PROSPECT CAPITAL CORPORATION

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

Carnegie Capital Asset Management, LLC's Holding History (CIK: 0001511506)

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

Q4 2017
Shares 1,250,000 Value ($000) $1,249 Avg Close — Range —
Q3 2017
Shares 1,250,000 Value ($000) $1,265 Avg Close — Range —
Q2 2017
Shares 1,275,000 Value ($000) $1,305 Avg Close — Range —
Q1 2017
Shares 1,350,000 Value ($000) $1,381 Avg Close — Range —
Q4 2016
Shares 1,350,000 Value ($000) $1,384 Avg Close — Range —
Q3 2016
Shares 1,350,000 Value ($000) $1,386 Avg Close — Range —
Q2 2016
Shares 1,350,000 Value ($000) $1,368 Avg Close — Range —
Q1 2016
Shares 1,450,000 Value ($000) $1,404 Avg Close — Range —
Q4 2015
Shares 1,475,000 Value ($000) $1,404 Avg Close — Range —
Q3 2015
Shares 460,000 Value ($000) $454 Avg Close — Range —