PROSPECT CAPITAL CORPORATION

Ticker: PSEC CUSIP: 74348T102 Class: COM

Note: Option positions (PUT/CALL) are excluded.

InstitutionSharesValue ($000)
VAN ECK ASSOCIATES CORP9,644,408$25
TWO SIGMA ADVISERS, LP8,944,200$23,165
TWO SIGMA INVESTMENTS, LP6,532,768$16,920
MARSHALL WACE, LLP6,213,516$16,093
UBS Group AG4,989,986$12,924
GENDELL JEFFREY L3,728,319$9,656
Legal & General Group Plc3,321,477$8,652
PRIVATE MANAGEMENT GROUP INC3,224,849$8,352
MORGAN STANLEY3,208,846$8,311
MILLENNIUM MANAGEMENT LLC3,058,430$7,921
BlackRock, Inc.2,387,587$6,184
TUDOR INVESTMENT CORP ET AL2,248,632$5,824
Private Advisor Group, LLC1,705,376$4,417
SUSQUEHANNA INTERNATIONAL GROUP, LLP1,645,159$4,261
Point72 Asset Management, L.P.1,065,592$2,760
GraniteShares Advisors LLC1,059,980$2,745
LPL Financial LLC821,147$2,127
CAXTON ASSOCIATES LLP710,253$1,840
COMMONWEALTH EQUITY SERVICES, LLC663,035$1,717
Tactive Advisors, LLC578,837$1,499
LSV ASSET MANAGEMENT535,835$1
BI Asset Management Fondsmaeglerselskab A/S520,592$1
JANE STREET GROUP, LLC489,749$1,268
RAYMOND JAMES FINANCIAL INC472,586$1,224
Virtus Investment Advisers, LLC460,789$1,193
BNP PARIBAS ARBITRAGE, SA456,999$1,184
SMH CAPITAL ADVISORS INC426,473$1,105
NORTHERN TRUST CORP421,590$1,092
GREAT WEST LIFE ASSURANCE CO /CAN/409,227$1
Kovack Advisors, Inc.403,090$1,044
DnB Asset Management AS401,659$1,044
Naviter Wealth, LLC384,219$1,014
Cambridge Investment Research Advisors, Inc.358,070$1
180 WEALTH ADVISORS, LLC346,097$896
GatePass Capital, LLC306,150$793
Concorde Asset Management, LLC304,280$788
Squarepoint Ops LLC284,895$738
TCFG WEALTH MANAGEMENT, LLC275,333$713
Quantbot Technologies LP263,010$681
Cetera Investment Advisers255,522$662
BANK OF AMERICA CORP /DE/254,670$660
LeClair Wealth Partners LLC239,118$619
XTX Topco Ltd221,995$575
DRW Securities, LLC219,119$568
OSAIC HOLDINGS, INC.206,604$535
KESTRA PRIVATE WEALTH SERVICES, LLC201,682$522
Catalyst Capital Advisors LLC200,742$520
Creative Planning196,067$508
Claro Advisors Inc.192,405$498
STIFEL FINANCIAL CORP189,424$491
Verition Fund Management LLC177,706$460
GSA CAPITAL PARTNERS LLP174,627$0
Qube Research & Technologies Ltd174,452$452
Tweedy, Browne Co LLC162,953$422
EXCHANGE TRADED CONCEPTS, LLC162,859$422
GUGGENHEIM CAPITAL LLC156,832$406
Buckingham Strategic Partners155,322$402
TRUIST FINANCIAL CORP153,940$399
FAMILY WEALTH PARTNERS, LLC150,479$390
Engineers Gate Manager LP135,240$350
Brevan Howard Capital Management LP127,007$329
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC124,100$321
Tower Research Capital LLC (TRC)115,163$298
Universal- Beteiligungs- und Servicegesellschaft mbH105,900$274
Spire Wealth Management102,050$264
Generali Investments CEE, investicni spolecnost, a.s.101,234$262
Jump Financial, LLC95,704$248
WESTWOOD HOLDINGS GROUP INC93,246$242
Lido Advisors, LLC88,783$245
XML Financial, LLC87,115$226
DENALI ADVISORS LLC85,301$221
GROUP ONE TRADING, L.P.84,342$218
ProShare Advisors LLC77,247$200
Kestra Advisory Services, LLC75,782$196
Summit Global Investments75,000$0
Headlands Technologies LLC74,777$194
Alpine Global Management, LLC71,712$186
Kathmere Capital Management, LLC69,462$180
Garden State Investment Advisory Services LLC67,373$175
Cresset Asset Management, LLC64,728$171
Arta Finance Wealth Management LLC62,717$162
US BANCORP \DE\60,000$155
ROYAL BANK OF CANADA56,828$147
Prospera Financial Services Inc54,121$140
CITADEL ADVISORS LLC52,699$136
Wealthfront Advisers LLC49,092$127
Aigen Investment Management, LP45,826$119
BLAIR WILLIAM & CO/IL45,700$118
Sowell Financial Services LLC43,337$112
PHILADELPHIA TRUST CO43,200$0
WELLS FARGO & COMPANY/MN42,792$111
Csenge Advisory Group42,460$110
AMERIPRISE FINANCIAL INC42,355$110
Cadence Bank41,184$107
Garner Asset Management Corp40,515$105
Ethos Financial Group, LLC40,459$105
BESSEMER GROUP INC40,000$0
HARBOUR INVESTMENTS, INC.38,975$101
Sigma Planning Corp37,925$98
Strategies Wealth Advisors, LLC36,561$95
119 other institutions1,286,534$3,198
Total (219 institutions)81,244,104$179,845