PROSPECT CAPITAL CORPORATION

CUSIP: 74348TAQ5 Class: NOTE 4.750% 4/1

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

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

Q1 2020
Shares 507,000 Value ($000) $503 Avg Close — Range —
Q4 2019
Shares 537,000 Value ($000) $542 Avg Close — Range —
Q3 2019
Shares 507,000 Value ($000) $511 Avg Close — Range —
Q2 2019
Shares 612,000 Value ($000) $617 Avg Close — Range —
Q1 2019
Shares 632,000 Value ($000) $635 Avg Close — Range —
Q4 2018
Shares 617,000 Value ($000) $613 Avg Close — Range —
Q3 2018
Shares 632,000 Value ($000) $638 Avg Close — Range —
Q2 2018
Shares 592,000 Value ($000) $591 Avg Close — Range —
Q1 2018
Shares 617,000 Value ($000) $620 Avg Close — Range —
Q4 2017
Shares 400,000 Value ($000) $403 Avg Close — Range —
Q3 2017
Shares 295,000 Value ($000) $298 Avg Close — Range —
Q2 2017
Shares 275,000 Value ($000) $276 Avg Close — Range —
Q1 2017
Shares 250,000 Value ($000) $247 Avg Close — Range —
Q4 2016
Shares 255,000 Value ($000) $249 Avg Close — Range —
Q3 2016
Shares 255,000 Value ($000) $251 Avg Close — Range —
Q2 2016
Shares 255,000 Value ($000) $241 Avg Close — Range —
Q1 2016
Shares 530,000 Value ($000) $465 Avg Close — Range —
Q4 2015
Shares 580,000 Value ($000) $506 Avg Close — Range —
Q3 2015
Shares 310,000 Value ($000) $276 Avg Close — Range —
Q2 2015
Shares 225,000 Value ($000) $212 Avg Close — Range —