SecurityPSEC / Prospect Capital Corp. (74348T102)
Institutional Owners233
Institutional Shares50,652,841
Institutional Value$ 4,496,897,000 USD
Related 74348TAQ5 / Prospect Capital Corp. 4.75% Bond due 2020-04-15
74348TAR3 / Prospect Capital Corp. 4.95% Bond due 2022-07-15
74348TAK8 / Prospect Capital Corp. 5.375% Bond due 2017-10-15
74348TAD4 / Prospect Capital Corp. 5.5% Bond due 2016-08-15
74348TAL6 / Prospect Capital Corp. 5.75% Bond due 2018-03-15
74348TAM4 / Prospect Capital Corp. 5.875% Bond due 2019-01-15
74348TAC6 / Prospect Capital Corp. 6.25% Bond
PBB / Prospect Capital Corp. 6.25% Bond due 2024-06-15

Institutional Stock Ownership and Shareholders

PSEC / Prospect Capital Corp. Institutional Ownership

Prospect Capital Corp. (NASDAQ:PSEC) has 233 institutional investors and shareholders that have filed 13D/G or 13F forms with the Securities Exchange Commission (SEC). These institutions hold a total of 50,652,841 shares. Largest shareholders include Muzinich & Co., Inc., Lsv Asset Management, Invesco Ltd., BlackRock Group LTD, Van Eck Associates Corp, UBS Group AG, Pomelo Capital LLC, Deutsche Bank Ag\, Morgan Stanley, and AHL Partners LLP.
Prospect Capital Corp. (NASDAQ:PSEC) ownership structure shows current positions in the company by institutions and funds, as well as latest changes in position size. Major shareholders can include individual investors, mutual funds, hedge funds, or institutions. The Schedule 13D indicates that the investor holds more than 5% of the company and intends to actively pursue a change in business strategy. Schedule 13G indicates a passive investment of over 5%. Green rows indicate new positions. Red rows indicate closed positions. Click the link icon to see the full transaction history.

File DateFormInvestor Opt Prev
Shares
Current
Shares
Change
(Percent)
Prev Value
($1000)
Current Value
($1000)
Change
(Percent)
2018-07-20 13F-HR Steward Partners Investment Advisory, Llc 0 115 0 1
2018-08-14 13F-HR FLAGSHIP HARBOR ADVISORS, LLC 4,041 27
2018-08-09 13F-HR Timber Hill LLC 50,315 32,015 -36.37 330 215 -34.85
2018-08-07 13F-HR SG Americas Securities, LLC 65,909 51,222 -22.28 432 344 -20.37
2018-07-09 13F-HR Polaris Wealth Advisers, LLC 1,650 0 -100.00 11 0 -100.00
2018-08-02 13F-HR Atlantic Trust Group, LLC 1,000 0 -100.00 7 0 -100.00
2018-07-26 13F-HR REGIONS FINANCIAL CORP 100 0 -100.00 1 0 -100.00
2018-08-22 13F-HR McAdam, LLC 10 0
2018-08-13 13F-HR GROUP ONE TRADING, L.P. Put 371,200 753,600 103.02 2,431 5,057 108.02
2018-05-09 13F-HR OPTIMUM INVESTMENT ADVISORS 46,000 46,000 0.00 310 301 -2.90
2018-08-13 13F-HR OXFORD ASSET MANAGEMENT 34,173 230
2018-07-31 13F-HR Sumitomo Mitsui Asset Management Company, LTD 320,413 304,247 -5.05 2,098 2,041 -2.72
2018-08-03 13F-HR COMMONWEALTH OF PENNSYLVANIA PUBLIC SCHOOL EMPLS RETRMT SYS 602,673 0 -100.00 3,948 0 -100.00
2018-08-13 13F-HR/A Robeco Institutional Asset Management B.V. 80,048 80,048 0.00 524 537 2.48
2018-08-14 13F-HR Lido Advisors, LLC 32,985 32,985 0.00 216 221 2.31
2017-02-10 13F-HR BlackRock Group LTD 1,652,598 2,301,545 39.27 13,386 19,218 43.57
2018-08-14 13F-HR BARCLAYS PLC 5,573 1,640 -70.57 37 11 -70.27
2018-07-18 13F-HR Prospera Financial Services 56,600 60,600 7.07 374 409 9.36
2018-07-12 13F-HR Community Bank, N.A. 268 268 0.00 2 2 0.00
2018-08-08 13F-HR Hanson McClain, Inc. 800 800 0.00 5 5 0.00
2018-07-09 13F-HR Advocacy Wealth Management Services, LLC 5,100 5,100 0.00 33 34 3.03
2018-08-15 13F-HR CALIFORNIA PUBLIC EMPLOYEES RETIREMENT SYSTEM 744,900 712,000 -4.42 4,879 4,778 -2.07
2018-07-26 13F-HR Moloney Securities Asset Management, LLC 44,751 35,819 -19.96 293 240 -18.09
2018-08-13 13F-HR Allianz Asset Management AG 821,698 241,145 -70.65 5,383 1,618 -69.94
2018-08-07 13F-HR Essex Financial Services, Inc. 21,453 26,781 24.84 141 180 27.66
2018-07-12 13F-HR WEBSTER BANK, N. A. 4,800 4,800 0.00 31 32 3.23
2018-08-03 13F-HR Seacrest Wealth Management, Llc 1,000 1,000 0.00 7 7 0.00
2018-08-14 13F-HR UBS Group AG 1,940,098 1,992,895 2.72 12,708 13,372 5.23
2018-07-12 13F-HR Norway Savings Bank 100 100 0.00 1 1 0.00
2018-08-13 13F-HR NORTHERN OAK WEALTH MANAGEMENT INC 1,389 789 -43.20 9 5 -44.44
2018-08-13 13F-HR WOLVERINE TRADING, LLC Call 35,700 35,700 0.00 234 234 0.00
2018-08-14 13F-HR HighTower Advisors, LLC 64,802 10,840 -83.27 427 73 -82.90
2018-04-16 13F-HR IFC Holdings Incorporated/FL 32,196 0 -100.00 215 0 -100.00
2018-05-09 13F-HR MESSNER & SMITH THEME VALUE INVESTMENT MANAGEMENT LTD /CA/ 151,049 0 -100.00 1,019 0 -100.00
2018-08-14 13F-HR Cetera Advisors LLC 71,390 67,534 -5.40 471 454 -3.61
2018-08-01 13F-HR Smh Capital Advisors Inc 147,852 148,921 0.72 968 999 3.20
2018-08-02 13F-HR Price Capital Management, Inc. 103,705 696
2018-07-30 13F-HR SIMPLEX TRADING, LLC Call 105 12 -88.57 1 8 700.00
2018-08-13 13F-HR NORDEA INVESTMENT MANAGEMENT AB 211,100 211,100 0.00 1,383 1,416 2.39
2018-08-14 13F-HR ROYAL BANK OF CANADA 116,982 115,271 -1.46 767 773 0.78
2018-08-03 13F-HR SEI INVESTMENTS CO 15,082 5,942 -60.60 99 40 -59.60
2018-08-10 13F-HR Regal Investment Advisors LLC 31,452 24,867 -20.94 206 167 -18.93
2018-07-06 13F-HR Xr Securities Llc Call 13,800 1
2018-05-04 13F-HR Financial Gravity Companies, Inc. 23,247 804 -96.54 150 5 -96.67
2018-08-10 13F-HR Legal & General Group Plc 1,349,919 1,413,874 4.74 8,849 9,494 7.29
2018-08-14 13F-HR BOSTON PRIVATE WEALTH LLC 34,000 28,000 -17.65 223 188 -15.70
2018-08-14 13F-HR Alpha Omega Wealth Management LLC 76,278 76,686 0.53 500 515 3.00
2018-05-11 13F-HR CITIGROUP INC Put 25,500 17,600 -30.98 172 115 -33.14
2018-07-31 13F-HR EAGLE GLOBAL ADVISORS LLC 79,180 79,180 0.00 519 531 2.31
2018-07-25 13F-HR BNP PARIBAS ARBITRAGE, SA 1,295 1,295 0.00 8,482 8,689 2.44
2018-08-01 13F-HR Sumitomo Mitsui Trust Holdings, Inc. 20,942 18,841 -10.03 137 126 -8.03
2018-08-09 13F-HR GSA CAPITAL PARTNERS LLP 184,390 247,784 34.38 1,208 1,663 37.67
2018-08-14 13F-HR FIRST FOUNDATION ADVISORS 53,947 53,947 0.00 353 362 2.55
2018-08-10 13F-HR ENVESTNET ASSET MANAGEMENT INC 28,737 24,552 -14.56 181 165 -8.84
2017-08-18 13F-HR WFG Advisors, LP 356,592 371,436 4.16 3,224 3,016 -6.45
2018-07-30 13F-HR SIMPLEX TRADING, LLC Put 274 251 -8.39 30 168 460.00
2018-08-14 13F-HR BARCLAYS PLC Call 14,700 16,100 9.52 96 108 12.50
2018-08-14 13F-HR TWO SIGMA SECURITIES, LLC 21,722 19,899 -8.39 142 134 -5.63
2018-08-14 13F-HR SUNTRUST BANKS INC 88,800 44,400 -50.00 580 297 -48.79
2018-08-14 13F-HR D. E. Shaw & Co., Inc. 0 257,623 0 1,728
2018-08-13 13F-HR PRUDENTIAL FINANCIAL INC 15,500 15,500 0.00 102 104 1.96
2018-08-14 13F-HR/A Quinn Opportunity Partners LLC 718,900 723,900 0.70 4,709 4,857 3.14
2018-07-13 13F-HR ATRIA INVESTMENTS LLC 45,969 54,727 19.05 301 367 21.93
2018-08-14 13F-HR/A CITADEL ADVISORS LLC 1,017,052 129,107 -87.31 6,662 866 -87.00
2018-08-06 13F-HR Boston Common Asset Management, LLC 15,048 15,048 0.00 99 101 2.02
2018-08-14 13F-HR STIFEL FINANCIAL CORP 131,106 126,675 -3.38 869 848 -2.42
2018-08-10 13F-HR GREAT WEST LIFE ASSURANCE CO /CAN/ 89,131 92,752 4.06 585 623 6.50
2018-08-13 13F-HR FIRST REPUBLIC INVESTMENT MANAGEMENT, INC. 421,564 492,324 16.79 2,761 3,304 19.67
2018-07-23 13F-HR NewSquare Capital LLC 1,204 0 -100.00 8 0 -100.00
2018-08-31 13F-HR Chicago Partners Investment Group LLC 3,000 3,000 0.00 20 20 0.00
2018-08-14 13F-HR Cetera Advisor Networks LLC 72,213 55,513 -23.13 479 370 -22.76
2018-08-01 13F-HR Nvwm, Llc 10,000 0 -100.00 66 0 -100.00
2018-07-20 13F-HR Creative Planning 125,041 51,991 -58.42 819 349 -57.39
2018-07-09 13F-HR CENTRAL TRUST Co 161 161 0.00 1 1 0.00
2018-08-14 13F-HR Prime Capital Investment Advisors, Llc 20,340 22,730 11.75 133 153 15.04
2018-08-20 13F-HR GREEN SQUARE CAPITAL LLC 73,102 110,746 51.50 483 743 53.83
2018-08-14 13F-HR AMERIPRISE FINANCIAL INC 107,441 110,539 2.88 704 742 5.40
2018-07-30 13F-HR/A Virtu Financial LLC 31,443 77,564 146.68 206 520 152.43
2018-08-10 13F-HR HSBC HOLDINGS PLC 0 13,127 0 88
2018-07-31 13F-HR Commonwealth Equity Services, Llc. 930,040 804,790 -13.47 6,091 5,400 -11.34
2018-07-31 13F-HR CWM, LLC 144 1
2018-08-13 13F-HR WOLVERINE TRADING, LLC 26,071 26,071 0.00 171 171 0.00
2018-08-14 13F-HR AE Wealth Management LLC 10,388 70
2017-05-01 13F-HR Spot Trading L.L.C Put 9,100 82
2018-08-02 13F-HR D.A. DAVIDSON & CO. 36,109 32,942 -8.77 237 221 -6.75
2018-08-14 13F-HR Squarepoint Ops LLC 16,831 0 -100.00 110 0 -100.00
2017-05-16 13F-HR FIRST FINANCIAL EQUITY CORPORATION 133,182 1,203
2018-08-14 13F-HR ARES MANAGEMENT LLC 279,288 279,288 0.00 1,829 1,874 2.46
2018-08-01 13F-HR Taylor Frigon Capital Management LLC 131,608 123,398 -6.24 862 828 -3.94
2018-08-09 13F-HR BlackRock Inc. 1,852,656 1,508,442 -18.58 12,135 10,122 -16.59
2018-08-06 13F-HR FTB Advisors, Inc. 2,000 2,000 0.00 13 13 0.00
2018-08-14 13F-HR DEUTSCHE BANK AG\ 1,285,422 1,759,117 36.85 8,419 11,802 40.18
2018-05-11 13F-HR CITIGROUP INC 20,921 25,561 22.18 141 167 18.44
2018-08-03 13F-HR Financial Architects, Inc 7,000 7,000 0.00 46 47 2.17
2018-08-14 13F-HR TWO SIGMA INVESTMENTS LLC 639,383 784,220 22.65 4,188 5,262 25.64
2018-02-15 13F-HR Bb&t Investment Services, Inc. 13 13 0.00 0 0
2018-08-08 13F-HR Nissay Asset Management Corp /japan/ /adv 256,015 409,086 59.79 1,677 2,745 63.69
2018-07-30 13F-HR Raymond James Financial Services Advisors, Inc. 200,966 197,195 -1.88 1,316 1,323 0.53
2018-08-14 13F-HR Sound Income Strategies, Llc 8,739 8,739 0.00 57 59 3.51
2018-08-09 13F-HR Standard Life Aberdeen Plc 75,000 504
2018-09-17 13F-HR Strategic Wealth Advisors Group,Inc. 223,897 0 -100.00 1,466 0 -100.00
2018-08-14 13F-HR Arete Wealth Advisors, LLC 28,980 28,980 0.00 190 194 2.11
2018-08-15 13F-HR JANE STREET GROUP, LLC 37,304 0 -100.00 244 0 -100.00
2018-08-15 13F-HR GLENMEDE TRUST CO NA 925 15 -98.38 6 0 -100.00
2018-05-14 13F-HR Muzinich & Co., Inc. 7,608,498 7,467,712 -1.85 51,281 48,914 -4.62
2018-08-13 13F-HR Archford Capital Strategies, LLC 61,761 61,381 -0.62 420 412 -1.90
2018-02-16 13F-HR/A Commonwealth Equity Services, Inc 749,097 795,541 6.20 6,083 5,346 -12.12
2018-07-11 13F-HR Gierl Augustine Investment Management Inc 58 60 3.45 0 0
2018-08-06 13F-HR RPG Investment Advisory, LLC 229,040 255 -99.89 1,501 1 -99.93
2018-09-18 13F-HR/A NORTHERN TRUST CORP 188,896 176,656 -6.48 1,238 1,186 -4.20
2018-08-13 13F-HR Certified Advisory Corp 600 600 0.00 3 4 33.33
2018-08-14 13F-HR Pomelo Capital LLC Put 2,109,200 1,829,900 -13.24 13,880 12,279 -11.53
2018-08-14 13F-HR Walleye Trading LLC Call 500 400 -20.00 3 3 0.00
2018-08-14 13F-HR Moors & Cabot, Inc. 10,210 10,237 0.26 67 69 2.99
2018-07-30 13F-HR Ballew Advisors, Inc 3,533 3,813 7.93 23 26 13.04
2017-08-11 13F-HR BancorpSouth Inc 25,000 20,000 -20.00 226 162 -28.32
2018-08-14 13F-HR SUSQUEHANNA INTERNATIONAL GROUP, LLP Put 1,122,500 985,000 -12.25 7,352 6,609 -10.11
2018-08-10 13F-HR PNC FINANCIAL SERVICES GROUP, INC. 36,831 8,831 -76.02 241 60 -75.10
2018-08-02 13F-HR Sigma Planning Corp 110,818 119,693 8.01 726 803 10.61
2018-08-14 13F-HR WOLVERINE ASSET MANAGEMENT LLC 44,272 297
2018-08-22 13F-HR/A Advisors Asset Management, Inc. 484,741 264,060 -45.53 3,219 1,772 -44.95
2018-08-13 13F-HR Vantage Investment Advisors, LLC 1,091 1,120 2.66 7 8 14.29
2018-07-17 13F-HR Kistler-Tiffany Companies, LLC 1,334 1,334 0.00 9 9 0.00
2018-08-10 13F-HR WASHINGTON TRUST Co 5,000 34
2018-04-18 13F-HR Integral Derivatives, LLC Call 42,000 12,400 -70.48 283 81 -71.38
2018-08-14 13F-HR ADVISORY RESEARCH INC 341,020 324,444 -4.86 2,234 2,177 -2.55
2018-08-14 13F-HR SUSQUEHANNA FUNDAMENTAL INVESTMENTS, LLC 204,500 203,000 -0.73 1,339 1,362 1.72
2018-07-30 13F-HR Aperio Group, LLC 48,696 61,707 26.72 319 414 29.78
2018-08-13 13F-HR ADVANTAGE INVESTMENT MANAGEMENT, LLC 0 17,030 0 114
2018-08-10 13F-HR UNITED SERVICES AUTOMOBILE ASSOCIATION 534,000 5,934 -98.89 3,498 1,910 -45.40
2018-08-10 13F-HR CITIGROUP INC Call 18,200 33,400 83.52 119 224 88.24
2018-07-06 13F-HR DnB Asset Management AS 174,400 192,200 10.21 1,142,320 1,289,662 12.90
2018-08-14 13F-HR Jacobi Capital Management LLC 2,400 3,900 62.50 16 26 62.50
2018-08-13 13F-HR WEALTHSOURCE PARTNERS, LLC 18,600 0 -100.00 168 0 -100.00
2018-07-31 13F-HR TDAM USA INC. 22,500 22,500 0.00 147 151 2.72
2018-08-06 13F-HR RHUMBLINE ADVISERS 27,013 0 -100.00 177 0 -100.00
2018-07-23 13F-HR FARMERS & MERCHANTS INVESTMENTS INC 500 0 -100.00 3 0 -100.00
2018-08-01 13F-HR WELLS FARGO & COMPANY/MN 127,318 118,883 -6.63 834 797 -4.44
2018-08-14 13F-HR Her Majesty the Queen in Right of the Province of Alberta as represented by Alberta Investment Management Corp 96,101 131,100 36.42 629 880 39.90
2018-07-11 13F-HR TRUST CO OF VERMONT 500 500 0.00 3 3 0.00
2018-08-14 13F-HR/A CITADEL ADVISORS LLC Put 45,700 189,700 315.10 299 1,273 325.75
2018-04-18 13F-HR Usadvisors Wealth Management, Llc 24,300 0 -100.00 164 0 -100.00
2018-08-10 13F-HR Cutler Group LP Call 4,000 2,500 -37.50 0 0
2018-08-03 13F-HR Barnett & Company, Inc. 0 2,655 0 18
2018-08-09 13F-HR Penn Mutual Life Insurance Co 378,000 0 -100.00 2,476 0 -100.00
2018-07-31 13F-HR Sheaff Brock Investment Advisors, LLC 139,901 140,792 0.64 916 945 3.17
2018-07-27 13F-HR SHUFRO ROSE & CO LLC 13,602 13,500 -0.75 89 91 2.25
2018-08-08 13F-HR Independent Advisor Alliance 35,007 56,159 60.42 284 0 -100.00
2018-08-14 13F-HR Pomelo Capital LLC 68,600 40,340 -41.20 449 271 -39.64
2018-08-15 13F-HR LADENBURG THALMANN FINANCIAL SERVICES INC 361,703 361,703 0.00 2,368 2,368 0.00
2018-07-24 13F-HR Squar Milner Financial Services Llc 5,000 34
2018-08-13 13F-HR MML INVESTORS SERVICES, LLC 46,010 28,143 -38.83 301 189 -37.21
2018-07-09 13F-HR DAVENPORT & Co LLC 59,855 59,555 -0.50 392,050 400 -99.90
2018-08-01 13F-HR CFO4Life Group, LLC 11,676 11,676 0.00 76 78 2.63
2018-08-13 13F-HR HONKAMP KRUEGER FINANCIAL SERVICES INC /ADV 18,000 0 -100.00 118 0 -100.00
2018-08-08 13F-HR LINCOLN NATIONAL CORP 11,200 75
2018-08-28 13F-HR WealthTrust Fairport, LLC 112 101 -9.82 1 1 0.00
2018-02-14 13F-HR GLG Partners LP 22,600 152
2018-07-26 13F-HR Advisornet Financial, Inc 2,803 2,868 2.32 18 19 5.56
2018-08-13 13F-HR GROUP ONE TRADING, L.P. Call 301,400 828,200 174.78 1,974 5,557 181.51
2018-08-14 13F-HR Financial Gravity Wealth, Inc. 804 828 2.99 5 6 20.00
2018-07-27 13F-HR Eqis Capital Management, Inc. 72,704 67,594 -7.03 476 454 -4.62
2018-08-06 13F-HR HL FINANCIAL SERVICES LLC 11,800 15,300 29.66 77 103 33.77
2018-08-13 13F-HR BLAIR WILLIAM & CO/IL 13,000 13,000 0.00 85 87 2.35
2018-08-14 13F-HR MACQUARIE GROUP LTD 160,841 197,441 22.76 1,054 1,325 25.71
2018-07-19 13F-HR Callahan Advisors, LLC 12,400 12,400 0.00 81 83 2.47
2018-05-15 13F-HR LUCUS ADVISORS LLC 48,335 34,382 -28.87 326 225 -30.98
2018-08-13 13F-HR Bayesian Capital Management, LP 51,700 0 -100.00 339 0 -100.00
2018-08-15 13F-HR PVG ASSET MANAGEMENT CORP 152,203 123,891 -18.60 996,930 831 -99.92
2018-08-09 13F-HR Private Advisor Group, LLC 34,906 0 -100.00 229 0 -100.00
2018-08-03 13F-HR Morningstar Investment Services LLC 13,682 13,682 0.00 90 92 2.22
2018-07-16 13F-HR SMITHFIELD TRUST CO 6,135 6,135 0.00 40 41 2.50
2018-08-14 13F-HR BARCLAYS PLC Put 10,900 8,000 -26.61 71 54 -23.94
2018-07-19 13F-HR HUNTINGTON NATIONAL BANK 500 500 0.00 3 3 0.00
2018-08-09 13F-HR Aviance Capital Partners, LLC 16,236 15,336 -5.54 106 102 -3.77
2018-08-14 13F-HR Walleye Trading LLC 16,700 9,839 -41.08 109 66 -39.45
2018-07-13 13F-HR Minichmacgregor Wealth Management, Llc 1,149 1,149 0.00 7 7 0.00
2018-07-13 13F-HR BANK OF MONTREAL /CAN/ 45,500 45,500 0.00 298 305 2.35
2018-08-10 13F-HR Cutler Group LP 0 5,183 0 34
2018-04-16 13F-HR SII INVESTMENTS INC/WI 65,716 0 -100.00 442 0 -100.00
2018-07-13 13F-HR First National Bank of Mount Dora, Trust Investment Services 12,900 12,900 0.00 84 87 3.57
2018-08-14 13F-HR MORGAN STANLEY 1,824,736 1,670,146 -8.47 11,952 11,207 -6.23
2017-07-27 13F-HR Spot Trading L.l.c. Call 28,400 231
2018-08-16 13F-HR Global X Management CO LLC 39,761 41,993 5.61 260 282 8.46
2018-08-03 13F-HR THOMPSON DAVIS & CO., INC. 250 250 0.00 2 2 0.00
2018-08-14 13F-HR CREDIT SUISSE AG/ 14,177 0 -100.00 93 0 -100.00
2018-02-14 13F-HR AHL Partners LLP 224,197 1,533,477 583.99 1,507 10,336 585.87
2017-08-15 13F-HR Americafirst Quantitative Trust - Americafirst Defensive Growth & Income Portfolio, Series 2 46,566 378
2018-08-13 13F-HR WOLVERINE TRADING, LLC Put 82,900 82,900 0.00 543 543 0.00
2018-07-13 13F-HR MCKINLEY CAPITAL MANAGEMENT LLC /DELAWARE 828,509 858,363 3.60 5,427 5,760 6.14
2018-08-07 13F-HR IFP Advisors, Inc 45,018 50,732 12.69 295 340 15.25
2018-08-15 13F-HR Highlander Capital Management, LLC 39,000 39,000 0.00 257 262 1.95
2018-08-03 13F-HR Dean Capital Investments Management, Llc 79,014 530
2018-08-13 13F-HR VAN ECK ASSOCIATES CORP 2,052,603 2,149,984 4.74 13,445 14,426 7.30
2018-08-13 13F-HR Global Retirement Partners, Llc 950 0 -100.00 6 0 -100.00
2018-08-08 13F-HR First Allied Advisory Services, Inc. 51,898 47,743 -8.01 341 320 -6.16
2018-08-14 13F-HR Lee Financial CORP 305 2
2018-08-13 13F-HR Stratos Wealth Partners, LTD. 17,386 20,414 17.42 114 137 20.18
2018-08-15 13F-HR/A TIEDEMANN WEALTH MANAGEMENT, LLC 11,000 11,000 0.00 73 75 2.74
2018-08-08 13F-HR WESBANCO BANK INC 15,917 15,917 0.00 104 107 2.88
2018-07-05 13F-HR Clarus Wealth Advisors 6,845 45
2018-08-14 13F-HR LPL Financial LLC 381,447 416,778 9.26 2,498 2,797 11.97
2017-07-27 13F-HR Spot Trading L.l.c. Put 1,300 11
2018-08-14 13F-HR TWO SIGMA ADVISERS, LP 272,243 324,387 19.15 1,783 2,177 22.10
2018-08-09 13F-HR CIBC Asset Management Inc 14,050 15,549 10.67 92 104 13.04
2017-05-01 13F-HR Spot Trading L.L.C Call 28,400 257
2018-08-10 13F-HR Cambridge Investment Research Advisors, Inc. 345,670 334,065 -3.36 2,264 2,242 -0.97
2018-08-14 13F-HR Gotham Asset Management, LLC 30,909 0 -100.00 202 0 -100.00
2018-08-06 13F-HR MARKSTON INTERNATIONAL LLC 400 400 0.00 3 3 0.00
2018-08-14 13F-HR ELLINGTON MANAGEMENT GROUP LLC 109,600 0 -100.00 718 0 -100.00
2018-07-24 13F-HR Janney Montgomery Scott LLC 22,204 23,688 6.68 145 159 9.66
2018-08-14 13F-HR Vanguard Capital Wealth Advisors 120,400 130,890 8.71 783,804 878 -99.89
2018-09-20 13F-HR Rehmann Capital Advisory Group 3,974 4,082 2.72 26 27,387 105,234.62
2018-08-10 13F-HR Krasney Financial LLC 2,018 14
2018-08-16 13F-HR Feltz WealthPLAN Inc. 84,961 68,366 -19.53 556 459 -17.45
2018-08-14 13F-HR SUSQUEHANNA INTERNATIONAL GROUP, LLP 675,924 638,985 -5.46 4,427 4,288 -3.14
2017-11-16 13F-HR AMERICAFIRST CAPITAL MANAGEMENT, LLC 46,566 0 -100.00 378 0 -100.00
2018-08-14 13F-HR MILLENNIUM MANAGEMENT LLC 152,894 1,026,816 571.59 1,001 6,890 588.31
2018-08-01 13F-HR Khp Capital, Llc 1,204 1,204 0.00 8,000 8,000 0.00
2018-07-27 13F-HR Advisory Services Network, LLC 7,574 7,631 0.75 50 53 6.00
2018-08-01 13F-HR SYNOVUS FINANCIAL CORP 1,800 5,500 205.56 12 37 208.33
2018-04-24 13F-HR Allegis Investment Advisors, LLC 33,984 33,982 -0.01 229 223 -2.62
2018-08-09 13F-HR PineBridge Investments, L.P. 137,459 135,574 -1.37 900 909 1.00
2018-08-14 13F-HR TRUSTMARK NATIONAL BANK TRUST DEPARTMENT 107,865 107,865 0.00 707 724 2.40
2018-08-14 13F-HR CREDIT SUISSE AG/ Put 13,600 0 -100.00 89 0 -100.00
2018-05-11 13F-HR CITIGROUP INC Call 56,700 18,200 -67.90 382 119 -68.85
2018-05-15 13F-HR National Asset Management, Inc. 29,397 29,520 0.42 199 194 -2.51
2018-08-03 13F-HR WEDBUSH SECURITIES INC 87,589 105,648 20.62 574 709 23.52
2018-07-17 13F-HR Edge Wealth Management LLC 1,000 1,000 0.00 7 7 0.00
2018-07-09 13F-HR Capital Investment Advisors, LLC 13,968 13,968 0.00 91 94 3.30
2018-07-17 13F-HR FOX RUN MANAGEMENT, L.L.C. 0 29,835 0 200
2018-08-13 13F-HR Parisi Gray Wealth Management 2,400 2,400 0.00 16 16 0.00
2017-05-09 13F-HR BEACON TRUST CO 12,000 12,000 0.00 100 112 12.00
2018-08-14 13F-HR BlueCrest Capital Management Ltd 12,782 17,269 35.10 84 116 38.10
2018-05-11 13F-HR Delpha Capital Management, Llc 773 0 -100.00 5 0 -100.00
2018-08-14 13F-HR Brasada Capital Management, Lp 1,000 1,000 0.00 7 7 0.00
2018-08-08 13F-HR CIBC World Markets Inc. 118,725 110,543 -6.89 778 742 -4.63
2018-08-08 13F-HR US BANCORP \DE\ 310,876 310,600 -0.09 2,036 2,085 2.41
2018-08-14 13F-HR Centaurus Financial, Inc. 95,233 639
2018-08-10 13F-HR OPPENHEIMER & CO INC 32,793 30,793 -6.10 215 206 -4.19
2018-08-14 13F-HR Sage Capital Advisors,llc 88,622 82,227 -7.22 580 552 -4.83
2018-08-14 13F-HR Man Group plc 433,638 246,023 -43.27 2,840 1,651 -41.87
2018-08-14 13F-HR FIFTH THIRD BANCORP 800 800 0.00 5 5 0.00
2018-08-14 13F-HR/A CITADEL ADVISORS LLC Call 116,900 66,600 -43.03 766 447 -41.64
2018-08-10 13F-HR STEPHENS INC /AR/ 22,284 150
2017-01-30 13F-HR CFO4Life, L.P. 89,497 75,337 -15.82 725 629 -13.24
2018-08-14 13F-HR Tower Research Capital LLC (TRC) 2,595 4,700 81.12 17 31 82.35
2018-08-13 13F-HR MACKENZIE FINANCIAL CORP 185,340 185,340 0.00 1,214 1,244 2.47
2018-08-14 13F-HR AllSquare Wealth Management LLC 6,000 6,000 0.00 39 40 2.56
2018-07-13 13F-HR Creative Financial Designs Inc /adv 7,910 28,902 265.39 52 194 273.08
2018-08-14 13F-HR GOLDMAN SACHS GROUP INC 107,744 36,121 -66.48 706 242 -65.72
2018-08-14 13F-HR Invesco Ltd. 2,049,621 2,370,128 15.64 13,425 15,904 18.47
2018-08-13 13F-HR RAYMOND JAMES & ASSOCIATES 94,893 107,435 13.22 622 721 15.92
2018-08-14 13F-HR Dynamic Technology Lab Private Ltd 28,293 0 -100.00 185 0 -100.00
2018-08-03 13F-HR Well Done, LLC 250 0 -100.00 2 0 -100.00
2018-08-08 13F-HR LSV ASSET MANAGEMENT 4,824,930 4,937,655 2.34 31,603 33,131 4.83
2018-08-03 13F-HR Global Financial Private Capital, LLC 36,365 36,150 -0.59 238 243 2.10
2018-07-18 13F-HR REILLY FINANCIAL ADVISORS, LLC 6,750 1,750 -74.07 44 12 -72.73
2018-08-13 13F-HR Winch Advisory Services, LLC 516 516 0.00 3 3 0.00
2018-08-14 13F-HR BALYASNY ASSET MANAGEMENT LLC 36,321 101,347 179.03 238 680 185.71
2018-08-14 13F-HR JP Morgan Chase & Co 34,189 32,360 -5.35 224 217 -3.12
2017-02-14 13F-HR PVG Asset Management 350,070 337,908 -3.47 2,737,549 2,821,532 3.07
2018-08-13 13F-HR KOCH INDUSTRIES INC 51,190 0 -100.00 335 0 -100.00
2018-08-14 13F-HR INFRASTRUCTURE CAPITAL ADVISORS, LLC 18,835 0 -100.00 123 0 -100.00
2017-08-01 13F-HR TRENT CAPITAL MANAGEMENT INC /NC/ 369,625 22,765 -93.84 3,086 185 -94.01
2017-01-13 13F-HR MetLife Securities, Inc 107,127 112,657 5.16 867 941 8.54
2018-08-14 13F-HR SUSQUEHANNA INTERNATIONAL GROUP, LLP Call 488,600 164,600 -66.31 3,200 1,104 -65.50
2018-08-14 13F-HR BANK OF AMERICA CORP /DE/ 79,850 77,503 -2.94 523 520 -0.57
2018-07-30 13F-HR SIMPLEX TRADING, LLC 9,714 21,533 121.67 63 144 128.57
2018-08-14 13F-HR MANUFACTURERS LIFE INSURANCE COMPANY, THE 13,895 13,092 -5.78 91 88 -3.30
2018-08-13 13F-HR HAP Trading, LLC Call 10,300 10,000 -2.91 1 1 0.00
2018-08-10 13F-HR CITIGROUP INC Put 17,600 19,200 9.09 115 129 12.17
2018-08-13 13F-HR Advisor Group, Inc. 424,702 425,845 0.27 2,781 2,857 2.73
2018-08-13 13F-HR Camelot Portfolios, LLC 776,846 753,445 -3.01 5,089 5,056 -0.65
2018-08-09 13F-HR GAM Holding AG 84,771 569
2018-08-07 13F-HR Catalyst Capital Advisors LLC 126,900 126,900 0.00 831 852 2.53
2018-08-13 13F-HR Wealthcare Advisory Partners LLC 1,750 1,750 0.00 11 12 9.09
2018-08-01 13F-HR Kovack Advisors, Inc. 20,524 21,608 5.28 134 145 8.21
2018-08-10 13F-HR Pacad Investment Ltd. 6,400 0 -100.00 42 0 -100.00
2018-08-14 13F-HR GUGGENHEIM CAPITAL LLC 553,354 530,529 -4.12 3,624 3,561 -1.74
2018-08-10 13F-HR NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0 3,995 0 27
2018-08-10 13F-HR Cutler Group LP Put 7,400 7,400 0.00 8 5 -37.50
2018-08-10 13F-HR CITIGROUP INC 25,561 19,401 -24.10 167 130 -22.16
2018-07-19 13F-HR Garner Asset Management Corp 126,424 125,224 -0.95 828 840 1.45
2018-07-17 13F-HR Winslow, Evans & Crocker, Inc. 6,768 6,768 0.00 44,324 46 -99.90
2018-08-14 13F-HR TUDOR INVESTMENT CORP ET AL 45,022 70,348 56.25 295 472 60.00
2018-08-13 13F-HR Quantbot Technologies LP 38,326 11,657 -69.58 251 78 -68.92

Related Articles

RIGL: Rigel Pharmaceuticals Analysis and Research Report

2018-09-18 - Asif

Overview Rigel Pharmaceuticals is a biotechnology company dedicated to discovering, developing and providing novel small molecule drugs that significantly improve the lives of patients with immune and hematologic disorders, cancer and rare diseases. The company's pioneering research focuses on signaling pathways that are critical to disease mechanisms. The company's first FDA-approved product is TAVALISSE™ (fostamatinib disodium hexahydrate), an oral spleen tyrosine kinase (SYK) inhibitor, for the treatment of adult patients with chronic immune thrombocytopenia who have had an insufficient response to a previous treatment. The company's current clinical programs include Phase 2 studies of fostamatinib in autoimmune hemolytic anemia and IgA nephropathy, and a Phase 1 study for its IRAK program. In addition, Rigel Pharmaceuticals has product candidates in development with partners BerGenBio AS, Daiichi Sankyo, and Aclaris Therapeutics. Since inception, Rigel Pharmaceuticals h...

EKSO: Ekso Bionics Holdings Analysis and Research Report

2018-09-18 - Asif

Overview The company design, develop and sell exoskeleton technology to augment human strength, endurance and mobility. The company's exoskeleton technology serves multiple markets and can be used both by able-bodied users as well as by persons with physical disabilities. Ekso Bionics has sold, rented or leased devices that (a) enable individuals with neurological conditions affecting gait (stroke and spinal cord injury) to rehabilitate and to walk again and (b) allow industrial workers to perform heavy duty work for extended periods. Today, its medical exoskeleton, Ekso GT, is used as a rehabilitation tool to allow physicians and therapists to rehabilitate patients who have suffered a stroke or spinal cord injury. With its unique features designed specifically for hospitals and its proprietary SmartAssist software, Ekso GT allows for the early mobilization of patients, with high step count and high dosage treatments. The intent is to allow the patient’s central nervous syst...

AGRX: Agile Therapeutics Analysis and Research Report

2018-09-18 - Asif

Overview Agile Therapeutics is a forward-thinking women’s healthcare company dedicated to fulfilling the unmet health needs of today’s women. Twirla® and its other current potential product candidates are designed to provide women with contraceptive options that offer greater convenience and facilitate compliance. The company's lead product candidate, Twirla, also known as AG200-15, is a once-weekly prescription contraceptive patch that is at the end of Phase 3 clinical development. Since its inception in 1997, Agile Therapeutics has devoted substantial resources to developing Twirla, building its intellectual property portfolio, business planning, raising capital and providing general and administrative support for these operations. The company incurred research and development expenses of $14.4 million, $20.9 million and $25.6 million during the years ended December 31, 2017, 2016 and 2015, respectively. The company incurred research and development expenses of $2.4 milli...

Related News Stories

10 Monthly Dividend Stocks to Buy to Pay the Bills

10h investorplace
I like making money in the stock market, but I love dividends. You see, the problem with capital gains is that to actually enjoy them, you have to sell your shares. The beauty of dividend stocks is that you get to enjoy the fruits of your investment without having to actually sell anything. Think of it as milking a cow rather than killing it for meat. Which sounds like the better long-term plan to you? (1-0)

Potentially Oversold Best Of Breed BDC: Initiating Coverage

2018-09-19 seekingalpha
Earlier this year, I initiated active coverage of GAIN (8.2% yield) and its preferred stocks GAINM (6.2% yield) and now its newly issued GAINL (6.3% yield). (8-0)

Baby Bonds Complete Review

2018-09-19 seekingalpha
In this article, I'll review all the baby bonds, listed on a National Exchange, sorted into several categories. There are 167 issues in our database that trade on primary exchanges. Since there is no common ETF for baby bonds only, I'll examine the two biggest fixed-income ETFs with a market capitalization of $22B in general, iShares U.S. Preferred Stock ETF (PFF) and Invesco Preferred Portfolio ETF (PGX). (1-0)

Prospect Capital's Detailed Dividend And NAV Sustainability Analysis - Part 1 (Includes Remaining Fiscal Year 2019 Monthly Dividend Projection)

2018-09-17 seekingalpha
Following continued requests due to recent earnings, Part 1 of this article analyzes PSEC's dividend sustainability by performing three tests based on recent (and projected) quarterly results. (3-0)

Monthly Paid Dividends From 166 SML Equities And 64 Funds For September

2018-09-16 seekingalpha
It's your September 2018 Monthly-Paid (MoPay) Small-Mid-Large Cap Dividend, Yield, Upsides, and Net Gains Report. Nano-Cap MoPays <$200M are not listed. (3-0)

Approaching Oversold Conditions, Driving 9% Yield With Upcoming Specials

2018-09-13 seekingalpha
I recently purchased additional shares of this higher quality BDC that's trading 6% below book value paying a 9% dividend yield with an upcoming special dividend in Q4. (7-0)

Should You Invest in the VanEck Vectors BDC Income ETF (BIZD)?

2018-09-13 zacks
Launched on 02/11/2013, the VanEck Vectors BDC Income ETF (BIZD - Free Report) is a passively managed exchange traded fund designed to provide a broad exposure to the Financials - BDCs/PE segment of the equity market. (2-0)

Main Street Capital's NAV, Dividend, And Valuation Compared To 14 BDC Peers (Post Q2 2018 Earnings) - Part 2

2018-09-13 seekingalpha
Part 2 of this article compares MAIN’s recent dividend per share rates, yield percentages, and several other dividend sustainability metrics to fourteen other BDC peers. (6-0)

Avoid Franklin (BEN), Buy These 3 Investment Managers Instead

2018-09-12 zacks
Franklin Resources’ (BEN - Free Report) shares have dropped 25.9% in the past year compared with the industry’s decline of around 2%, on rising investors’ concerns due to persistent net outflows recorded by the company. Investment management fees have been Franklin’s biggest source of revenues, comprising about 68%, for the past few years. Notably, during fiscals 2016 and 2017, fees declined due to reduction in average assets under management (AUM) and lower effective fee rate, which remain concerns. (2-0)

Why Prospect Capital (PSEC) Could Be Positioned for a Surge

2018-09-12 zacks
Prospect Capital Corporation (PSEC - Free Report) is a financial services company that could be an interesting play for investors. That is because, not only does the stock have decent short-term momentum, but it is seeing solid activity on the earnings estimate revision front as well. (1-0)

CUSIP: 74348T102