PROSPECT CAPITAL CORPORATION

CUSIP: 74348TAD4 Class: CNVRTBND

LPL Financial LLC's Holding History (CIK: 0001403438)

Note: Option positions (PUT/CALL) are excluded.

Q2 2016
Shares 410,000 Value ($000) $411 Avg Close — Range —
Q1 2016
Shares 770,000 Value ($000) $774 Avg Close — Range —
Q4 2015
Shares 920,000 Value ($000) $922 Avg Close — Range —
Q3 2015
Shares 450,000 Value ($000) $456 Avg Close — Range —
Q2 2015
Shares 425,000 Value ($000) $432 Avg Close — Range —
Q1 2015
Shares 405,000 Value ($000) $415 Avg Close — Range —
Q4 2014
Shares 375,000 Value ($000) $377 Avg Close — Range —
Q3 2014
Shares 270,000 Value ($000) $278 Avg Close — Range —
Q2 2014
Shares 85,000 Value ($000) $89 Avg Close — Range —
Q4 2013
Shares 76,000 Value ($000) $80 Avg Close — Range —
Q3 2013
Shares 76,000 Value ($000) $79 Avg Close — Range —