DaveManuel.com · Institutional Ownership · Who Owns It
PROSPECT CAP CORP (PSEC)
Institutional ownership reported to the SEC as of Q2 2026, across 32 quarters.
206
Reporting holders
$217.9M
Reported value
1.1%
Calls
3.6%
Puts
-12
Holder change
Calls and puts are the parts of reported value carried in derivative lines rather than shares, and they point in opposite directions: a manager holding calls is positioned for the security, one holding puts against it - or hedging shares they already own, which is why index funds carry so many. Most sites add the two together and report one figure, which averages away the only interesting part.
Holders
| Filer | Value | Shares | Their book | Held | Change |
|---|---|---|---|---|---|
| PRIVATE MANAGEMENT GROUP INC | $47.4M | 20,534,804 | 1.25% | 3q | +51.7%+$16.2M |
| TWO SIGMA INVESTMENTS, LP | $32.5M | 14,082,619 | 0.02% | 14q | -11.1%-$4.1M |
| VAN ECK ASSOCIATES CORP | $22.4M | 9,685,724 | 0.01% | 31q | +32.7%+$5.5M |
| UBS Group AG | $15.3M | 6,633,748 | 0.00% | 31q | +21.2%+$2.7M |
| SUSQUEHANNA INTERNATIONAL GROUP, LLP | $10.5M incl. $5.3M options CALL+PUT | 2,246,915 | 0.00% | 31q | +32.0%+$2.6M |
| Legal & General Group Plc | $9.3M | 4,032,811 | 0.00% | 31q | +10.8%+$907.8K |
| GENDELL JEFFREY L | $9.3M | 4,009,902 | 0.08% | 4q | HELD |
| MARSHALL WACE, LLP | $7.1M | 3,067,650 | 0.01% | 5q | -35.4%-$3.9M |
| MORGAN STANLEY | $6.2M | 2,686,736 | 0.00% | 35q | +9.6%+$542.4K |
| INDEPENDENT FINANCIAL GROUP, LLC | $5.7M | 2,485,356 | 0.11% | 26q | -28.2%-$2.3M |
| BlackRock, Inc. | $3.3M | 1,441,035 | 0.00% | 8q | -8.4%-$303.6K |
| GraniteShares Advisors LLC | $2.5M | 1,094,360 | 1.63% | 3q | +15.1%+$330.9K |
| LPL Financial LLC | $2.1M | 919,558 | 0.00% | 31q | -3.4%-$73.9K |
| COMMONWEALTH EQUITY SERVICES, LLC | $1.8M | 762,756 | 0.00% | 31q | -4.7%-$86.7K |
| Cambridge Investment Research Advisors, Inc. | $1.7M | 732,596 | 0.00% | 31q | +72.3%+$710.1K |
| JANE STREET GROUP, LLC | $1.7M CALL+PUT | options only | 0.00% | 27q | OPTIONS |
| TUDOR INVESTMENT CORP ET AL | $1.6M | 709,303 | 0.00% | 6q | -51.3%-$1.7M |
| Naviter Wealth, LLC | $1.5M | 656,528 | 0.14% | 7q | +15.0%+$201.0K |
| SIMPLEX TRADING, LLC | $1.4M incl. $1.2M options CALL+PUT | 87,612 | 0.00% | 21q | HELD |
| CAXTON ASSOCIATES LLP | $1.4M | 592,554 | 0.03% | 6q | +343.8%+$1.1M |
| Tactive Advisors, LLC | $1.4M | 585,111 | 0.33% | 8q | +0.5%+$7.2K |
| 180 WEALTH ADVISORS, LLC | $1.3M | 580,986 | 0.13% | 6q | +45.1%+$416.9K |
| RAYMOND JAMES FINANCIAL INC | $1.2M | 509,901 | 0.00% | 7q | +2.0%+$23.4K |
| Kovack Advisors, Inc. | $1.1M | 491,576 | 0.05% | 17q | +4.9%+$53.4K |
| GROUP ONE TRADING LLC | $1.1M incl. $894.7K options CALL+PUT | 102,510 | 0.00% | 31q | -10.4%-$131.9K |
| CANADA LIFE ASSURANCE Co | $1.0M | 437,595 | 0.00% | 27q | +15.5%+$135.5K |
| GatePass Capital, LLC | $1.0M | 434,050 | 0.38% | 4q | +83.2%+$455.4K |
| Virtus Investment Advisers, LLC | $990.1K | 428,612 | 0.23% | 6q | +26.8%+$209.4K |
| CITADEL ADVISORS LLC | $921.1K incl. $890.7K options CALL+PUT | 13,139 | 0.00% | 31q | +7.7%+$65.5K |
| Concorde Asset Management, LLC | $838.0K | 357,400 | 0.48% | 6q | -0.7%-$6.0K |
| Brevan Howard Capital Management LP | $823.1K | 356,327 | 0.01% | 9q | +44.8%+$254.7K |
| TCFG Investment Advisors, LLC | $762.8K | 330,236 | 0.26% | 2q | +18.8%+$120.9K |
| Clear Harbor Asset Management, LLC | $752.0K | 325,525 | 0.05% | 2q | +397.0%+$600.7K |
| DNB Asset Management AS | $659.4K | 285,456 | 0.00% | 31q | -28.9%-$268.4K |
| Engineers Gate Manager LP | $652.5K | 282,483 | 0.01% | 6q | -7.0%-$49.1K |
| OSAIC HOLDINGS, INC. | $606.6K | 262,607 | 0.00% | 26q | +42.6%+$181.1K |
| LSV ASSET MANAGEMENT | $586.0K | 253,535 | 0.00% | 31q | -52.7%-$652.5K |
| Cetera Investment Advisers | $575.2K | 248,996 | 0.00% | 24q | -21.4%-$156.4K |
| FAMILY WEALTH PARTNERS, LLC | $558.1K | 241,586 | 0.17% | 8q | +13.5%+$66.5K |
| LeClair Wealth Partners LLC | $552.2K | 239,061 | 0.29% | new | NEW |
| IMC-Chicago, LLC | $533.6K incl. $324.6K options CALL+PUT | 90,476 | 0.00% | 4q | -10.6%-$63.5K |
| Focus Partners Advisor Solutions, LLC | $530.6K | 229,694 | 0.00% | 9q | +11.6%+$55.1K |
| KINGSWOOD WEALTH ADVISORS, LLC | $526.9K | 228,091 | 0.02% | new | NEW |
| GUGGENHEIM CAPITAL LLC | $509.6K | 220,616 | 0.00% | 31q | +9.9%+$45.8K |
| BANK OF AMERICA CORP /DE/ | $464.8K | 201,228 | 0.00% | 31q | -17.2%-$96.8K |
| ROYAL BANK OF CANADA | $462.0K | 199,998 | 0.00% | 31q | +146.9%+$274.9K |
| KESTRA PRIVATE WEALTH SERVICES, LLC | $449.9K | 194,761 | 0.00% | 24q | -2.8%-$13.0K |
| Claro Advisors Inc. | $445.1K | 192,700 | 0.05% | 15q | -2.4%-$10.9K |
| Squarepoint Ops LLC | $439.2K | 190,138 | 0.00% | 11q | -50.8%-$454.0K |
| STIFEL FINANCIAL CORP | $436.1K | 188,788 | 0.00% | 31q | +0.5%+$2.2K |
| Kestra Advisory Services, LLC | $377.6K | 163,473 | 0.00% | 24q | +109.1%+$197.0K |
| INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC | $362.7K | 156,345 | 0.02% | 26q | +25.1%+$72.7K |
| TRUIST FINANCIAL CORP | $355.6K | 153,940 | 0.00% | 27q | HELD |
| Tower Research Capital LLC (TRC) | $283.2K | 122,601 | 0.01% | 23q | +233.0%+$198.2K |
| BFSG, LLC | $271.2K | 117,381 | 0.02% | 3q | +61.1%+$102.9K |
| Mariner, LLC | $257.0K | 111,237 | 0.00% | 15q | +212.7%+$174.8K |
| Balyasny Asset Management L.P. | $254.0K | 109,969 | 0.00% | new | NEW |
| BI Asset Management Fondsmaeglerselskab A/S | $251.0K | 108,722 | 0.00% | 15q | -79.1%-$950.9K |
| Universal- Beteiligungs- und Servicegesellschaft mbH | $244.6K | 105,900 | 0.00% | 6q | HELD |
| BFC Planning, Inc. | $244.0K | 105,639 | 0.01% | 3q | HELD |
| Spire Wealth Management | $240.7K | 104,196 | 0.01% | 22q | +1.5%+$3.7K |
| Generali Investments CEE, investicni spolecnost, a.s. | $233.9K | 101,234 | 0.01% | 6q | HELD |
| WESTWOOD HOLDINGS GROUP INC | $215.4K | 93,246 | 0.00% | 20q | HELD |
| DRW Securities, LLC | $209.8K | 90,809 | 0.01% | 5q | -2.7%-$5.8K |
| Lido Advisors, LLC | $208.5K | 89,077 | 0.00% | 21q | +41.2%+$60.8K |
| Orion Porfolio Solutions, LLC | $206.0K | 89,180 | 0.00% | new | NEW |
| WEALTH ENHANCEMENT ADVISORY SERVICES, LLC | $190.5K | 84,292 | 0.00% | 12q | -3.0%-$5.9K |
| Arkadios Wealth Advisors | $181.2K | 78,425 | 0.00% | 23q | +117.0%+$97.7K |
| DENALI ADVISORS LLC | $179.1K | 77,540 | 0.02% | 8q | -8.3%-$16.2K |
| Summit Global Investments | $173.0K | 75,000 | 0.01% | 22q | HELD |
| Cresset Asset Management, LLC | $168.7K | 71,937 | 0.00% | 3q | +5.6%+$9.0K |
| J. Safra Sarasin Holding AG | $168.5K | 72,939 | 0.00% | new | NEW |
| Kathmere Capital Management, LLC | $160.5K | 69,462 | 0.01% | 27q | HELD |
| M&T Bank Corp | $159.8K | 69,179 | 0.00% | 2q | HELD |
| ProShare Advisors LLC | $159.4K | 69,007 | 0.00% | 14q | HELD |
| Headlands Technologies LLC | $143.0K | 61,887 | 0.02% | 7q | -6.4%-$9.7K |
| Prospera Financial Services Inc | $136.5K | 59,090 | 0.00% | 15q | +1.9%+$2.6K |
| Garden State Investment Advisory Services LLC | $136.4K | 59,040 | 0.02% | 15q | +1.1%+$1.5K |
| Strategic Wealth Partners, Ltd. | $127.8K | 55,306 | 0.01% | 3q | +37.2%+$34.6K |
| BRIAN LOW FINANCIAL GROUP, LLC | $127.8K | 55,306 | 0.07% | 3q | +37.2%+$34.6K |
| Wealthfront Advisers LLC | $121.7K | 52,683 | 0.00% | 11q | +1.8%+$2.2K |
| XML Financial, LLC | $120.5K | 52,149 | 0.01% | 26q | HELD |
| BNP PARIBAS FINANCIAL MARKETS | $113.2K | 48,995 | 0.00% | 15q | -67.8%-$238.4K |
| MAI Capital Management | $109.5K | 47,412 | 0.00% | 15q | +190.8%+$71.9K |
| Creative Planning | $108.2K | 46,845 | 0.00% | 31q | -74.3%-$313.0K |
| HUNTINGTON NATIONAL BANK | $105.1K | 45,496 | 0.00% | 2q | +5.3%+$5.3K |
| HARBOUR INVESTMENTS, INC. | $104.6K | 45,279 | 0.00% | 21q | -1.3%-$1.3K |
| RMR Wealth Builders | $103.8K | 44,938 | 0.01% | new | NEW |
| Csenge Advisory Group | $98.1K | 42,460 | 0.00% | 10q | HELD |
| BESSEMER GROUP INC | $96.0K | 41,549 | 0.00% | 14q | +3.9%+$3.6K |
| Strategies Wealth Advisors, LLC | $93.9K | 40,632 | 0.01% | 18q | +5.7%+$5.0K |
| WELLS FARGO & COMPANY/MN | $92.9K | 40,215 | 0.00% | 31q | -5.4%-$5.3K |
| Ethos Financial Group, LLC | $85.7K | 37,103 | 0.01% | 6q | -8.3%-$7.8K |
| Sigma Planning Corp | $84.7K | 36,685 | 0.00% | 31q | HELD |
| AMERIPRISE FINANCIAL INC | $82.8K | 34,599 | 0.00% | 31q | -20.4%-$21.3K |
| BARRETT & COMPANY, INC. | $78.9K | 34,137 | 0.02% | 16q | -10.9%-$9.7K |
| Foundations Investment Advisors, LLC | $78.7K | 34,070 | 0.00% | 3q | +66.1%+$31.3K |
| BLAIR WILLIAM & CO/IL | $77.2K | 33,400 | 0.00% | 23q | -27.2%-$28.9K |
| Cherry Creek Investment Advisors, Inc. | $73.3K | 31,741 | 0.03% | 17q | HELD |
| Retirement Planning Group, LLC | $68.9K | 29,817 | 0.00% | new | NEW |
Five percent filings
Anyone crossing 5% of a company must say so within days - far sooner than the next quarterly holdings report. A 13D declares an intent to influence the company; a 13G is the passive version. See all activist filings →
| Filed | Form | Filer | % of class |
|---|---|---|---|
| 2026-10-20 | 13D/A | Barry John F INDIVIDUALwith 1 co-filers | 25.2% |
What the insiders did
Open market purchases and sales reported on Form 4 in the last 180 days. Grants, option exercises and shares surrendered to cover tax are left out: they are compensation rather than a decision to buy or sell. Where a broker filled one order in tranches the lines are summed, because it was one decision.
Ten percent owners and entities
Usually an institution that crossed a reporting threshold, or a company taking a strategic stake, rather than an individual with a view.
| Date | Insider | Role | Side | Shares | Value |
|---|---|---|---|---|---|
| 2026-09-04 | Barry John F | CHIEF EXECUTIVE OFFICER | Bought | 1,217,105 | $2.7M |
| 2026-06-23 | Barry John F | CHIEF EXECUTIVE OFFICER | Bought | 1,067,648 | $2.4M ×2 |
| 2026-06-22 | Barry John F | CHIEF EXECUTIVE OFFICER | Bought | 1,000,000 | $2.2M |
| 2026-05-26 | Barry John F | CHIEF EXECUTIVE OFFICER | Bought | 433,000 | $1.0M ×2 |
| 2026-05-22 | Barry John F | CHIEF EXECUTIVE OFFICER | Bought | 232,000 | $538.5K ×3 |
| 2026-05-21 | Barry John F | CHIEF EXECUTIVE OFFICER | Bought | 200,000 | $451.8K ×2 |
Quarter by quarter
Coverage begins with the quarter ending 2018-12-31. Earlier filings exist only as occasional late amendments, too sparse to describe a market, so they are not shown.
| Quarter | Holders | Value | Shares | New | Added | Trimmed | Options |
|---|---|---|---|---|---|---|---|
| Q3 2026 | 66 | $12.9M | 6,211,946 | 17 | 15 | 12 | 0.0% |
| Q2 2026 | 206 | $217.9M | 89,867,500 | 29 | 80 | 51 | 4.7% |
| Q1 2026 | 218 | $231.5M | 85,828,530 | 26 | 79 | 53 | 3.2% |
| Q4 2025 | 225 | $220.0M | 82,729,917 | 33 | 56 | 77 | 2.5% |
| Q3 2025 | 227 | $246.4M | 81,621,659 | 31 | 85 | 60 | 8.9% |
| Q2 2025 | 225 | $218.3M | 65,582,552 | 24 | 86 | 62 | 4.5% |
| Q1 2025 | 226 | $251.3M | 58,538,308 | 27 | 90 | 54 | 4.5% |
| Q4 2024 | 244 | $228.6M | 44,864,359 | 35 | 80 | 63 | 15.2% |
| Q3 2024 | 232 | $236.5M | 37,659,882 | 28 | 75 | 59 | 14.7% |
| Q2 2024 | 236 | $249.5M | 39,899,396 | 32 | 79 | 52 | 11.1% |
| Q1 2024 | 239 | $280.2M | 41,394,270 | 26 | 78 | 76 | 9.7% |
| Q4 2023 | 252 | $337.0M | 40,185,991 | 36 | 89 | 57 | 21.3% |
| Q3 2023 | 239 | $273.7M | 33,616,898 | 22 | 89 | 40 | 16.9% |
| Q2 2023 | 244 | $259.9M | 32,626,488 | 25 | 83 | 55 | 12.9% |
| Q1 2023 | 258 | $255.9M | 30,451,088 | 37 | 72 | 57 | 8.2% |
| Q4 2022 | 250 | $261.7M | 31,005,764 | 34 | 78 | 56 | 8.8% |
| Q3 2022 | 221 | $825.9M | 129,981,403 | 21 | 68 | 56 | 2.4% |
| Q2 2022 | 224 | $1.2B | 174,458,885 | 37 | 80 | 39 | 0.9% |
| Q1 2022 | 207 | $1.4B | 164,789,395 | 28 | 63 | 54 | 0.9% |
| Q4 2021 | 217 | $1.5B | 171,266,240 | 30 | 66 | 54 | 0.9% |
| Q3 2021 | 187 | $970.2M | 124,368,711 | 16 | 71 | 43 | 1.3% |
| Q2 2021 | 197 | $801.1M | 94,020,094 | 35 | 58 | 57 | 1.6% |
| Q1 2021 | 181 | $759.9M | 97,454,850 | 20 | 56 | 51 | 1.8% |
| Q4 2020 | 197 | $463.0M | 83,975,432 | 22 | 52 | 63 | 1.9% |
| Q3 2020 | 188 | $1.6B | 311,018,524 | 20 | 54 | 55 | 0.5% |
| Q2 2020 | 190 | $708.4M | 136,371,512 | 23 | 58 | 55 | 1.7% |
| Q1 2020 | 205 | $952.3M | 222,273,379 | 28 | 52 | 75 | 0.9% |
| Q4 2019 | 218 | $523.9M | 78,404,025 | 22 | 68 | 62 | 3.6% |
| Q3 2019 | 207 | $565.7M | 82,823,570 | 25 | 47 | 72 | 3.5% |
| Q2 2019 | 212 | $524.6M | 76,251,888 | 28 | 59 | 61 | 5.1% |
| Q1 2019 | 218 | $484.2M | 70,705,236 | 17 | 58 | 70 | 4.8% |
| Q4 2018 | 241 | $1.5B | 230,044,729 | 7 | 2 | 8 | 3.2% |