Stock Transactions — PROSPECT CAP CORP

Total Bought
26,037,029
126 transactions
Total Sold
33,869,892
87 transactions
Net
-7,832,863
shares
Filing Period:Transaction:
FundPrevious Shares
Current Shares
▲▼
Change in Shares
▲▼
Previous Portfolio Weightage (%)
Current Portfolio Weightage (%)
▲▼
Change in Weight (%)
▲▼
Type
MILLENNIUM MANAGEMENT LLC1,465,6756,231,987+4,766,3120.000.01+0.01buy
GENDELL JEFFREY L03,166,215+3,166,2150.000.16+0.16buy
MARSHALL WACE, LLP3,907,0256,668,376+2,761,3510.010.02+0.01buy
SUSQUEHANNA INTERNATIONAL GROUP, LLP1,111,5263,736,232+2,624,7060.010.02+0.01buy
TWO SIGMA INVESTMENTS, LP2,049,7354,096,924+2,047,1890.010.02+0.01buy
TWO SIGMA ADVISERS, LP5,267,1006,773,200+1,506,1000.030.04+0.00buy
JANE STREET GROUP, LLC01,045,052+1,045,0520.000.00+0.00buy
CITADEL ADVISORS LLC0945,845+945,8450.000.00+0.00buy
VAN ECK ASSOCIATES CORP9,388,78010,255,640+866,8600.030.03-0.01buy
IMC-Chicago, LLC0539,210+539,2100.000.03+0.03buy
CAXTON ASSOCIATES LLP690,0591,176,623+486,5640.060.09+0.03buy
BlackRock, Inc.1,972,4682,370,085+397,6170.000.00-0.00buy
Palogic Value Management, L.P.367,397745,831+378,4340.490.87+0.38buy
SMH CAPITAL ADVISORS INC145,536438,847+293,3111.052.38+1.33buy
TUDOR INVESTMENT CORP ET AL2,322,1672,604,286+282,1190.060.05-0.01buy
Aquatic Capital Management LLC0279,072+279,0720.000.01+0.01buy
Virtu Financial LLC40,288313,952+273,6640.010.05+0.04buy
GROUP ONE TRADING LLC105,260372,522+267,2620.010.03+0.02buy
Virtus Investment Advisers, LLC424,478657,589+233,1110.460.52+0.06buy
GatePass Capital, LLC0204,800+204,8000.000.33+0.33buy
Qube Research & Technologies Ltd36,561227,359+190,7980.000.00+0.00buy
Focus Partners Advisor Solutions, LLC86,730261,539+174,8090.000.01+0.00buy
NORTHERN TRUST CORP327,411473,612+146,2010.000.00+0.00buy
Claro Advisors LLC27,165169,865+142,7000.010.07+0.05buy
Squarepoint Ops LLC89,263224,845+135,5820.000.00+0.00buy
Kovack Advisors, Inc.345,080480,638+135,5580.110.12+0.02buy
180 WEALTH ADVISORS, LLC83,839211,039+127,2000.040.07+0.03buy
DRW Securities, LLC136,429257,441+121,0120.030.04+0.01buy
Catalyst Capital Advisors LLC95,140200,742+105,6020.010.01+0.01buy
DnB Asset Management AS301,970401,659+99,6890.000.00+0.00buy
Vident Advisory, LLC089,003+89,0030.000.00+0.00buy
XTX Topco Ltd086,429+86,4290.000.01+0.01buy
CANADA LIFE ASSURANCE Co319,545393,598+74,0530.000.00-0.00buy
Tweedy, Browne Co LLC67,032139,622+72,5900.020.03+0.01buy
EXCHANGE TRADED CONCEPTS, LLC66,944139,531+72,5870.000.00+0.00buy
FAMILY WEALTH PARTNERS, LLC81,186137,260+56,0740.100.14+0.04buy
Tower Research Capital LLC (TRC)3,63555,597+51,9620.000.00+0.00buy
SIMPLEX TRADING, LLC051,642+51,6420.000.00+0.00buy
FIRST NATIONAL TRUST CO040,000+40,0000.000.03+0.03buy
Cetera Investment Advisers262,719302,455+39,7360.000.00-0.00buy
Engineers Gate Manager LP111,594147,902+36,3080.000.00+0.00buy
GUGGENHEIM CAPITAL LLC107,829139,970+32,1410.000.00+0.00buy
FIRST NATIONAL TRUST CO030,000+30,0000.000.03+0.03buy
Private Advisor Group, LLC1,516,4631,546,380+29,9170.030.02-0.01buy
JPMORGAN CHASE & CO22,47552,244+29,7690.000.00+0.00buy
INSIGNEO ADVISORY SERVICES, LLC029,290+29,2900.000.01+0.01buy
LPL Financial LLC854,917882,630+27,7130.000.00-0.00buy
Samalin Investment Counsel, LLC026,809+26,8090.000.03+0.03buy
Kohmann Bosshard Financial Services, LLC025,000+25,0000.000.00+0.00buy
Spire Wealth Management157,875182,514+24,6390.020.02-0.00buy
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC120,045142,545+22,5000.030.04+0.01buy
BARCLAYS PLC022,400+22,4000.000.00+0.00buy
Verition Fund Management LLC181,553202,253+20,7000.000.00-0.00buy
MAYPORT, LLC020,570+20,5700.000.01+0.01buy
CALTON & ASSOCIATES, INC.019,367+19,3670.000.01+0.01buy
AMERIFLEX GROUP, INC.019,100+19,1000.000.02+0.02buy
State of Alaska, Department of Revenue018,642+18,6420.000.00+0.00buy
Equitable Holdings, Inc.018,375+18,3750.000.00+0.00buy
AIGEN INVESTMENT MANAGEMENT, LP77,87596,210+18,3350.030.04+0.01buy
Beacon Financial Advisory LLC15,40631,185+15,7790.010.02+0.01buy
FIRST NATIONAL TRUST CO014,000+14,0000.000.01+0.01buy
STIFEL FINANCIAL CORP194,264205,475+11,2110.000.00-0.00buy
MERCER GLOBAL ADVISORS INC /ADV21,33232,262+10,9300.000.00-0.00buy
Global Retirement Partners, LLC15,20025,500+10,3000.000.00+0.00buy
Navalign, LLC010,071+10,0710.000.01+0.01buy
BNP PARIBAS FINANCIAL MARKETS495,334504,342+9,0080.000.00-0.00buy
ProShare Advisors LLC73,82981,823+7,9940.000.00+0.00buy
HARBOUR INVESTMENTS, INC.39,17346,550+7,3770.000.00-0.00buy
SIGNATUREFD, LLC5,17411,985+6,8110.000.00+0.00buy
Significant Wealth Partners LLC11,28317,947+6,6640.020.02+0.01buy
Headlands Technologies LLC11,83918,367+6,5280.000.00-0.00buy
ROYAL BANK OF CANADA53,57758,639+5,0620.000.00-0.00buy
Triumph Capital Management04,777+4,7770.000.00+0.00buy
Cerity Partners LLC15,40019,900+4,5000.000.00+0.00buy
OSAIC HOLDINGS, INC.169,208173,489+4,2810.000.00-0.00buy
Sunbelt Securities, Inc.25,08429,344+4,2600.010.01-0.00buy
Kestra Advisory Services, LLC72,05476,096+4,0420.000.00-0.00buy
FINANCIAL CONSULATE, INC03,878+3,8780.000.00+0.00buy
Atlantic Union Bankshares Corp03,800+3,8000.000.00+0.00buy
XML Financial, LLC644,604648,224+3,6200.180.15-0.03buy
Legacy Wealth Managment, LLC/ID6393,639+3,0000.000.00+0.00buy
KESTRA PRIVATE WEALTH SERVICES, LLC204,412206,898+2,4860.010.01-0.00buy
Optiver Holding B.V.02,435+2,4350.000.00+0.00buy
Rockefeller Capital Management L.P.02,038+2,0380.000.00+0.00buy
Point72 Europe (London) LLP01,924+1,9240.000.00+0.00buy
NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO8162,635+1,8190.000.00+0.00buy
PFG Investments, LLC13,86415,628+1,7640.000.00-0.00buy
Cadence Bank37,45939,174+1,7150.010.01-0.00buy
EverSource Wealth Advisors, LLC1171,809+1,6920.000.00+0.00buy
GABLES CAPITAL MANAGEMENT INC.01,200+1,2000.000.00+0.00buy
COMERICA BANK51,05152,096+1,0450.000.00-0.00buy
GREAT VALLEY ADVISOR GROUP, INC.20,66721,622+9550.000.00-0.00buy
IFP Advisors, Inc20,31921,266+9470.000.00-0.00buy
Creative Planning188,464189,336+8720.000.00-0.00buy
Next Level Private LLC32,37533,240+8650.030.03-0.01buy
Allworth Financial LP28,34829,160+8120.000.00-0.00buy
TD Waterhouse Canada Inc.0800+8000.000.00+0.00buy
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC33,69434,244+5500.000.00-0.00buy
Wealthcare Advisory Partners LLC10,85211,377+5250.000.00-0.00buy
CREATIVE FINANCIAL DESIGNS INC /ADV9,4059,861+4560.000.00-0.00buy
Page 1 of 3