PROSPECT CAPITAL CORPORATION

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

Cambridge Investment Research Advisors, Inc.'s Holding History (CIK: 0001419186)

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

Q4 2017
Shares 25,000 Value ($000) $25 Avg Close — Range —
Q3 2017
Shares 25,000 Value ($000) $25 Avg Close — Range —
Q2 2017
Shares 25,000 Value ($000) $26 Avg Close — Range —
Q1 2017
Shares 25,000 Value ($000) $26 Avg Close — Range —
Q4 2016
Shares 25,000 Value ($000) $26 Avg Close — Range —
Q3 2016
Shares 25,000 Value ($000) $26 Avg Close — Range —
Q2 2016
Shares 25,000 Value ($000) $26 Avg Close — Range —
Q1 2016
Shares 25,000 Value ($000) $24 Avg Close — Range —
Q4 2015
Shares 25,000 Value ($000) $24 Avg Close — Range —
Q3 2015
Shares 25,000 Value ($000) $24 Avg Close — Range —
Q3 2014
Shares 25,000 Value ($000) $26 Avg Close — Range —