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Prospect Capital
PSEC

Name Holding Trade Value Shares
Change 		Change in
Stake
JF
226
Jump Financial
Illinois
– -$248K -95,704 Closed
AGM
227
Alpine Global Management
New York
– -$186K -71,712 Closed
HAG
228
HighPoint Advisor Group
Illinois
– -$73.6K -28,406 Closed
RL
229
RPO LLC
Connecticut
– -$66.2K -25,568 Closed
CA
230
Calton & Associates
Florida
– -$46.1K -17,789 Closed
WP
231
WealthPLAN Partners
Nebraska
– -$40K -15,430 Closed
FI
232
FWG Investments
Kentucky
– -$38.6K -14,913 Closed
NA
233
NewEdge Advisors
Louisiana
– -$36K -13,904 Closed
BFM
234
Boothbay Fund Management
New York
– -$33.1K -12,784 Closed
GSC
235
Ground Swell Capital
South Carolina
– -$27.9K -10,763 Closed
KLCM
236
KG&L Capital Management
Louisiana
– -$26K -10,043 Closed
CFP
237
Catalyst Financial Partners
Massachusetts
– -$25.9K -10,000 Closed
CRI
238
Commonwealth Retirement Investments
Virginia
– -$15K -5,790 Closed
QCG
239
Quadrant Capital Group
Ohio
– -$4.56K -1,762 Closed
GAFA
240
Garton & Associates Financial Advisors
Kentucky
– -$4.27K -1,649 Closed
CIA
241
Cape Investment Advisory
Georgia
– -$1.45K -559 Closed
IWM
242
IMG Wealth Management
Florida
– -$986 -381 Closed
WFA
243
West Financial Advisors
Iowa
– -$782 -302 Closed
FHA
244
Flagship Harbor Advisors
Massachusetts
– -$21 -8 Closed
6 7 8 9
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