PROSPECT CAPITAL CORPORATION

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

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

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

Q4 2017
Shares 889,000 Value ($000) $894 Avg Close — Range —
Q3 2017
Shares 867,000 Value ($000) $880 Avg Close — Range —
Q2 2017
Shares 877,000 Value ($000) $899 Avg Close — Range —
Q1 2017
Shares 841,000 Value ($000) $861 Avg Close — Range —
Q4 2016
Shares 515,000 Value ($000) $527 Avg Close — Range —
Q3 2016
Shares 370,000 Value ($000) $381 Avg Close — Range —
Q2 2016
Shares 185,000 Value ($000) $186 Avg Close — Range —
Q1 2016
Shares 270,000 Value ($000) $263 Avg Close — Range —
Q4 2015
Shares 380,000 Value ($000) $371 Avg Close — Range —
Q3 2015
Shares 135,000 Value ($000) $131 Avg Close — Range —
Q2 2015
Shares 120,000 Value ($000) $120 Avg Close — Range —
Q1 2015
Shares 60,000 Value ($000) $61 Avg Close — Range —
Q4 2014
Shares 60,000 Value ($000) $59 Avg Close — Range —
Q3 2014
Shares 50,000 Value ($000) $52 Avg Close — Range —