PROSPECT CAPITAL CORPORATION

CUSIP: 74348TAK8 Class: MTNF 5.375%10/1

SANDERS MORRIS HARRIS LLC's Holding History (CIK: 0001053994)

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

Q3 2016
Shares 7,304 Value ($000) $5,412 Avg Close — Range —
Q2 2016
Shares 3,261,000 Value ($000) $3,322 Avg Close — Range —
Q1 2016
Shares 2,228,000 Value ($000) $2 Avg Close — Range —