Stock Transactions — PROSPECT CAP CORP

Total Bought
7,391,395
126 transactions
Total Sold
4,205,998
89 transactions
Net
+3,185,397
shares
Filing Period:Transaction:
FundPrevious Shares
Current Shares
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Change in Shares
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Previous Portfolio Weightage (%)
Current Portfolio Weightage (%)
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Change in Weight (%)
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Type
Y.D. More Investments Ltd1,254,3195,062,879+3,808,5605.562.96-2.59buy
Rockefeller Capital Management L.P.0427,966+427,9660.000.01+0.01buy
TrueMark Investments, LLC0380,932+380,9320.000.72+0.72buy
VAN ECK ASSOCIATES CORP6,880,1617,248,573+368,4120.060.06-0.00buy
GRAHAM CAPITAL WEALTH MANAGEMENT, LLC0181,000+181,0000.000.24+0.24buy
XML Financial, LLC1,712,9381,891,268+178,3300.971.05+0.08buy
Creative Planning36,111175,953+139,8420.000.00+0.00buy
&PARTNERS0113,000+113,0000.000.00+0.00buy
PHILLIPS FINANCIAL MANAGEMENT, LLC0100,000+100,0000.010.01+0.00buy
Simplicity Wealth,LLC0100,000+100,0000.000.00+0.00buy
Y-Intercept (Hong Kong) Ltd095,843+95,8430.000.03+0.03buy
Drake & Associates, LLC090,000+90,0000.000.03+0.03buy
BRASS TAX WEALTH MANAGEMENT, INC090,000+90,0000.000.02+0.02buy
READYSTATE ASSET MANAGEMENT LP082,898+82,8980.000.02+0.02buy
Strategic Financial Concepts, LLC18,09998,459+80,3600.020.01-0.01buy
Apeiron RIA LLC080,000+80,0000.000.02+0.02buy
SUSQUEHANNA INTERNATIONAL GROUP, LLP079,745+79,7450.000.00+0.00buy
MORGAN STANLEY1,957,7032,035,637+77,9340.000.00+0.00buy
VIRTUS ADVISERS, LLC141,749206,391+64,6420.420.56+0.14buy
BI Asset Management Fondsmaeglerselskab A/S394,365450,087+55,7220.040.04-0.00buy
Centiva Capital, LP054,604+54,6040.000.01+0.01buy
COMMONWEALTH EQUITY SERVICES, LLC1,144,9871,199,197+54,2100.010.01-0.00buy
Spire Wealth Management19,02158,476+39,4550.000.01+0.01buy
HRT FINANCIAL LP53,66592,135+38,4700.000.00+0.00buy
Private Advisor Group, LLC033,838+33,8380.000.00+0.00buy
Kestra Advisory Services, LLC69,333100,029+30,6960.000.00+0.00buy
Verition Fund Management LLC029,847+29,8470.000.00+0.00buy
Advisory Services Network, LLC029,000+29,0000.000.00+0.00buy
OLD NATIONAL BANCORP /IN/024,811+24,8110.000.00+0.00buy
BNP PARIBAS FINANCIAL MARKETS43,61668,329+24,7130.000.00+0.00buy
DnB Asset Management AS319,056342,285+23,2290.010.01-0.00buy
Stratos Wealth Partners, LTD.022,755+22,7550.000.00+0.00buy
BALYASNY ASSET MANAGEMENT L.P.17,09139,249+22,1580.000.00+0.00buy
COMMONWEALTH OF PENNSYLVANIA PUBLIC SCHOOL EMPLS RETRMT SYS320,000340,000+20,0000.000.00+0.00buy
Waycross Investment Management Co020,000+20,0000.000.02+0.02buy
Virtu Financial LLC40,42359,165+18,7420.020.02+0.01buy
MIDLAND WEALTH ADVISORS LLC018,416+18,4160.000.01+0.01buy
Lido Advisors, LLC10,70027,905+17,2050.000.00+0.00buy
Focus Partners Advisor Solutions, LLC016,523+16,5230.000.00+0.00buy
STIFEL FINANCIAL CORP122,755137,352+14,5970.000.00+0.00buy
AE Wealth Management LLC014,473+14,4730.000.00+0.00buy
GOLDMAN SACHS GROUP INC29,57142,114+12,5430.000.00+0.00buy
D.A. DAVIDSON & CO.279,312291,437+12,1250.010.01+0.00buy
DARK FOREST CAPITAL MANAGEMENT LP34,58646,411+11,8250.030.05+0.01buy
Farther Finance Advisors, LLC011,520+11,5200.000.00+0.00buy
Kathmere Capital Management, LLC57,96769,462+11,4950.040.04+0.00buy
WELLS FARGO & COMPANY/MN265,761277,056+11,2950.000.00+0.00buy
AMERIPRISE FINANCIAL INC70,56981,812+11,2430.000.00+0.00buy
Triumph Capital Management011,000+11,0000.000.00+0.00buy
CAPTRUST FINANCIAL ADVISORS010,561+10,5610.000.00+0.00buy
Brevan Howard Capital Management LP010,288+10,2880.000.00+0.00buy
Ausdal Financial Partners, Inc.29,06939,166+10,0970.020.02+0.00buy
Prospera Financial Services Inc67,50075,942+8,4420.010.01+0.00buy
Catalyst Funds Management Pty Ltd08,400+8,4000.000.01+0.01buy
CANADA LIFE ASSURANCE Co294,706302,527+7,8210.000.00-0.00buy
JANE STREET GROUP, LLC103,422109,393+5,9710.000.00-0.00buy
FWG Investments, LLC.29,41334,955+5,5420.180.20+0.02buy
Cambridge Investment Research Advisors, Inc.308,000313,000+5,0000.000.00-0.00buy
Kovack Advisors, Inc.138,549143,414+4,8650.090.09-0.01buy
Palogic Value Management, L.P.218,875223,460+4,5850.520.52+0.00buy
GUGGENHEIM CAPITAL LLC67,72971,962+4,2330.000.00+0.00buy
Legal & General Group Plc3,330,2263,334,096+3,8700.010.01-0.00buy
MML INVESTORS SERVICES, LLC13,37317,094+3,7210.000.00+0.00buy
Silicon Valley Capital Partners03,017+3,0170.000.00+0.00buy
IFG Advisory, LLC33,19536,195+3,0000.010.01-0.00buy
Avior Wealth Management, LLC02,662+2,6620.000.00+0.00buy
NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO02,300+2,3000.000.00+0.00buy
Activest Wealth Management02,300+2,3000.000.00+0.00buy
HighTower Advisors, LLC116,952119,051+2,0990.000.00-0.00buy
State of Wyoming13,53815,571+2,0330.010.01+0.00buy
Redwood Wealth Management Group, LLC01,950+1,9500.000.01+0.01buy
Global Retirement Partners, LLC1,4053,151+1,7460.000.00+0.00buy
ROMAN BUTLER FULLERTON & CO43,76745,226+1,4590.090.08-0.01buy
HARBOUR INVESTMENTS, INC.37,10838,499+1,3910.010.01-0.00buy
COMERICA BANK24,00025,341+1,3410.000.00+0.00buy
Next Level Private LLC46,01147,110+1,0990.120.12+0.00buy
Strategies Wealth Advisors, LLC30,62131,680+1,0590.030.03-0.00buy
Inspire Advisors, LLC21,33322,371+1,0380.020.02+0.00buy
KESTRA PRIVATE WEALTH SERVICES, LLC241,601242,636+1,0350.030.03-0.00buy
Cadence Bank31,60632,636+1,0300.010.01+0.00buy
Sigma Planning Corp75,69176,695+1,0040.010.01+0.00buy
Janney Montgomery Scott LLC23,63324,601+9680.000.00+0.00buy
LEVEL FOUR ADVISORY SERVICES, LLC20,07021,025+9550.010.01-0.00buy
Regal Investment Advisors LLC23,55224,136+5840.010.01-0.00buy
PNC FINANCIAL SERVICES GROUP, INC.34,51635,068+5520.000.00-0.00buy
EdgeRock Capital LLC0505+5050.000.00+0.00buy
ASSETMARK, INC0500+5000.000.00+0.00buy
JONES FINANCIAL COMPANIES LLLP0462+4620.000.00+0.00buy
WMG Financial Advisors, LLC18,90019,350+4500.060.06-0.00buy
Kingsview Wealth Management, LLC16,53816,980+4420.000.00-0.00buy
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC18,82919,263+4340.000.00-0.00buy
Blue Trust, Inc.1431+4300.000.00+0.00buy
Cutter & CO Brokerage, Inc.11,70012,105+4050.020.02+0.00buy
BLAIR WILLIAM & CO/IL54,19554,600+4050.000.00-0.00buy
BARRETT & COMPANY, INC.43,95644,350+3940.110.11-0.00buy
NATIXIS33,00033,386+3860.000.00+0.00buy
Cherry Creek Investment Advisors, Inc.15,11115,434+3230.050.04-0.00buy
HHM Wealth Advisors, LLC5,3725,672+3000.000.00-0.00buy
EverSource Wealth Advisors, LLC160432+2720.000.00+0.00buy
BANK OF MONTREAL /CAN/35,20035,400+2000.000.00-0.00buy
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