PROSPECT CAPITAL CORPORATION

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

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

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

Q1 2020
Shares 135,000 Value ($000) $134 Avg Close — Range —
Q3 2019
Shares 135,000 Value ($000) $136 Avg Close — Range —
Q2 2019
Shares 135,000 Value ($000) $136 Avg Close — Range —
Q1 2019
Shares 35,000 Value ($000) $35 Avg Close — Range —