Oswald Brian H - Insider Stock Trading

TC	Stat	Stk	Ins	Fil	+d	+w	+m	+q	+h	+y	avg
P	%ret	1	1	20	1	1	1	5	10	19	6
P	%wins				80	85	70	79	67	75	76

Filing Date	T Date	Ticker	Issuer	Sector	Ind	Industry	Owner	oSt	Rel	Title	T	TVal	Price	L	Qty	oc	Own	H	r2y	r1y	r6m	r3m	r6w	r3w	r7d	r3d	f1d	f1w	f1m	f3m	f6m	f1y
11/14/17 16:12	11/10/17	PSEC	Prospect Capital Corp	Fund	CEF	Closed-End Funds	Oswald Brian H	NY	O	CFO,CCO,	P	201	5.75	0	35	6	575	D
9/6/17 16:01	9/1/17	PSEC	Prospect Capital Corp	Fund	CEF	Closed-End Funds	Oswald Brian H	NY	O	CFO,CCO,	P	336	6.73	0	50	10	540	D
5/16/17 16:01	5/12/17	PSEC	Prospect Capital Corp	Fund	CEF	Closed-End Funds	Oswald Brian H	NY	O	CFO,CCO,	P	36	8.05	26	4	1	490	D	27	20	12	-10	-11	-14	-13	-12
5/15/17 16:03	5/11/17	PSEC	Prospect Capital Corp	Fund	CEF	Closed-End Funds	Oswald Brian H	NY	O	CFO,CCO,	P	85	8.07	26	11	2	486	D	27	20	12	-10	-11	-14	-13	-12
3/22/17 16:00	3/20/17	PSEC	Prospect Capital Corp	Fund	CEF	Closed-End Funds	Oswald Brian H	NY	O	CFO,CCO,	P	233	9.31	25	25	6	475	D	38	44	20	13	6	-3	1	0	0	1	4
12/14/16 16:00	12/14/16	PSEC	Prospect Capital Corp	Fund	CEF	Closed-End Funds	Oswald Brian H	NY	O	CFO,CCO,	P	41	8.18	14	5	1	485	D	32	51	15	8	9	3	4	1	1	2	7	15
9/15/16 16:01	9/13/16	PSEC	Prospect Capital Corp	Fund	CEF	Closed-End Funds	Oswald Brian H	NY	O	CFO,CCO,	P	31	7.85	21	4	1	480	D	1	13	22	6	-5	-6	-8	-4	1	4	4	7	22
9/14/16 16:01	9/12/16	PSEC	Prospect Capital Corp	Fund	CEF	Closed-End Funds	Oswald Brian H	NY	O	CFO,CCO,	P	8	7.85	21	1	0	476	D	0	13	22	8	-5	-7	-8	-8	1	4	4	8	25
12/16/15 07:05	12/14/15	PSEC	Prospect Capital Corp	Fund	CEF	Closed-End Funds	Oswald Brian H	NY	O	CFO,CCO,	P	63	6.30	25	10	2	475	D	-25	-10	-10	-16	-12	-13	-13	-8	3	7	-6	16	28	45
12/10/15 07:02	12/9/15	PSEC	Prospect Capital Corp	Fund	CEF	Closed-End Funds	Oswald Brian H	NY	O	CFO,CCO,	P	169	6.77	18	25	6	465	D	-23	-9	-5	-14	-8	-9	-11	-10	6	0	0	8	27	40
6/11/15 07:00	6/9/15	PSEC	Prospect Capital Corp	Fund	CEF	Closed-End Funds	Oswald Brian H	NY	O	CFO,CCO,	P	473	7.27	23	65	17	440	D	-10	-16	-6	-12	-12	-10	-7	-5	3	6	3	13	4	24
12/11/14 16:16	12/9/14	PSEC	Prospect Capital Corp	Fund	CEF	Closed-End Funds	Oswald Brian H	NY	O	CFO,CCO,	P	530	8.35	33	64	20	375	D	-2	-17	-16	-18	-15	-15	-10	-8	-1	3	5	8	-1	-2
12/4/14 16:15	12/2/14	PSEC	Prospect Capital Corp	Fund	CEF	Closed-End Funds	Oswald Brian H	NY	O	CFO,CCO,	P	1,483	9.12	33	163	109	312	D	11	-7	0	-9	-4	-5	-4	-4	0	-8	-5	2	-9	-5
8/29/14 15:00	8/27/14	PSEC	Prospect Capital Corp	Fund	CEF	Closed-End Funds	Oswald Brian H	NY	O	CFO,CCO,	P	284	10.40	33	27	22	149	D	12	4	-1	6	-2	-3	-5	-6	0	1	-2	-5	-10	-14
6/16/14 16:01	6/12/14	PSEC	Prospect Capital Corp	Fund	CEF	Closed-End Funds	Oswald Brian H	NY	O	CFO,CCO,	P	308	10.25	33	30	33	122	D	17	12	-3	-3	-5	2	6	4	1	1	5	2	-15	-16
6/24/13 15:00	6/20/13	PSEC	Prospect Capital Corp	Fund	CEF	Closed-End Funds	Oswald Brian H	NY	O	CFO,CCO,	P	227	10.45	33	22	31	92	D	24	3	2	-3	-2	2	3	-2	-1	4	7	11	13	12
11/20/12 16:05	11/16/12	PSEC	Prospect Capital Corp	Fund	CEF	Closed-End Funds	Oswald Brian H	NY	O	CFO,CCO,	P	198	10.15	33	20	39	70	D	34	25	5	-5	-9	-11	0	7	1	0	5	8	9	22
9/10/12 16:01	9/6/12	PSEC	Prospect Capital Corp	Fund	CEF	Closed-End Funds	Oswald Brian H	NY	O	CFO,CCO,	P.m	275	11.69	25	24	87	51	D	50	52	15	9	6	3	1	1	2	4	1	-7	1	10
9/2/11 16:04	8/31/11	PSEC	Prospect Capital Corp	Fund	CEF	Closed-End Funds	Oswald Brian H	NY	O	CFO,CCO,	P	61	8.69	20	7	35	27	D	14	1	-26	-22	-14	2	0	-6	1	3	-2	15	37	54
5/25/11 13:17	5/25/11	PSEC	Prospect Capital Corp	Fund	CEF	Closed-End Funds	Oswald Brian H	NY	O	CFO,CCO,	P	80	11.44	14	7	54	20	D	70	28	21	-2	1	-4	-3	0	1	0	-10	-23	-14	8
9/3/10 12:26	9/1/10	PSEC	Prospect Capital Corp	Fund	CEF	Closed-End Funds	Oswald Brian H		O	CFO,CCO,	P	54	9.25	8	6	82	13	D	-10	13	-17	-3	-2	1	3	1	3	4	4	8	38	1
2/18/09 10:15	2/17/09	PSEC	Prospect Capital Corp	Fund	CEF	Closed-End Funds	Oswald Brian H	NY	O	CFO,CCO	P	9	8.50	2	1	16	7										-1	-3	2	21	24	55
2/17/09 14:53	2/13/09	PSEC	Prospect Capital Corp	Fund	CEF	Closed-End Funds	Oswald Brian H	NY	O	CFO,CCO	P	9	8.90	2	1	20	6										-3	-11	-15	11	19	46
11/24/08 17:58	11/20/08	PSEC	Prospect Capital Corp	Fund	CEF	Closed-End Funds	Oswald Brian H		O	CFO,CCO	P	9	8.85	2	1	25	5	D	-31	-26	-36	-27	-22	-23	-3	1	1	2	8	-24	-19	23

D	Derivative transaction in filing (usually option exercise)
M	Multiple transactions in filing; earliest reported transaction date and weighted average transaction price
A	Amended filing
E	Error detected in filing

S - Sale	Sale of securities on an exchange or to another person
S - Sale+OE	Sale of securities on an exchange or to another person (after option exercise)
F - Tax	Payment of exercise price or tax liability using portion of securities received from the company
P - Purchase	Purchase of securities on an exchange or from another person

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