PROSPECT CAPITAL CORPORATION

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

UNITED CAPITAL FINANCIAL ADVISORS, LLC's Holding History (CIK: 0001463217)

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

Q1 2020
Shares 10,000 Value ($000) $10 Avg Close — Range —
Q4 2019
Shares 10,000 Value ($000) $10 Avg Close — Range —
Q3 2019
Shares 35,000 Value ($000) $35 Avg Close — Range —
Q2 2019
Shares 25,000 Value ($000) $25 Avg Close — Range —