SARATOGA INVT CORP

Ticker: SAR CUSIP: 80349A208 Class: COM

First Trust Capital Management L.P.'s Holding History (CIK: 0001604488)

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

Q4 2016

Shares 25,631 Value ($000) $528 Avg Close $18.91 Range $17.17 - $20.95

Q2 2016

Shares 30,834 Value ($000) $521,095 Avg Close $16.45 Range $15.65 - $17.41

Q1 2016

Shares 12,329 Value ($000) $193,319 Avg Close $14.45 Range $13.41 - $16.06

Period	Shares	Value ($000)	Average Close	Price Range
Q4 2016	25,631	$528	$18.91	$17.17 - $20.95
Q2 2016	30,834	$521,095	$16.45	$15.65 - $17.41
Q1 2016	12,329	$193,319	$14.45	$13.41 - $16.06