PROSPECT CAPITAL CORPORATION

CUSIP: 74348TAL6 Class: NOTE 5.750% 3/1

D.A. DAVIDSON & CO.'s Holding History (CIK: 0001080107)

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

Q4 2017
Shares 50,000 Value ($000) $51 Avg Close — Range —
Q3 2017
Shares 45,000 Value ($000) $4,564 Avg Close — Range —
Q2 2017
Shares 45,000 Value ($000) $46 Avg Close — Range —
Q1 2017
Shares 45,000 Value ($000) $46 Avg Close — Range —
Q4 2016
Shares 20,000 Value ($000) $20 Avg Close — Range —
Q3 2016
Shares 20,000 Value ($000) $20 Avg Close — Range —
Q2 2016
Shares 20,000 Value ($000) $20 Avg Close — Range —
Q1 2016
Shares 20,000 Value ($000) $19 Avg Close — Range —
Q4 2015
Shares 20,000 Value ($000) $19 Avg Close — Range —
Q3 2015
Shares 20,000 Value ($000) $19 Avg Close — Range —
Q2 2015
Shares 20,000 Value ($000) $20 Avg Close — Range —
Q1 2015
Shares 20,000 Value ($000) $20 Avg Close — Range —