Reported 186,000 shares, up 4,000 (2.2%) from the prior quarter.
Reported value 2.2%; share count 2.2% vs. the prior quarter.
Reported position value by quarter
Each bar is a Form 13-F quarter-end snapshot. It does not show trades made within the quarter.
| Date | Holding Value |
|---|---|
| 2021-09-30 | 190000 |
| 2021-09-30 | 3000 |
| 2021-12-31 | 182000 |
| 2021-12-31 | 3000 |
| 2022-03-31 | 3000 |
| 2022-03-31 | 652000 |
| 2022-06-30 | 186000 |
| 2022-06-30 | 3000 |
| 2022-09-30 | 0 |
| 2022-09-30 | 0 |
Quarterly position history
How this manager's reported quarter-end position changed over time.
| Quarter | Activity | Shares | Change | % of reported 13F | Reported value | Filed | Source filing |
|---|---|---|---|---|---|---|---|
| Q3 2022 | Reduced | 0 | -3 (-100.0%) | 0 | $0 | 2022-11-14 | |
| Q3 2022 | Reduced | 0 | -185,000 (-100.0%) | 0 | $0 | 2022-11-14 | |
| Q2 2022 | Unchanged | 3 | 0 (0.0%) | < 0.01% | $3,000 | 2022-08-10 | |
| Q2 2022 | Unchanged | 185,000 | 0 (0.0%) | < 0.01% | $186,000 | 2022-08-10 | |
| Q1 2022 | Added | 185,000 | +5,000 (2.8%) | < 0.01% | $652,000 | 2022-05-04 | |
| Q1 2022 | Unchanged | 3 | 0 (0.0%) | < 0.01% | $3,000 | 2022-05-04 | |
| Q4 2021 | Unchanged | 3 | 0 (0.0%) | < 0.01% | $3,000 | 2022-02-03 | |
| Q4 2021 | Reduced | 180,000 | -6,000 (-3.2%) | < 0.01% | $182,000 | 2022-02-03 | |
| Q3 2021 | Reduced | 3 | -25 (-89.3%) | < 0.01% | $3,000 | 2021-11-05 | |
| Q3 2021 | Added | 186,000 | +4,000 (2.2%) | < 0.01% | $190,000 | 2021-11-05 | |
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Who else reported the position
55 managers reported PROSPECT CAP CORP for Q3 2021.
| Manager | Activity | Shares | Change | % of reported 13F | Reported value | Tenure |
|---|---|---|---|---|---|---|
| SMH CAPITAL ADVISORS INC | Reduced | 5,198,000 | -22,000 | 9.78% | $5,320,000 | 16 qtrs |
| MUTUAL OF AMERICA CAPITAL MANAGEMENT LLC | Unchanged | 4,630,000 | 0 | 0.05% | $4,738,000 | 11 qtrs |
| Radcliffe Capital Management L P | Reduced | 2,660,000 | -23,113,000 | 0.08% | $2,722,000 | 18 qtrs |
| ROYAL BANK OF CANADA | Reduced | 2,088,000 | -415,000 | < 0.01% | $2,132,000 | 18 qtrs |
| MORGAN STANLEY | Reduced | 1,402,000 | -101,000 | < 0.01% | $1,435,000 | 18 qtrs |
| COMMONWEALTH OF PENNSYLVANIA PUBLIC SCHOOL EMPLS RETRMT SYS | Unchanged | 1,310,000 | 0 | 0.02% | $1,341,000 | 18 qtrs |
| STIFEL FINANCIAL CORP | Reduced | 750,153 | -112,911 | < 0.01% | $750,000 | 18 qtrs |
| Goodman Financial Corp | Unchanged | 552,000 | 0 | 0.15% | $565,000 | 16 qtrs |
| UNITED CAPITAL FINANCIAL ADVISERS LLC | Unchanged | 5,000 | 0 | < 0.01% | $512,000 | 2 qtrs |
| WELLS FARGO & COMPANY MN | Reduced | 290,000 | -10,000 | < 0.01% | $297,000 | 18 qtrs |
Filing details and methodology As reported
- Report period
- September 30, 2021
- Filed
- November 05, 2021
- Filing type
- 13F-HR
- Position type
- NOTE 4.950% 7/1
Voting authority reported
- Sole
- 11,000
- Shared
- 0
- None
- 175,000
“None” means the manager reported no voting authority for those shares on non-routine matters. It does not disclose why and is not evidence of securities lending.
Form 13-F is a delayed quarter-end snapshot of disclosed long Section 13(f) securities. It can be filed up to 45 days after quarter end, excludes short positions and most non-U.S. securities, and does not reveal intra-quarter trading. For options, reported shares and value describe the underlying-share exposure; strike, expiry, premium, and written positions are not disclosed.