PROSPECT CAPITAL CORPORATION

CUSIP: 74348TAR3 Class: Convertible

Institute for Wealth Management, LLC.'s Holding History (CIK: 0001533954)

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

Q2 2019
Shares 20,000 Value ($000) $20 Avg Close — Range —
Q4 2018
Shares 20,000 Value ($000) $19 Avg Close — Range —
Q4 2017
Shares 20,000 Value ($000) $20 Avg Close — Range —