PROSPECT CAPITAL CORPORATION

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

Sigma Planning Corp's Holding History (CIK: 0001449126)

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

Q1 2017
Shares 80,000 Value ($000) $79 Avg Close — Range —
Q4 2016
Shares 80,000 Value ($000) $78 Avg Close — Range —
Q3 2016
Shares 80,000 Value ($000) $79 Avg Close — Range —
Q2 2016
Shares 80,000 Value ($000) $76 Avg Close — Range —