PROSPECT CAPITAL CORPORATION

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

Creative Planning's Holding History (CIK: 0001540235)

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

Q4 2017
Shares 19,000 Value ($000) $19 Avg Close — Range —
Q3 2017
Shares 19,000 Value ($000) $19 Avg Close — Range —
Q2 2017
Shares 49,000 Value ($000) $50 Avg Close — Range —
Q1 2017
Shares 19,000 Value ($000) $19 Avg Close — Range —
Q4 2016
Shares 5,000 Value ($000) $5 Avg Close — Range —
Q3 2016
Shares 5,000 Value ($000) $5 Avg Close — Range —