PROSPECT CAPITAL CORPORATION

CUSIP: 74348TAD4 Class: CNVRTBND

UNITED CAPITAL FINANCIAL ADVISORS, LLC's Holding History (CIK: 0001463217)

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

Q3 2015
Shares 2,000 Value ($000) $204 Avg Close — Range —
Q2 2015
Shares 2,000 Value ($000) $207 Avg Close — Range —
Q1 2015
Shares 5,000 Value ($000) $520 Avg Close — Range —