PROSPECT CAPITAL CORPORATION

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

Independent Advisor Alliance's Holding History (CIK: 0001696899)

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

Q4 2017
Shares 211,000 Value ($000) $214 Avg Close — Range —
Q3 2017
Shares 211,000 Value ($000) $214 Avg Close — Range —
Q2 2017
Shares 201,000 Value ($000) $206 Avg Close — Range —
Q1 2017
Shares 201,000 Value ($000) $205 Avg Close — Range —
Q4 2016
Shares 201,000 Value ($000) $206 Avg Close — Range —