RIO TINTO PLC

Ticker: RIO CUSIP: 767204100 Class: COM

SHEPHERD KAPLAN KROCHUK, LLC's Holding History (CIK: 0001218583)

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

Q3 2015
Shares 14,000 Value ($000) $473 Avg Close — Range —
Q2 2015
Shares 14,000 Value ($000) $577 Avg Close — Range —
Q1 2015
Shares 14,000 Value ($000) $580 Avg Close — Range —
Q4 2014
Shares 14,000 Value ($000) $645 Avg Close — Range —
Q3 2014
Shares 14,000 Value ($000) $689 Avg Close — Range —
Q2 2014
Shares 28,000 Value ($000) $1,520 Avg Close — Range —
Q1 2014
Shares 28,000 Value ($000) $1,563 Avg Close — Range —
Q4 2013
Shares 28,000 Value ($000) $1,580 Avg Close — Range —
Q3 2013
Shares 28,900 Value ($000) $1,409 Avg Close — Range —
Q2 2013
Shares 28,900 Value ($000) $1,187 Avg Close — Range —