advisors, Inc.31,31631,716+4000.030.04+0.00buy
Parallel Advisors, LLC3,5863,977+3910.000.00+0.00buy
SILVERLAKE WEALTH MANAGEMENT LLC15,15315,483+3300.010.01-0.00buy
Avion Wealth4,8635,100+2370.000.00+0.00buy
AdvisorNet Financial, Inc4,2074,413+2060.000.00+0.00buy
Onyx Bridge Wealth Group LLC15,67215,872+2000.000.00+0.00buy
BLAIR WILLIAM & CO/IL45,70045,900+2000.000.00+0.00buy
ASSETMARK, INC0147+1470.000.00+0.00buy
J.W. COLE ADVISORS, INC.17,70217,785+830.000.00+0.00buy
Russell Investments Group, Ltd.061+610.000.00+0.00buy
Page 1 of 3