Prospera Financial Services Inc Historic Quarter Change: USA Everything Else, Reduced

Prospera Financial Services Inc historic quarter change: USA Everything Else, Reduced

In partnership units, exchange-traded notes and anything else (listed in the US), over 23 quarters from 2013-06-30 to 2026-06-30, Prospera Financial Services Inc opened 27 positions, added to 14, reduced 18 and sold out of 24.

Q3 2016: Stock POWERSHS DB MULTI SECT COMM; Country of operation —; Class DB PREC MTLS; Shares before 136,550.
Q2 2016: Stock PROSPECT CAPITAL CORPORATION; Country of operation —; Class NOTE 5.500% 8/1; Shares before 245,000.
Q1 2016: Stock PROSPECT CAPITAL CORPORATION; Country of operation —; Class NOTE 5.500% 8/1; Shares before 258,000.
Q4 2015: Stock PROSPECT CAPITAL CORPORATION; Country of operation —; Class NOTE 5.500% 8/1; Shares before 262,000.

Each consecutive pair of Form 13F-HR filings compared (SEC CIK 1541625), 23 quarters: Q2 2026 (2026-03-31 to 2026-06-30, filed 2026-07-15); Q1 2026 (2025-12-31 to 2026-03-31, filed 2026-04-14); Q4 2025 (2025-09-30 to 2025-12-31, filed 2026-02-09); Q3 2025 (2025-06-30 to 2025-09-30, filed 2025-11-06); Q2 2025 (2025-03-31 to 2025-06-30, filed 2025-08-06); Q1 2025 (2024-12-31 to 2025-03-31, filed 2025-05-15); Q4 2024 (2024-09-30 to 2024-12-31, filed 2025-02-13); Q3 2024 (2024-06-30 to 2024-09-30, filed 2024-11-07); Q2 2024 (2024-03-31 to 2024-06-30, filed 2024-08-13); Q1 2024 (2023-12-31 to 2024-03-31, filed 2024-08-13); Q3 2016 (2016-06-30 to 2016-09-30, filed 2016-10-12); Q2 2016 (2016-03-31 to 2016-06-30, filed 2016-07-26); Q1 2016 (2015-12-31 to 2016-03-31, filed 2016-04-12); Q4 2015 (2015-09-30 to 2015-12-31, filed 2016-01-12); Q3 2015 (2015-06-30 to 2015-09-30, filed 2015-10-16); Q2 2015 (2015-03-31 to 2015-06-30, filed 2015-08-07); Q1 2015 (2014-12-31 to 2015-03-31, filed 2015-04-22); Q4 2014 (2014-09-30 to 2014-12-31, filed 2015-01-14); Q3 2014 (2014-06-30 to 2014-09-30, filed 2014-10-16); Q2 2014 (2014-03-31 to 2014-06-30, filed 2014-07-07); Q1 2014 (2013-12-31 to 2014-03-31, filed 2014-04-04); Q4 2013 (2013-09-30 to 2013-12-31, filed 2014-02-13); Q3 2013 (2013-06-30 to 2013-09-30, filed 2013-11-04). Rows for the same security, class and put/call are added together. Value change is the filed value at each quarter end, so it includes the price move. Only the filings held here are compared; the firm's 13F-HR filings go back to the quarter ended 2011-12-31. Not compared, as a quarter between them is not held here yet: 2016-09-30 to 2023-12-31 (missing 2016-12-31, 2017-03-31, 2017-06-30, 2017-09-30, 2017-12-31, 2018-03-31, 2018-06-30, 2018-09-30, 2018-12-31, 2019-03-31, 2019-06-30, 2019-09-30, 2019-12-31, 2020-03-31, 2020-06-30, 2020-09-30, 2020-12-31, 2021-03-31, 2021-06-30, 2021-09-30, 2021-12-31, 2022-03-31, 2022-06-30, 2022-09-30, 2022-12-31, 2023-03-31, 2023-06-30, 2023-09-30).

Quarter	Stock	Class	Shares before	Shares after	Share change	Value before	Value after	Value change	Filed
Q3 2016	POWERSHS DB MULTI SECT COMM CUSIP 73936B200	DB PREC MTLS	136,550	6,780	-129,770	$5,590,000	$275,000	-$5,315,000	2016-10-12
Q2 2016	PROSPECT CAPITAL CORPORATION CUSIP 74348TAD4	NOTE 5.500% 8/1	245,000	240,000	-5,000	$248,000	$241,000	-$7,000	2016-07-26
Q1 2016	PROSPECT CAPITAL CORPORATION CUSIP 74348TAD4	NOTE 5.500% 8/1	258,000	245,000	-13,000	$259,000	$248,000	-$11,000	2016-04-12
Q4 2015	PROSPECT CAPITAL CORPORATION CUSIP 74348TAD4	NOTE 5.500% 8/1	262,000	258,000	-4,000	$267,000	$259,000	-$8,000	2016-01-12
Q4 2015	ARES CAP CORP CUSIP 04010LAD5	NOTE 5.125% 6/0	20,000	18,000	-2,000	$20,000	$18,000	-$2,000	2016-01-12
Q3 2015	PROSPECT CAPITAL CORPORATION CUSIP 74348TAD4	NOTE 5.500% 8/1	304,000	262,000	-42,000	$312,000	$267,000	-$45,000	2015-10-16
Q2 2015	PROSPECT CAPITAL CORPORATION CUSIP 74348TAD4	NOTE 5.500% 8/1	345,000	304,000	-41,000	$354,000	$312,000	-$42,000	2015-08-07
Q2 2015	PDL BIOPHARMA INC CUSIP 69329YAF1	NOTE 4.000% 2/0	33,000	10,000	-23,000	$32,000	$9,000	-$23,000	2015-08-07
Q2 2015	COLONY CAP INC CUSIP 19624RAB2	NOTE 3.875% 1/1	25,000	10,000	-15,000	$27,000	$10,000	-$17,000	2015-08-07
Q1 2015	PROSPECT CAPITAL CORPORATION CUSIP 74348TAD4	NOTE 5.500% 8/1	357,000	345,000	-12,000	$364,000	$354,000	-$10,000	2015-04-22
Q4 2014	JPMORGAN CHASE & CO CUSIP 46625H365	ALERIAN ML ETN	5,447	5,117	-330	$289,000	$235,000	-$54,000	2015-01-14
Q3 2014	JPMORGAN CHASE & CO CUSIP 46625H365	ALERIAN ML ETN	6,150	5,447	-703	$322,000	$289,000	-$33,000	2014-10-16
Q2 2014	JPMORGAN CHASE & CO CUSIP 46625H365	ALERIAN ML ETN	6,334	6,150	-184	$295,000	$322,000	+$27,000	2014-07-07
Q1 2014	DRYSHIPS INC. CUSIP 262498AB4	NOTE 5.000%12/0	20,000	10,000	-10,000	$20,000	$10,000	-$10,000	2014-04-04
Q1 2014	PROSPECT CAPITAL CORPORATION CUSIP 74348TAD4	NOTE 5.500% 8/1	350,000	337,000	-13,000	$365,000	$355,000	-$10,000	2014-04-04
Q1 2014	JPMORGAN CHASE & CO CUSIP 46625H365	ALERIAN ML ETN	6,527	6,334	-193	$303,000	$295,000	-$8,000	2014-04-04
Q4 2013	KINDER MORGAN ENERGY PARTNER CUSIP 494550106	UT LTD PARTNER	7,910	5,313	-2,597	$636,000	$429,000	-$207,000	2014-02-13
Q4 2013	PROSPECT CAPITAL CORPORATION CUSIP 74348TAD4	NOTE 5.500% 8/1	360,000	350,000	-10,000	$373,000	$365,000	-$8,000	2014-02-13

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