SecurityPSEC / Prospect Capital Corp. (74348T102)
Institutional Owners221
Institutional Shares104,401,244
Institutional Value$ 4,322,644,000 USD
Related PBB / Prospect Capital Corp. 6.25% Bond due 2024-06-15

Institutional Stock Ownership and Shareholders

Prospect Capital Corp. (NASDAQ:PSEC) has 221 institutional investors and shareholders that have filed 13D/G or 13F forms with the Securities Exchange Commission (SEC). These institutions hold a total of 104,401,244 shares. Largest shareholders include Barry John F, Muzinich & Co., Inc., Pomelo Capital LLC, Bank Of Montreal /can/, Van Eck Associates Corp, Invesco Ltd., BlackRock Inc., Morgan Stanley, Lsv Asset Management, and Two Sigma Investments Llc.

Prospect Capital Corp. (NASDAQ:PSEC) ownership summary 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.

Stop missing out on important events!

Fintel provides real time notifications of important company events such as major investments (13D/G filings), insider trades (SEC form 4), and important SEC filings. Sign up and create your company alerts for free.

File DateFormInvestor Opt Prev Shares Current Shares Change
(Percent)
Prev Value (x$1000) Current Value (x$1000) Change
(Percent)
2018-02-14 13F-HR PEAK6 Investments, L.P. Call 15,600 257,900 1,553.21 105 1,738 1,555.24
2018-02-14 13F-HR Integral Derivatives, LLC Call 69,000 42,000 -39.13 464 283 -39.01
2018-02-01 13F-HR Engineers Gate Manager LP 206,159 62,622 -69.62 1,385 422 -69.53
2018-02-09 13F-HR BlackRock Inc. 1,968,766 2,122,579 7.81 13,230 14,306 8.13
2018-02-12 13F-HR Penn Mutual Life Insurance Co 594,000 378,000 -36.36 3,992 2,548 -36.17
2017-11-14 13F-HR FIFTH THIRD BANCORP 3,000 0 -100.00 24 0 -100.00
2017-11-14 13F-HR COWEN GROUP, INC. Put 248,000 0 -100.00 2,014 0 -100.00
2017-11-14 13F-HR PANAGORA ASSET MANAGEMENT INC 1,058,257 0 -100.00 8,593 0 -100.00
2018-02-14 13F-HR Advisor Group, Inc. 414,552 437,608 5.56 2,786 2,949 5.85
2018-02-08 13F-HR Cetera Advisors LLC 68,990 66,890 -3.04 466 451 -3.22
2017-11-14 13F-HR Apriem Advisors 30,000 0 -100.00 244 0 -100.00
2018-02-14 13F-HR WOLVERINE TRADING, LLC Call 38,600 20,500 -46.89 259 138 -46.72
2018-02-15 13F-HR National Asset Management, Inc. 41,704 29,397 -29.51 281 199 -29.18
2018-01-31 13F-HR Capital Investment Advisory Services, LLC 45,252 27,752 -38.67 304 187 -38.49
2018-02-13 13F-HR Sequoia Financial Advisors, LLC 25,945 0 -100.00 174 0 -100.00
2017-10-13 13F-HR JAMES INVESTMENT RESEARCH INC 78,655 0 -100.00 639 0 -100.00
2017-12-29 SC 13D/A Barry John F 46,044,114 52,358,272 13.71
2018-02-14 13F-HR DEUTSCHE BANK AG\ 800,771 965,175 20.53 5,379 6,504 20.91
2018-02-14 13F-HR Belpointe Asset Management Llc 13,963 94
2018-02-07 13F-HR Private Advisor Group, LLC 93,823 84,231 -10.22 625 579 -7.36
2018-02-13 13F-HR Legal & General Group Plc 1,047,945 1,126,222 7.47 7,037 7,596 7.94
2018-02-06 13F-HR CALIFORNIA PUBLIC EMPLOYEES RETIREMENT SYSTEM 808,100 762,400 -5.66 5,430 5,139 -5.36
2018-02-14 13F-HR Brasada Capital Management, Lp 1,000 7
2018-02-14 13F-HR BLAIR WILLIAM & CO/IL 13,000 13,000 0.00 87 88 1.15
2018-01-30 13F-HR BESSEMER GROUP INC 2,268 0 -100.00 15 0 -100.00
2018-02-05 13F-HR THOMPSON DAVIS & CO., INC. 500 3
2017-11-14 13F-HR BECK CAPITAL MANAGEMENT, LLC 336,129 0 -100.00 2,763 0 -100.00
2018-01-17 13F-HR Edge Wealth Management LLC 1,000 1,000 0.00 7 6 -14.29
2018-02-13 13F-HR INFRASTRUCTURE CAPITAL ADVISORS, LLC 19,835 18,835 -5.04 133 127 -4.51
2018-01-08 13F-HR First National Bank of Mount Dora, Trust Investment Services 12,900 87
2018-02-13 13F-HR ASSETMARK, INC 0 1,000 0 7
2018-02-13 13F-HR JP Morgan Chase & Co 22,249 33,775 51.80 149 228 53.02
2018-02-09 13F-HR PNC FINANCIAL SERVICES GROUP, INC. 36,849 34,857 -5.41 248 235 -5.24
2017-10-27 13F-HR ENTERPRISE FINANCIAL SERVICES CORP 4,500 0 -100.00 37 0 -100.00
2017-09-22 13F-HR/A-1 Allen Investment Management LLC 224,054 0 -100.00 2,218 0 -100.00
2018-02-14 13F-HR GSA CAPITAL PARTNERS LLP 149,438 0 -100.00 1,004 0 -100.00
2018-02-05 13F-HR SHUFRO ROSE & CO LLC 173,300 13,602 -92.15 1,165 92 -92.10
2018-02-12 13F-HR CITIGROUP INC Put 15,400 25,500 65.58 103 172 66.99
2018-01-12 13F-HR ATRIA INVESTMENTS LLC 19,989 32,832 64.25 134 221 64.93
2018-02-14 13F-HR BARCLAYS PLC 639,308 5,747 -99.10 4,296 39 -99.09
2018-02-14 13F-HR STIFEL FINANCIAL CORP 144,915 129,206 -10.84 970 865 -10.82
2018-02-09 13F-HR CITADEL ADVISORS LLC Put 126,900 110,400 -13.00 853 744 -12.78
2018-02-14 13F-HR Janney Montgomery Scott LLC 87,689 25,309 -71.14 589 171 -70.97
2017-10-12 13F-HR V Wealth Management,LLC 0 -100.00 24 0 -100.00
2018-02-15 13F-HR Vanguard Capital Wealth Advisors 118,039 795,589
2018-02-13 13F-HR BANK OF NOVA SCOTIA 266,000 0 -100.00 1,788 0 -100.00
2018-02-13 13F-HR LANDSCAPE CAPITAL MANAGEMENT, L.L.C. 104,315 0 -100.00 701 0 -100.00
2018-02-15 13F-HR BB&T SECURITIES, LLC 16,065 13,965 -13.07 107 94 -12.15
2018-02-14 13F-HR Pomelo Capital LLC Put 3,745,500 4,325,500 15.49 25,170 29,067 15.48
2018-02-09 13F-HR WEDBUSH SECURITIES INC 73,152 106,235 45.23 492 716 45.53
2018-02-14 13F-HR Patriot Financial Group Insurance Agency, LLC 8,000 0 -100.00 53 0 -100.00
2018-02-09 13F-HR UBS ASSET MANAGEMENT AMERICAS INC 0 34 0 229
2017-10-24 13F-HR Selway Asset Management 34,035 0 -100.00 276 0 -100.00
2018-02-14 13F-HR American National Registered Investment Advisor, Inc. 43,700 0 -100.00 294 0 -100.00
2018-02-14 13F-HR RAYMOND JAMES & ASSOCIATES 143,866 90,656 -36.99 967 611 -36.81
2018-02-14 13F-HR CREDIT SUISSE AG/ Put 900,000 1,066,400 18.49 6,048 7,188 18.85
2018-01-25 13F-HR Moloney Securities Asset Management, LLC 47,279 48,095 1.73 318 324 1.89
2018-01-16 13F-HR NEXT Financial Group, Inc 5,100 0 -100.00 32 0 -100.00
2018-02-08 13F-HR MCKINLEY CAPITAL MANAGEMENT LLC /DELAWARE 628,820 765,052 21.66 4,226 5,156 22.01
2018-01-26 13F-HR MARKSTON INTERNATIONAL LLC 1,200 400 -66.67 8 3 -62.50
2018-02-14 13F-HR Arete Wealth Advisors, LLC 35,780 31,780 -11.18 240 214 -10.83
2018-02-14 13F-HR Squarepoint Ops LLC 0 23,869 0 161
2017-11-07 13F-HR NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 900 0 -100.00 7 0 -100.00
2018-02-16 13F-HR/A-1 Commonwealth Equity Services, Inc 749,097 795,541 6.20 6,083 5,346 -12.12
2018-02-14 13F-HR/A-1 Robeco Institutional Asset Management B.V. 241,859 241,859 0.00 1,625 1,631 0.37
2018-02-09 13F-HR ARROWSTREET CAPITAL, LIMITED PARTNERSHIP 1,669,835 1,602,568 -4.03 11,221 10,801 -3.74
2017-11-08 13F-HR Pacer Advisors, Inc. 53,897 0 -100.00 438 0 -100.00
2017-11-28 13F-HR/A-1 SHELTON CAPITAL MANAGEMENT 30,000 0 -100.00 244 0 -100.00
2018-02-14 13F-HR Nissay Asset Management Corp /japan/ /adv 256,015 1,726
2018-02-12 13F-HR CITIGROUP INC Call 24,300 56,700 133.33 163 382 134.36
2018-02-14 13F-HR TWO SIGMA SECURITIES, LLC 25,662 64,517 151.41 172 435 152.91
2018-02-15 13F-HR Archford Capital Strategies, LLC 68,399 57,981 -15.23 460 391 -15.00
2018-02-09 13F-HR HAP Trading, LLC Call 26,000 32,500 25.00 1 2 100.00
2018-01-16 13F-HR BANK OF MONTREAL /CAN/ 6,130,500 2,431,500 -60.34 41,196 16,388 -60.22
2018-01-24 13F-HR SG Americas Securities, LLC 65,003 65,109 0.16 437 439 0.46
2018-02-13 13F-HR Delpha Capital Management, Llc 773 5
2018-02-01 13F-HR HL FINANCIAL SERVICES LLC 182,736 20,740 -88.65 1,228 140 -88.60
2018-02-14 13F-HR SCOPIA CAPITAL MANAGEMENT LP 104,194 0 -100.00 700 0 -100.00
2018-01-17 13F-HR Cutler Group LP Put 36,400 30,100 -17.31 24 11 -54.17
2018-02-15 13F-HR Her Majesty the Queen in Right of the Province of Alberta as represented by Alberta Investment Management Corp 96,101 96,101 0.00 646 648 0.31
2018-02-14 13F-HR MENTA CAPITAL LLC 64,700 0 -100.00 435 0 -100.00
2018-02-14 13F-HR BARCLAYS PLC Put 403,700 4,600 -98.86 2,713 31 -98.86
2017-10-25 13F-HR SIMPLEX TRADING, LLC 7,631 0 -100.00 61 0 -100.00
2018-02-13 13F-HR ARES MANAGEMENT LLC 425,891 279,547 -34.36 2,862 1,884 -34.17
2018-01-31 13F-HR LSV ASSET MANAGEMENT 1,711,892 1,929,792 12.73 11,503 13,006 13.07
2018-02-08 13F-HR Trexquant Investment LP 16,143 0 -100.00 108 0 -100.00
2018-02-01 13F-HR CIBC World Markets Inc. 133,018 130,032 -2.24 894 876 -2.01
2018-02-15 13F-HR JANE STREET GROUP, LLC 18,877 204,643 984.09 127 1,379 985.83
2017-11-16 13F-HR Cetera Investment Advisers 0 -100.00 10 0 -100.00
2018-02-14 13F-HR ARGI Investment Services, LLC 37,000 0 -100.00 249 0 -100.00
2018-01-30 13F-HR Garner Asset Management Corp 108,974 111,774 2.57 732 753 2.87
2018-02-13 13F-HR Financial Gravity Companies, Inc. 23,247 150
2018-01-17 13F-HR DAVENPORT & Co LLC 72,700 61,655 -15.19 488,544 415,555 -14.94
2018-02-09 13F-HR RHUMBLINE ADVISERS 26,875 26,943 0.25 181 182 0.55
2018-01-11 13F-HR Kistler-Tiffany Companies, LLC 6,927 8,967 29.45 47 60 27.66
2018-02-14 13F-HR Walleye Trading LLC Call 17,100 190,200 1,012.28 115 1,283 1,015.65
2018-02-14 13F-HR SUSQUEHANNA INTERNATIONAL GROUP, LLP Call 95,100 413,400 334.70 639 2,786 335.99
2018-02-20 13F-HR ENVESTNET ASSET MANAGEMENT INC 10,576 12,152 14.90 71 82 15.49
2018-02-06 13F-HR Community Bank, N.A. 268 2
2018-02-02 13F-HR Aperio Group, LLC 41,384 62,741 51.61 278 423 52.16
2018-02-14 13F-HR TWO SIGMA INVESTMENTS LLC 48,755 1,658,719 3,302.15 328 11,180 3,308.54
2018-02-15 13F-HR GLENMEDE TRUST CO NA 940 925 -1.60 6 6 0.00
2018-02-06 13F-HR Alpha Omega Wealth Management LLC 71,597 74,918 4.64 481 505 4.99
2018-02-13 13F-HR AllSquare Wealth Management LLC 7,000 7,000 0.00 47 47 0.00
2018-02-07 13F-HR Catalyst Capital Advisors LLC 126,900 126,900 0.00 853 855 0.23
2018-02-13 13F-HR Moors & Cabot, Inc. 11,051 10,185 -7.84 74 69 -6.76
2017-11-03 13F-HR Tradewinds Capital Management, LLC 1,014 0 -100.00 8 0 -100.00
2018-02-06 13F-HR Regal Investment Advisors LLC 17,836 35,742 100.39 120 241 100.83
2018-02-14 13F-HR GOLDMAN SACHS GROUP INC 340,614 92,399 -72.87 2,289 623 -72.78
2018-02-13 13F-HR CWA Asset Management Group, LLC 40,480 0 -100.00 272 0 -100.00
2018-02-01 13F-HR Kovack Advisors, Inc. 16,426 111
2018-02-13 13F-HR KOCH INDUSTRIES INC 93,640 20,970 -77.61 630 141 -77.62
2018-02-14 13F-HR LPL Financial LLC 261,000 274,451 5.15 1,754 1,850 5.47
2018-02-14 13F-HR MILLENNIUM MANAGEMENT LLC 0 529,137 0 3,566
2018-02-02 13F-HR Seacrest Wealth Management, Llc 1,000 7
2017-11-17 13F-HR Phocas Financial Corp. 712 0 -100.00 6 0 -100.00
2017-11-16 13F-HR AMERICAFIRST CAPITAL MANAGEMENT, LLC 46,566 0 -100.00 378 0 -100.00
2017-11-14 13F-HR AVALON ADVISORS, LLC 47,211 0 -100.00 383 0 -100.00
2018-02-08 13F-HR Global Financial Private Capital, LLC 41,280 41,351 0.17 277 279 0.72
2018-01-22 13F-HR CFO4Life Group, LLC 11,676 11,676 0.00 78 79 1.28
2018-02-14 13F-HR MORGAN STANLEY 2,996,339 2,081,322 -30.54 20,135 14,028 -30.33
2018-02-05 13F-HR Allegis Investment Advisors, LLC 37,205 33,984 -8.66 250 229 -8.40
2018-02-14 13F-HR Sound Income Strategies, Llc 11,089 76
2018-02-08 13F-HR PineBridge Investments, L.P. 120,293 118,077 -1.84 809 795 -1.73
2018-02-12 13F-HR ADVANTAGE INVESTMENT MANAGEMENT, LLC 12,572 0 -100.00 84 0 -100.00
2018-02-06 13F-HR Camelot Portfolios, LLC 699,153 691,761 -1.06 4,698 4,662 -0.77
2018-02-13 13F-HR Winch Advisory Services, LLC 516 516 0.00 3 3 0.00
2018-01-25 13F-HR Sumitomo Mitsui Asset Management Company, LTD 377,495 2,544
2018-02-14 13F-HR Prime Capital Investment Advisors, Llc 19,340 130
2018-02-14 13F-HR Wealthcare Advisory Partners LLC 5,280 1,750 -66.86 35 12 -65.71
2018-02-22 13F-HR GREEN SQUARE CAPITAL LLC 47,094 48,027 1.98 319 327 2.51
2018-02-08 13F-HR Independence Bank Of Kentucky 1,875 13
2017-11-14 13F-HR/A-1 UBS Group AG Put 100 0 -100.00 1 0 -100.00
2018-01-24 13F-HR SG Americas Securities, LLC Put 1,078,000 1,094,600 1.54 78 60 -23.08
2018-02-09 13F-HR Alpha Cubed Investments, LLC 0 22,766 0 153
2018-01-25 13F-HR VICUS CAPITAL 11,200 18,200 62.50 75 123 64.00
2018-02-14 13F-HR GLG Partners LP 22,600 152
2018-02-21 13F-HR Hanson McClain, Inc. 800 800 0.00 5 5 0.00
2018-02-09 13F-HR Stratos Wealth Partners, LTD. 35,891 13,476 -62.45 241 91 -62.24
2018-02-13 13F-HR Advisors Asset Management, Inc. 960,817 908,248 -5.47 6,457 6,122 -5.19
2018-01-19 13F-HR Steward Partners Investment Advisory, Llc 5,500 37
2018-01-30 13F-HR Telos Capital Management, Inc. 10,500 0 -100.00 71 0 -100.00
2018-02-02 13F-HR CIBC Asset Management Inc 14,050 14,050 0.00 94 95 1.06
2018-02-02 13F-HR FIRST MIDWEST BANK TRUST DIVISION 42,382 0 -100.00 285 0 -100.00
2017-11-14 13F-HR Walleye Trading LLC Put 21,100 0 -100.00 171 0 -100.00
2018-02-14 13F-HR AMERICAN NATIONAL INSURANCE CO /TX/ 93,825 0 -100.00 631 0 -100.00
2018-01-02 13F-HR American Financial Network Advisory Services Llc 12,900 12,900 0.00 87 87 0.00
2018-02-14 13F-HR Jefferies Group LLC Put 200,200 200,200 0.00 1,345 1,349 0.30
2018-02-12 13F-HR CITIGROUP INC 23,648 20,921 -11.53 159 141 -11.32
2018-02-08 13F-HR Advisory Services Network, LLC 12,354 9,409 -23.84 83 63 -24.10
2018-02-01 13F-HR WESBANCO BANK INC 15,917 107
2018-02-08 13F-HR D.A. DAVIDSON & CO. 52,288 37,325 -28.62 351 252 -28.21
2017-10-17 13F-HR Creative Planning Call 1,000 0 -100.00 0 0
2018-01-25 13F-HR Live Your Vision, LLC 1,342 1,389 3.50 9 9 0.00
2018-02-09 13F-HR GROUP ONE TRADING, L.P. Put 1,129,800 1,003,700 -11.16 7,592 6,765 -10.89
2018-02-12 13F-HR Atlantic Trust Group, LLC 0 1,000 0 7
2018-01-16 13F-HR Liberty Capital Management, Inc. 4,850 4,850 0.00 31 33 6.45
2018-02-08 13F-HR First Allied Advisory Services, Inc. 100,354 62,808 -37.41 672 424 -36.90
2018-01-29 13F-HR NewSquare Capital LLC 1,204 1,204 0.00 8 8 0.00
2018-02-13 13F-HR MACKENZIE FINANCIAL CORP 185,340 185,340 0.00 1,245 1,249 0.32
2018-02-08 13F-HR Morningstar Investment Services LLC 13,682 92
2018-02-14 13F-HR BANK OF AMERICA CORP /DE/ Put 1,000 1,000 0.00 7 7 0.00
2018-02-08 13F-HR WELLS FARGO & COMPANY/MN 157,632 144,310 -8.45 1,059 972 -8.22
2018-01-16 13F-HR OPTIMUM INVESTMENT ADVISORS 46,000 46,000 0.00 309 310 0.32
2018-02-14 13F-HR Verition Fund Management LLC 63,623 0 -100.00 428 0 -100.00
2018-02-12 13F-HR Ford Financial Group, Inc. 8 0
2018-02-09 13F-HR SII INVESTMENTS INC/WI 71,922 65,716 -8.63 486 442 -9.05
2018-02-02 13F-HR HUNTINGTON NATIONAL BANK 0 500 0 3
2018-02-12 13F-HR Quantbot Technologies LP 44,280 25,182 -43.13 297 169 -43.10
2018-02-14 13F-HR BANK OF AMERICA CORP /DE/ 68,451 93,647 36.81 460 631 37.17
2018-02-22 13F-HR Cambridge Investment Research Advisors, Inc. 400,787 366,752 -8.49 2,693 2,472 -8.21
2018-02-22 13F-HR Certified Advisory Corp 1,045 7
2018-02-09 13F-HR Raymond James Financial Services Advisors, Inc. 216,756 185,799 -14.28 1,457 1,252 -14.07
2018-02-07 13F-HR NWAM LLC 18,125 0 -100.00 122 0 -100.00
2018-02-14 13F-HR WOLVERINE TRADING, LLC 39,811 34,844 -12.48 268 235 -12.31
2018-02-14 13F-HR National Planning Corp 25,275 0 -100.00 170 0 -100.00
2017-11-14 13F-HR BancorpSouth Inc 20,000 16,000 -20.00 162 108 -33.33
2018-02-12 13F-HR VAN ECK ASSOCIATES CORP 2,404,212 2,369,984 -1.42 16,156 15,974 -1.13
2018-02-12 13F-HR AMERIPRISE FINANCIAL INC 49,971 68,206 36.49 336 460 36.90
2018-01-23 13F-HR Prospera Financial Services 171,760 59,800 -65.18 1,156 408 -64.71
2018-02-14 13F-HR UBS Group AG 2,401,806 1,321,048 -45.00 16,140 8,904 -44.83
2018-01-24 13F-HR Vantage Investment Advisors, LLC 1,035 1,062 2.61 7 7 0.00
2018-01-17 13F-HR Cutler Group LP 2,853 7,545 164.46 19 50 163.16
2018-02-14 13F-HR WOLVERINE TRADING, LLC Put 100,800 74,800 -25.79 677 504 -25.55
2018-02-09 13F-HR SUNTRUST BANKS INC 81,121 88,800 9.47 544 598 9.93
2018-02-14 13F-HR NORTHERN TRUST CORP 167,474 184,874 10.39 1,125 1,246 10.76
2018-02-14 13F-HR TUDOR INVESTMENT CORP ET AL 31,817 0 -100.00 214 0 -100.00
2018-02-08 13F-HR ADVISORY RESEARCH INC 0 397,659 0 2,680
2018-02-14 13F-HR LUCUS ADVISORS LLC 52,144 48,335 -7.30 350 326 -6.86
2018-02-12 13F-HR Commonwealth Equity Services, Llc. 906,846 6,112
2017-10-10 13F-HR Nadler Financial Group, Inc. 10,500 0 -100.00 85 0 -100.00
2018-02-12 13F-HR Cipher Capital LP 31,703 0 -100.00 213 0 -100.00
2018-02-14 13F-HR Invesco Ltd. 2,391,173 2,197,023 -8.12 16,069 14,808 -7.85
2018-02-09 13F-HR Timber Hill LLC 23,915 161
2018-02-14 13F-HR PEAK6 Investments, L.P. Put 0 2,000 0 13
2018-02-09 13F-HR Dynamic Technology Lab Private Ltd 114,105 0 -100.00 767 0 -100.00
2018-02-12 13F-HR Pacad Investment Ltd. 51,626 13,700 -73.46 347 92 -73.49
2018-02-02 13F-HR TDAM USA INC. 22,500 152
2018-02-15 13F-HR PVG ASSET MANAGEMENT CORP 107,128 213,308 99.12 719,900 1,437,700 99.71
2018-02-07 13F-HR MESSNER & SMITH THEME VALUE INVESTMENT MANAGEMENT LTD /CA/ 166,508 151,049 -9.28 1,119 1,019 -8.94
2018-01-17 13F-HR Cutler Group LP Call 36,700 2,800 -92.37 1 0 -100.00
2018-02-14 13F-HR TIEDEMANN WEALTH MANAGEMENT, LLC 11,000 11,000 0.00 75 75 0.00
2018-02-13 13F-HR MML INVESTORS SERVICES, LLC 130,788 119,206 -8.86 879 803 -8.65
2018-02-14 13F-HR RPG Investment Advisory, LLC 288,170 243,654 -15.45 2,604 1,642 -36.94
2018-02-09 13F-HR CITADEL ADVISORS LLC Call 57,100 146,600 156.74 384 988 157.29
2018-02-15 13F-HR Bb&t Investment Services, Inc. 13 13 0.00 0 0
2018-02-06 13F-HR Sumitomo Mitsui Trust Holdings, Inc. 21,843 22,125 1.29 147 149 1.36
2018-01-18 13F-HR REGIONS FINANCIAL CORP 100 1
2018-01-24 13F-HR IFP Advisors, Inc 81,293 69,434 -14.59 546 468 -14.29
2018-02-08 13F-HR MANUFACTURERS LIFE INSURANCE COMPANY, THE 26,855 15,144 -43.61 180 102 -43.33
2017-11-13 13F-HR BROWN ADVISORY INC 13,952 0 -100.00 113 0 -100.00
2017-10-12 13F-HR CONTRAVISORY INVESTMENT MANAGEMENT, INC. 15,742 0 -100.00 128 0 -100.00
2017-11-20 13F-HR Barnett & Company, Inc. 444,716 0 -100.00 3,611 0 -100.00
2017-11-13 13F-HR SYNOVUS FINANCIAL CORP 45,531 0 -100.00 370 0 -100.00
2018-02-02 13F-HR SMITHFIELD TRUST CO 6,135 6,135 0.00 41 41 0.00
2018-02-14 13F-HR Pomelo Capital LLC 225,000 1,517
2018-02-02 13F-HR Patten Group, Inc. 1,200 8
2018-01-17 13F-HR Capital Investment Advisors, LLC 14,968 14,968 0.00 101 101 0.00
2018-02-14 13F-HR INVESTMENT CENTERS OF AMERICA INC 44,647 0 -100.00 295 0 -100.00
2018-02-14 13F-HR UNITED SERVICES AUTOMOBILE ASSOCIATION 534,000 534,000 0.00 3,588 3,599 0.31
2018-01-31 13F-HR IFC Holdings Incorporated/FL 34,684 32,196 -7.17 231 215 -6.93
2018-02-08 13F-HR Cetera Advisor Networks LLC 57,408 86,893 51.36 383 582 51.96
2018-02-13 13F-HR Parisi Gray Wealth Management 2,400 17
2018-02-09 13F-HR FIRST REPUBLIC INVESTMENT MANAGEMENT, INC. 1,873,858 399,954 -78.66 12,593 2,696 -78.59
2018-02-14 13F-HR AHL Partners LLP 224,197 1,533,477 583.99 1,507 10,336 585.87
2017-11-14 13F-HR Compagnie Odier SCA 0 -100.00 3,284 0 -100.00
2018-02-07 13F-HR Penserra Capital Management LLC 4,716 0 -100.00 31 0 -100.00
2018-02-01 13F-HR BNP PARIBAS ARBITRAGE, SA 1,835 13,355 627.79 12,331 90,013 629.97
2018-01-12 13F-HR Advocacy Wealth Management Services, LLC 8,200 5,100 -37.80 55 34 -38.18
2018-02-14 13F-HR FIRST FOUNDATION ADVISORS 44,097 53,947 22.34 296 364 22.97
2018-02-12 13F-HR Financial Architects, Inc 6,541 8,083 23.57 44 55 25.00
2018-02-07 13F-HR Boston Common Asset Management, LLC 15,048 15,048 0.00 101 101 0.00
2017-11-06 13F-HR Spot Trading L.l.c. Put 1,300 3,200 146.15 11 22 100.00
2018-02-09 13F-HR GROUP ONE TRADING, L.P. Call 707,700 938,400 32.60 4,756 6,325 32.99
2018-01-16 13F-HR Norway Savings Bank 100 100 0.00 1 1 0.00
2018-02-09 13F-HR Virtu Financial LLC 73,056 294,330 302.88 491 1,984 304.07
2018-02-07 13F-HR Essex Financial Services, Inc. 45,825 21,135 -53.88 308 142 -53.90
2018-02-13 13F-HR Highlander Capital Management, LLC 39,000 39,000 0.00 262 263 0.38
2018-01-29 13F-HR Paragon Capital Management Ltd 29,840 29,812 -0.09 201 201 0.00
2018-02-12 13F-HR SEVEN EIGHT CAPITAL, LLC 0 246,860 0 1,664
2018-01-17 13F-HR Creative Planning 140,988 118,563 -15.91 947 799 -15.63
2018-02-14 13F-HR HighTower Advisors, LLC 97,067 79,331 -18.27 650 530 -18.46
2018-02-14 13F-HR Cubist Systematic Strategies, LLC 12,893 0 -100.00 87 0 -100.00
2018-02-14 13F-HR Paloma Partners Management Co 40,294 0 -100.00 270 0 -100.00
2017-10-10 13F-HR Baystate Wealth Management LLC 1,142 0 -100.00 9 0 -100.00
2018-02-16 13F-HR NORTHERN OAK WEALTH MANAGEMENT INC 1,389 9
2017-11-14 13F-HR Jefferies Group LLC Call 133,000 0 -100.00 1,080 0 -100.00
2018-02-15 13F-HR/A-1 Taylor Frigon Capital Management LLC 117,182 129,905 10.86 916 876 -4.37
2018-02-12 13F-HR Muzinich & Co., Inc. 9,315,607 7,608,498 -18.33 62,601 51,281 -18.08
2018-02-07 13F-HR Sigma Planning Corp 122,706 115,986 -5.48 825 782 -5.21
2018-01-25 13F-HR Eqis Capital Management, Inc. 119,825 438,826 266.22 805 2,958 267.45
2018-02-13 13F-HR PRUDENTIAL FINANCIAL INC 15,500 15,500 0.00 104 104 0.00
2018-01-29 13F-HR REILLY FINANCIAL ADVISORS, LLC 6,750 3,850 -42.96 45 26 -42.22
2017-11-06 13F-HR HighPoint Advisor Group LLC 3,613 0 -100.00 222 0 -100.00
2018-01-19 13F-HR Winslow, Evans & Crocker, Inc. 9,848 9,108 -7.51 66,180 61,388 -7.24
2018-02-14 13F-HR D. E. Shaw & Co., Inc. 577,122 24,046 -95.83 3,878 162 -95.82
2018-02-08 13F-HR Global X Management CO LLC 26,456 35,334 33.56 178 238 33.71
2017-11-06 13F-HR Spot Trading L.l.c. Call 28,400 7,800 -72.54 231 52 -77.49
2018-02-15 13F-HR Lido Advisors, LLC 32,985 32,985 0.00 197 222 12.69
2018-02-14 13F-HR Jefferies Group LLC 8,199 0 -100.00 55 0 -100.00
2018-01-25 13F-HR FTB Advisors, Inc. 1,000 1,500 50.00 7 10 42.86
2018-02-06 13F-HR M&T BANK CORP 29,895 29,895 0.00 201 202 0.50
2018-01-10 13F-HR SIMPLEX TRADING, LLC Call 97 635 554.64 0 5
2018-02-06 13F-HR D'Orazio & Associates, Inc. 500 500 0.00 3 3 0.00
2018-02-14 13F-HR LADENBURG THALMANN FINANCIAL SERVICES INC 548,071 397,590 -27.46 3,685 2,679 -27.30
2018-02-09 13F-HR GROUP ONE TRADING, L.P. 586,447 132,539 -77.40 3,941 893 -77.34
2018-02-14 13F-HR Sage Capital Advisors,llc 90,116 87,051 -3.40 606 587 -3.14
2018-02-09 13F-HR Tower Research Capital LLC (TRC) 3,483 152,537 4,279.47 23 1,028 4,369.57
2018-02-07 13F-HR OPPENHEIMER & CO INC 55,401 32,751 -40.88 371 220 -40.70
2018-01-18 13F-HR MOODY NATIONAL BANK TRUST DIVISION 36,600 0 -100.00 246 0 -100.00
2018-02-14 13F-HR BALYASNY ASSET MANAGEMENT LLC 51,647 11,015 -78.67 347 74 -78.67
2018-02-13 13F-HR Aviance Capital Partners, LLC 25,721 17,036 -33.77 173 115 -33.53
2017-11-22 13F-HR Chicago Partners Investment Group LLC 1,500 5,370 258.00 12 36 200.00
2018-02-14 13F-HR IHT Wealth Management, LLC 462 462 0.00 3 3 0.00
2017-11-09 13F-HR Bridgeworth, LLC 35,400 0 -100.00 287 0 -100.00
2018-02-14 13F-HR BARCLAYS PLC Call 417,100 10,200 -97.55 2,803 69 -97.54
2018-02-12 13F-HR Sheaff Brock Investment Advisors, LLC 181,113 157,620 -12.97 1,217 1,062 -12.74
2018-02-14 13F-HR SUSQUEHANNA INTERNATIONAL GROUP, LLP 852,552 1,154,126 35.37 5,730 7,779 35.76
2018-02-02 13F-HR TRUST CO OF VERMONT 500 500 0.00 3 3 0.00
2018-02-05 13F-HR Jacobi Capital Management LLC 2,400 2,400 0.00 16 16 0.00
2018-02-14 13F-HR Gotham Asset Management, LLC 55,927 0 -100.00 376 0 -100.00
2018-02-12 13F-HR EAGLE GLOBAL ADVISORS LLC 77,828 77,828 0.00 523 525 0.38
2018-02-14 13F-HR CREDIT SUISSE AG/ Call 1,350,000 1,395,000 3.33 9,072 9,402 3.64
2018-02-02 13F-HR US BANCORP \DE\ 387,487 310,876 -19.77 2,604 2,095 -19.55
2018-01-23 13F-HR WEBSTER BANK, N. A. 4,800 4,800 0.00 32 32 0.00
2018-01-30 13F-HR Callahan Advisors, LLC 12,000 12,400 3.33 81 84 3.70
2018-02-14 13F-HR SUSQUEHANNA INTERNATIONAL GROUP, LLP Put 952,500 965,200 1.33 6,401 6,505 1.62
2018-02-05 13F-HR Calton & Associates, Inc. 2,500 17
2018-02-15 13F-HR COWEN GROUP, INC. 248,000 0 -100.00 1,667 0 -100.00
2018-02-13 13F-HR BOSTON PRIVATE WEALTH LLC 92,800 59,000 -36.42 624 398 -36.22
2018-02-16 13F-HR SALEM INVESTMENT COUNSELORS INC 1,000 0 -100.00 7 0 -100.00
2017-11-15 13F-HR Cambria Investment Management, L.P. 117,866 0 -100.00 957 0 -100.00
2018-01-11 13F-HR North Star Investment Management Corp. 3,000 0 -100.00 20 0 -100.00
2018-02-14 13F-HR TRUSTMARK NATIONAL BANK TRUST DEPARTMENT 215,890 107,865 -50.04 1,451 727 -49.90
2018-02-09 13F-HR CITADEL ADVISORS LLC 354,342 0 -100.00 2,381 0 -100.00
2018-01-11 13F-HR Gierl Augustine Investment Management Inc 925 927 0.22 6 6 0.00
2018-02-13 13F-HR Quinn Opportunity Partners LLC 668,900 4,508
2018-01-30 13F-HR Elite Wealth Management, LLC 574 0 -100.00 5 0 -100.00
2018-02-13 13F-HR Allianz Asset Management AG 370,243 971,076 162.28 2,488 6,545 163.06
2018-01-10 13F-HR SIMPLEX TRADING, LLC Put 362 492 35.91 46 45 -2.17
2018-02-13 13F-HR COMMONWEALTH OF PENNSYLVANIA PUBLIC SCHOOL EMPLS RETRMT SYS 476,645 600,000 25.88 5,064 4,044 -20.14
2018-02-14 13F-HR TWO SIGMA ADVISERS, LP 119,640 286,089 139.12 804 1,928 139.80
2017-10-24 13F-HR RAYMOND JAMES TRUST N.A. 20,050 0 -100.00 163 0 -100.00
2018-02-07 13F-HR Smh Capital Advisors Inc 147,385 993
2018-02-08 13F-HR SEI INVESTMENTS CO 2,113 367 -82.63 14 2 -85.71
2018-02-14 13F-HR Ameritas Investment Partners, Inc. 11,261 9,431 -16.25 75 2 -97.33
2018-02-14 13F-HR GUGGENHEIM CAPITAL LLC 587,296 613,633 4.48 3,947 4,136 4.79
2018-02-14 13F-HR MACQUARIE GROUP LTD 168,041 165,741 -1.37 1,129 1,117 -1.06
2018-02-14 13F-HR ROYAL BANK OF CANADA 208,410 192,003 -7.87 1,400 1,295 -7.50
2017-10-30 13F-HR SUMMIT SECURITIES GROUP, LLC 17,500 0 -100.00 142 0 -100.00
2018-01-10 13F-HR DnB Asset Management AS 174,400 174,400 0.00 1,171,968 1,175,456 0.30
2017-11-09 13F-HR FRONTIER INVESTMENT MGMT CO 10,740 0 -100.00 87 0 -100.00

CUSIP: 74348T102