Stock Transactions — PROSPECT CAP CORP

Total Bought
15,111,640
86 transactions
Total Sold
14,757,146
118 transactions
Net
+354,494
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
PRIVATE MANAGEMENT GROUP INC03,224,849+3,224,8490.000.24+0.24buy
TWO SIGMA INVESTMENTS, LP4,096,9246,532,768+2,435,8440.020.03+0.01buy
TWO SIGMA ADVISERS, LP6,773,2008,944,200+2,171,0000.040.05+0.01buy
UBS Group AG3,453,1784,989,986+1,536,8080.000.00+0.00buy
Point72 Asset Management, L.P.01,065,592+1,065,5920.000.00+0.00buy
GraniteShares Advisors LLC01,059,980+1,059,9800.001.67+1.67buy
Legal & General Group Plc2,727,9143,321,477+593,5630.000.00+0.00buy
GENDELL JEFFREY L3,166,2153,728,319+562,1040.160.17+0.01buy
MORGAN STANLEY2,930,1813,208,846+278,6650.000.00+0.00buy
Quantbot Technologies LP53,830263,010+209,1800.000.02+0.02buy
LeClair Wealth Partners LLC40,435239,118+198,6830.070.36+0.29buy
GSA CAPITAL PARTNERS LLP0174,627+174,6270.000.04+0.04buy
Private Advisor Group, LLC1,546,3801,705,376+158,9960.020.02-0.00buy
XTX Topco Ltd86,429221,995+135,5660.010.02+0.00buy
180 WEALTH ADVISORS, LLC211,039346,097+135,0580.070.10+0.03buy
GatePass Capital, LLC204,800306,150+101,3500.330.41+0.08buy
Jump Financial, LLC095,704+95,7040.000.00+0.00buy
Cambridge Investment Research Advisors, Inc.280,399358,070+77,6710.000.00+0.00buy
Alpine Global Management, LLC071,712+71,7120.000.04+0.04buy
Cresset Asset Management, LLC064,728+64,7280.000.00+0.00buy
Squarepoint Ops LLC224,845284,895+60,0500.000.00+0.00buy
Tower Research Capital LLC (TRC)55,597115,163+59,5660.000.01+0.00buy
Headlands Technologies LLC18,36774,777+56,4100.000.02+0.01buy
COMMONWEALTH EQUITY SERVICES, LLC610,515663,035+52,5200.000.00+0.00buy
OSAIC HOLDINGS, INC.173,489206,604+33,1150.000.00+0.00buy
HighPoint Advisor Group LLC028,406+28,4060.000.00+0.00buy
World Investment Advisors027,191+27,1910.000.00+0.00buy
RPO LLC025,568+25,5680.000.08+0.08buy
Sowell Financial Services LLC17,94543,337+25,3920.000.00+0.00buy
Tweedy, Browne Co LLC139,622162,953+23,3310.030.03+0.00buy
EXCHANGE TRADED CONCEPTS, LLC139,531162,859+23,3280.000.00-0.00buy
Massar Capital Management, LP023,184+23,1840.000.01+0.01buy
Claro Advisors LLC169,865192,405+22,5400.070.07-0.00buy
BlackRock, Inc.2,370,0852,387,587+17,5020.000.00-0.00buy
GUGGENHEIM CAPITAL LLC139,970156,832+16,8620.000.00+0.00buy
Onyx Bridge Wealth Group LLC015,672+15,6720.000.00+0.00buy
CANADA LIFE ASSURANCE Co393,598409,227+15,6290.000.00+0.00buy
WealthPLAN Partners, LLC015,430+15,4300.000.01+0.01buy
NewEdge Advisors, LLC1213,904+13,8920.000.00+0.00buy
FAMILY WEALTH PARTNERS, LLC137,260150,479+13,2190.140.14-0.00buy
BOOTHBAY FUND MANAGEMENT, LLC012,784+12,7840.000.00+0.00buy
Independent Advisor Alliance012,550+12,5500.000.00+0.00buy
FOUNDATIONS INVESTMENT ADVISORS, LLC012,075+12,0750.000.00+0.00buy
EVERGREEN CAPITAL MANAGEMENT LLC011,734+11,7340.000.00+0.00buy
Farther Finance Advisors, LLC1,45512,936+11,4810.000.00+0.00buy
Schonfeld Strategic Advisors LLC010,825+10,8250.000.00+0.00buy
Ground Swell Capital, LLC010,763+10,7630.000.06+0.06buy
BFSG, LLC010,510+10,5100.000.00+0.00buy
NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO2,63512,687+10,0520.000.00+0.00buy
Strategic Wealth Partners, Ltd.010,000+10,0000.000.00+0.00buy
CATALYST FINANCIAL PARTNERS LLC010,000+10,0000.000.00+0.00buy
BRIAN LOW FINANCIAL GROUP, LLC010,000+10,0000.000.02+0.02buy
Wealthfront Advisers LLC39,35249,092+9,7400.000.00+0.00buy
Newbridge Financial Services Group, Inc.07,157+7,1570.000.00+0.00buy
Creative Planning189,336196,067+6,7310.000.00-0.00buy
Commonwealth Retirement Investments LLC05,790+5,7900.000.00+0.00buy
FIFTH THIRD BANCORP04,200+4,2000.000.00+0.00buy
Caitong International Asset Management Co., Ltd1,4935,180+3,6870.000.00+0.00buy
TCFG WEALTH MANAGEMENT, LLC272,203275,333+3,1300.290.28-0.02buy
Lido Advisors, LLC85,73888,783+3,0450.000.00-0.00buy
Cadence Bank39,17441,184+2,0100.010.01-0.00buy
Strategies Wealth Advisors, LLC34,66536,561+1,8960.010.01-0.00buy
QUADRANT CAPITAL GROUP LLC3111,762+1,4510.000.00+0.00buy
MML INVESTORS SERVICES, LLC12,23813,505+1,2670.000.00-0.00buy
GREAT VALLEY ADVISOR GROUP, INC.21,62222,802+1,1800.000.00-0.00buy
IFP Advisors, Inc21,26622,388+1,1220.000.00-0.00buy
CoreCap Advisors, LLC01,009+1,0090.000.00+0.00buy
Kingsview Wealth Management, LLC17,91718,897+9800.000.00-0.00buy
Wealthcare Advisory Partners LLC11,37711,999+6220.000.00-0.00buy
CREATIVE FINANCIAL DESIGNS INC /ADV9,86110,400+5390.000.00-0.00buy
CWM, LLC18,24618,753+5070.000.00-0.00buy
IMG Wealth Management, Inc.0381+3810.000.00+0.00buy
Crewe Advisors LLC2,5272,893+3660.000.00+0.00buy
Navalign, LLC10,07110,428+3570.010.01-0.00buy
SILVERLAKE WEALTH MANAGEMENT LLC14,82415,153+3290.010.01-0.00buy
Avion Wealth4,6264,863+2370.000.00-0.00buy
AdvisorNet Financial, Inc4,0024,207+2050.000.00-0.00buy
Regal Investment Advisors LLC17,86718,022+1550.000.00-0.00buy
FWG Investments, LLC.14,81414,913+990.030.02-0.00buy
NATIXIS873934+610.000.00-0.00buy
PNC FINANCIAL SERVICES GROUP, INC.15,88415,928+440.000.00-0.00buy
Parvin Asset Management, LLC030+300.000.00+0.00buy
West Branch Capital LLC539558+190.000.00-0.00buy
West Financial Advisors, LLC287302+150.000.00+0.00buy
CITIGROUP INC010+100.000.00+0.00buy
FLAGSHIP HARBOR ADVISORS, LLC08+80.000.00+0.00buy
Smithfield Trust Co474700.000.000.00hold
MAI Capital Management13,25513,25500.000.00-0.00hold
LSV ASSET MANAGEMENT535,835535,83500.000.00-0.00hold
BESSEMER GROUP INC40,00040,00000.000.00-0.00hold
MONETA GROUP INVESTMENT ADVISORS LLC12,95312,95300.000.00-0.00hold
WESTWOOD HOLDINGS GROUP INC93,24693,24600.000.00+0.00hold
FIRST NATIONAL TRUST CO30,00030,00000.030.03-0.00hold
FIRST NATIONAL TRUST CO40,00040,00000.030.03-0.00hold
FIRST NATIONAL TRUST CO14,00014,00000.010.01-0.00hold
PRIVATE TRUST CO NA11,63911,63900.000.00-0.00hold
CIBC Private Wealth Group LLC1100.000.00-0.00hold
State of Alaska, Department of Revenue18,64218,64200.000.00-0.00hold
First National Bank of Mount Dora, Trust Investment Services15,30015,30000.010.01-0.00hold
DnB Asset Management AS401,659401,65900.000.00-0.00hold
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