PROSPECT CAPITAL CORPORATION

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

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

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

Q3 2017
Shares 375,000 Value ($000) $376 Avg Close — Range —
Q2 2017
Shares 375,000 Value ($000) $378 Avg Close — Range —
Q1 2017
Shares 375,000 Value ($000) $380 Avg Close — Range —
Q4 2016
Shares 375,000 Value ($000) $382 Avg Close — Range —
Q3 2016
Shares 100,000 Value ($000) $102 Avg Close — Range —
Q2 2016
Shares 80,000 Value ($000) $81 Avg Close — Range —
Q1 2016
Shares 210,000 Value ($000) $205 Avg Close — Range —
Q4 2015
Shares 210,000 Value ($000) $208 Avg Close — Range —
Q3 2015
Shares 105,000 Value ($000) $105 Avg Close — Range —
Q2 2015
Shares 85,000 Value ($000) $86 Avg Close — Range —
Q1 2015
Shares 85,000 Value ($000) $86 Avg Close — Range —