401k Plan data: PROSPECT CAPITAL PROFIT SHARING AND 401K PLAN plan

PROSPECT CAPITAL PROFIT SHARING AND 401K PLAN 401k Plan overview

Plan Name	PROSPECT CAPITAL PROFIT SHARING AND 401K PLAN
Plan identification number	002

PROSPECT CAPITAL PROFIT SHARING AND 401K PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Age/Service Weighted or new comparability or similar plan - Age/Service Weighted Plan: Allocations are based on age, service, or age and service. New comparability or similar plan: Allocations are based on participant classifications and a classification(s) consists entirely or predominantly of highly compensated employees; or the plan provides an additional allocation rate on compensation above a specified threshold, and the theshold or additional rate exceeds the maximum threshold or rate allowed under the permitted disparity rules of section 401(l).
Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Plan covering Self-Employed individuals.
Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

PROSPECT CAPITAL BENEFITS LLC has sponsored the creation of one or more 401k plans.

Company Name: PROSPECT CAPITAL BENEFITS LLC

Employer identification number (EIN): 133879550

NAIC Classification: 525990
NAIC Description: Other Financial Vehicles

Additional information about PROSPECT CAPITAL BENEFITS LLC

Jurisdiction of Incorporation: State of Delaware Division of Corporations

Incorporation Date:

Company Identification Number: 3784463

More information about PROSPECT CAPITAL BENEFITS LLC

Form 5500 Filing Information

Submission information for form 5500 for 401k plan PROSPECT CAPITAL PROFIT SHARING AND 401K PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2018-01-01 DARIA BARRY
002 2017-01-01 DARIA BARRY
002 2016-01-01 NATHALIE DALRYMPLE
002 2015-01-01 EMMA COLLS EMMA COLLS 2016-10-06
002 2014-01-01 DARIA BECKER BARRY DARIA BECKER BARRY 2015-10-12
002 2013-01-01 DARIA BECKER BARRY DARIA BECKER BARRY 2014-10-03
002 2012-01-01 PROSPECT CAPITAL MANAGEMENT, LLC 2013-06-28 PROSPECT CAPITAL MANAGEMENT, LLC 2013-06-28
002 2011-01-01 DARIA BECKER 2012-04-27
002 2010-01-01 DARIA BECKER BARRY 2011-07-12

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
002	2018-01-01	DARIA BARRY
002	2017-01-01	DARIA BARRY
002	2016-01-01	NATHALIE DALRYMPLE
002	2015-01-01	EMMA COLLS		EMMA COLLS	2016-10-06
002	2014-01-01	DARIA BECKER BARRY		DARIA BECKER BARRY	2015-10-12
002	2013-01-01	DARIA BECKER BARRY		DARIA BECKER BARRY	2014-10-03
002	2012-01-01	PROSPECT CAPITAL MANAGEMENT, LLC	2013-06-28	PROSPECT CAPITAL MANAGEMENT, LLC	2013-06-28
002	2011-01-01	DARIA BECKER	2012-04-27
002	2010-01-01	DARIA BECKER BARRY	2011-07-12

Plan Statistics for PROSPECT CAPITAL PROFIT SHARING AND 401K PLAN

401k plan membership statisitcs for PROSPECT CAPITAL PROFIT SHARING AND 401K PLAN

Measure Date Value
2018: PROSPECT CAPITAL PROFIT SHARING AND 401K PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 114
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 86
Number of retired or separated participants receiving benefits 2018-01-01 0
Number of other retired or separated participants entitled to future benefits 2018-01-01 22
Total of all active and inactive participants 2018-01-01 108
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 0
Total participants 2018-01-01 108
Number of participants with account balances 2018-01-01 91
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 4
2017: PROSPECT CAPITAL PROFIT SHARING AND 401K PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 112
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 90
Number of retired or separated participants receiving benefits 2017-01-01 0
Number of other retired or separated participants entitled to future benefits 2017-01-01 24
Total of all active and inactive participants 2017-01-01 114
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 0
Total participants 2017-01-01 114
Number of participants with account balances 2017-01-01 90
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 12
2016: PROSPECT CAPITAL PROFIT SHARING AND 401K PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 111
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 94
Number of retired or separated participants receiving benefits 2016-01-01 0
Number of other retired or separated participants entitled to future benefits 2016-01-01 18
Total of all active and inactive participants 2016-01-01 112
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 112
Number of participants with account balances 2016-01-01 91
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 4
2015: PROSPECT CAPITAL PROFIT SHARING AND 401K PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 97
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 100
Number of retired or separated participants receiving benefits 2015-01-01 0
Number of other retired or separated participants entitled to future benefits 2015-01-01 11
Total of all active and inactive participants 2015-01-01 111
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 111
Number of participants with account balances 2015-01-01 81
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 1
2014: PROSPECT CAPITAL PROFIT SHARING AND 401K PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 57
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 92
Number of retired or separated participants receiving benefits 2014-01-01 0
Number of other retired or separated participants entitled to future benefits 2014-01-01 5
Total of all active and inactive participants 2014-01-01 97
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 97
Number of participants with account balances 2014-01-01 66
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 2
2013: PROSPECT CAPITAL PROFIT SHARING AND 401K PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 41
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 48
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 9
Total of all active and inactive participants 2013-01-01 57
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 57
Number of participants with account balances 2013-01-01 56
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 4

Measure	Date	Value
2018: PROSPECT CAPITAL PROFIT SHARING AND 401K PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	114
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	86
Number of retired or separated participants receiving benefits	2018-01-01	0
Number of other retired or separated participants entitled to future benefits	2018-01-01	22
Total of all active and inactive participants	2018-01-01	108
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	0
Total participants	2018-01-01	108
Number of participants with account balances	2018-01-01	91
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	4
2017: PROSPECT CAPITAL PROFIT SHARING AND 401K PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	112
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	90
Number of retired or separated participants receiving benefits	2017-01-01	0
Number of other retired or separated participants entitled to future benefits	2017-01-01	24
Total of all active and inactive participants	2017-01-01	114
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	0
Total participants	2017-01-01	114
Number of participants with account balances	2017-01-01	90
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	12
2016: PROSPECT CAPITAL PROFIT SHARING AND 401K PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	111
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	94
Number of retired or separated participants receiving benefits	2016-01-01	0
Number of other retired or separated participants entitled to future benefits	2016-01-01	18
Total of all active and inactive participants	2016-01-01	112
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	112
Number of participants with account balances	2016-01-01	91
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	4
2015: PROSPECT CAPITAL PROFIT SHARING AND 401K PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	97
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	100
Number of retired or separated participants receiving benefits	2015-01-01	0
Number of other retired or separated participants entitled to future benefits	2015-01-01	11
Total of all active and inactive participants	2015-01-01	111
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	111
Number of participants with account balances	2015-01-01	81
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	1
2014: PROSPECT CAPITAL PROFIT SHARING AND 401K PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	57
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	92
Number of retired or separated participants receiving benefits	2014-01-01	0
Number of other retired or separated participants entitled to future benefits	2014-01-01	5
Total of all active and inactive participants	2014-01-01	97
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	97
Number of participants with account balances	2014-01-01	66
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	2
2013: PROSPECT CAPITAL PROFIT SHARING AND 401K PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	41
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	48
Number of retired or separated participants receiving benefits	2013-01-01	0
Number of other retired or separated participants entitled to future benefits	2013-01-01	9
Total of all active and inactive participants	2013-01-01	57
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	57
Number of participants with account balances	2013-01-01	56
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	4

Financial Data on PROSPECT CAPITAL PROFIT SHARING AND 401K PLAN

Measure	Date	Value
2018 : PROSPECT CAPITAL PROFIT SHARING AND 401K PLAN 2018 401k financial data
Transfers to/from the plan	2018-12-31	$0
Total plan liabilities at end of year	2018-12-31	$0
Total plan liabilities at beginning of year	2018-12-31	$0
Total income from all sources	2018-12-31	$1,497,534
Expenses. Total of all expenses incurred	2018-12-31	$790,668
Benefits paid (including direct rollovers)	2018-12-31	$736,417
Total plan assets at end of year	2018-12-31	$12,865,734
Total plan assets at beginning of year	2018-12-31	$12,158,868
Value of fidelity bond covering the plan	2018-12-31	$500,000
Total contributions received or receivable from participants	2018-12-31	$491,342
Expenses. Other expenses not covered elsewhere	2018-12-31	$54,251
Contributions received from other sources (not participants or employers)	2018-12-31	$19,131
Other income received	2018-12-31	$-750,556
Net income (gross income less expenses)	2018-12-31	$706,866
Net plan assets at end of year (total assets less liabilities)	2018-12-31	$12,865,734
Net plan assets at beginning of year (total assets less liabilities)	2018-12-31	$12,158,868
Assets. Value of participant loans	2018-12-31	$15,392
Total contributions received or receivable from employer(s)	2018-12-31	$1,737,617
Value of certain deemed distributions of participant loans	2018-12-31	$0
Value of corrective distributions	2018-12-31	$0
2017 : PROSPECT CAPITAL PROFIT SHARING AND 401K PLAN 2017 401k financial data
Transfers to/from the plan	2017-12-31	$0
Total plan liabilities at end of year	2017-12-31	$0
Total plan liabilities at beginning of year	2017-12-31	$0
Total income from all sources	2017-12-31	$4,612,334
Expenses. Total of all expenses incurred	2017-12-31	$2,963,566
Benefits paid (including direct rollovers)	2017-12-31	$2,914,184
Total plan assets at end of year	2017-12-31	$12,158,868
Total plan assets at beginning of year	2017-12-31	$10,510,100
Value of fidelity bond covering the plan	2017-12-31	$500,000
Total contributions received or receivable from participants	2017-12-31	$424,630
Expenses. Other expenses not covered elsewhere	2017-12-31	$49,382
Contributions received from other sources (not participants or employers)	2017-12-31	$345,321
Other income received	2017-12-31	$1,848,818
Net income (gross income less expenses)	2017-12-31	$1,648,768
Net plan assets at end of year (total assets less liabilities)	2017-12-31	$12,158,868
Net plan assets at beginning of year (total assets less liabilities)	2017-12-31	$10,510,100
Assets. Value of participant loans	2017-12-31	$114,749
Total contributions received or receivable from employer(s)	2017-12-31	$1,993,565
Value of certain deemed distributions of participant loans	2017-12-31	$0
Value of corrective distributions	2017-12-31	$0
2016 : PROSPECT CAPITAL PROFIT SHARING AND 401K PLAN 2016 401k financial data
Transfers to/from the plan	2016-12-31	$0
Total plan liabilities at end of year	2016-12-31	$0
Total plan liabilities at beginning of year	2016-12-31	$0
Total income from all sources	2016-12-31	$2,876,658
Expenses. Total of all expenses incurred	2016-12-31	$528,238
Benefits paid (including direct rollovers)	2016-12-31	$494,876
Total plan assets at end of year	2016-12-31	$10,510,100
Total plan assets at beginning of year	2016-12-31	$8,161,680
Value of fidelity bond covering the plan	2016-12-31	$500,000
Total contributions received or receivable from participants	2016-12-31	$484,701
Expenses. Other expenses not covered elsewhere	2016-12-31	$740
Contributions received from other sources (not participants or employers)	2016-12-31	$10,710
Other income received	2016-12-31	$551,080
Net income (gross income less expenses)	2016-12-31	$2,348,420
Net plan assets at end of year (total assets less liabilities)	2016-12-31	$10,510,100
Net plan assets at beginning of year (total assets less liabilities)	2016-12-31	$8,161,680
Total contributions received or receivable from employer(s)	2016-12-31	$1,830,167
Value of certain deemed distributions of participant loans	2016-12-31	$0
Value of corrective distributions	2016-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2016-12-31	$32,622
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-12-31	$0
Funding deficiency by the employer to the plan for this plan year	2016-12-31	$0
Minimum employer required contribution for this plan year	2016-12-31	$0
Amount contributed by the employer to the plan for this plan year	2016-12-31	$0
2015 : PROSPECT CAPITAL PROFIT SHARING AND 401K PLAN 2015 401k financial data
Total income from all sources	2015-12-31	$1,672,214
Expenses. Total of all expenses incurred	2015-12-31	$640,636
Benefits paid (including direct rollovers)	2015-12-31	$635,858
Total plan assets at end of year	2015-12-31	$8,161,680
Total plan assets at beginning of year	2015-12-31	$7,130,102
Value of fidelity bond covering the plan	2015-12-31	$500,000
Total contributions received or receivable from participants	2015-12-31	$439,765
Other income received	2015-12-31	$-164,003
Net income (gross income less expenses)	2015-12-31	$1,031,578
Net plan assets at end of year (total assets less liabilities)	2015-12-31	$8,161,680
Net plan assets at beginning of year (total assets less liabilities)	2015-12-31	$7,130,102
Total contributions received or receivable from employer(s)	2015-12-31	$1,396,452
Value of corrective distributions	2015-12-31	$3,816
Expenses. Administrative service providers (salaries,fees and commissions)	2015-12-31	$962
2014 : PROSPECT CAPITAL PROFIT SHARING AND 401K PLAN 2014 401k financial data
Total income from all sources	2014-12-31	$2,521,088
Expenses. Total of all expenses incurred	2014-12-31	$52,685
Benefits paid (including direct rollovers)	2014-12-31	$50,535
Total plan assets at end of year	2014-12-31	$7,130,102
Total plan assets at beginning of year	2014-12-31	$4,661,699
Total contributions received or receivable from participants	2014-12-31	$436,021
Other income received	2014-12-31	$454,877
Net income (gross income less expenses)	2014-12-31	$2,468,403
Net plan assets at end of year (total assets less liabilities)	2014-12-31	$7,130,102
Net plan assets at beginning of year (total assets less liabilities)	2014-12-31	$4,661,699
Total contributions received or receivable from employer(s)	2014-12-31	$1,630,190
Expenses. Administrative service providers (salaries,fees and commissions)	2014-12-31	$2,150
2013 : PROSPECT CAPITAL PROFIT SHARING AND 401K PLAN 2013 401k financial data
Transfers to/from the plan	2013-12-31	$-20,490
Total income from all sources	2013-12-31	$1,850,603
Expenses. Total of all expenses incurred	2013-12-31	$18,978
Benefits paid (including direct rollovers)	2013-12-31	$18,647
Total plan assets at end of year	2013-12-31	$4,661,699
Total plan assets at beginning of year	2013-12-31	$2,850,564
Total contributions received or receivable from participants	2013-12-31	$133,818
Expenses. Other expenses not covered elsewhere	2013-12-31	$257
Other income received	2013-12-31	$580,360
Net income (gross income less expenses)	2013-12-31	$1,831,625
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$4,661,699
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$2,850,564
Total contributions received or receivable from employer(s)	2013-12-31	$1,136,425
Value of corrective distributions	2013-12-31	$74

Form 5500 Responses for PROSPECT CAPITAL PROFIT SHARING AND 401K PLAN

2018: PROSPECT CAPITAL PROFIT SHARING AND 401K PLAN 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	Submission has been amended	No
2018-01-01	This submission is the final filing	No
2018-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2018-01-01	Plan is a collectively bargained plan	No
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2017: PROSPECT CAPITAL PROFIT SHARING AND 401K PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Submission has been amended	No
2017-01-01	This submission is the final filing	No
2017-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2017-01-01	Plan is a collectively bargained plan	No
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: PROSPECT CAPITAL PROFIT SHARING AND 401K PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Submission has been amended	No
2016-01-01	This submission is the final filing	No
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2016-01-01	Plan is a collectively bargained plan	No
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: PROSPECT CAPITAL PROFIT SHARING AND 401K PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Submission has been amended	No
2015-01-01	This submission is the final filing	No
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-01-01	Plan is a collectively bargained plan	No
2015-01-01	Plan funding arrangement – Insurance	Yes
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement – Insurance	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: PROSPECT CAPITAL PROFIT SHARING AND 401K PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Submission has been amended	No
2014-01-01	This submission is the final filing	No
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-01-01	Plan is a collectively bargained plan	No
2014-01-01	Plan funding arrangement – Insurance	Yes
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement – Insurance	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: PROSPECT CAPITAL PROFIT SHARING AND 401K PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	No
2013-01-01	This submission is the final filing	No
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – Insurance	Yes
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement – Insurance	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )

Policy contract number

ZH9751

Policy instance

Insurance contract or identification number	ZH9751
Number of Individuals Covered	111
Insurance policy start date	2015-01-01
Insurance policy end date	2015-12-31
Total amount of commissions paid to insurance broker	USD $20,551
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $20,551
Insurance broker organization code?	3
Insurance broker name	MORGAN STANLEY SMITH BARNEY LLC

VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )

Policy contract number

ZH9751

Policy instance

Insurance contract or identification number	ZH9751
Number of Individuals Covered	97
Insurance policy start date	2014-01-01
Insurance policy end date	2014-12-31
Total amount of commissions paid to insurance broker	USD $13,158
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $13,158
Insurance broker organization code?	3
Insurance broker name	MORGAN STANLEY SMITH BARNEY LLC

VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )

Policy contract number

ZH9751

Policy instance

Insurance contract or identification number	ZH9751
Number of Individuals Covered	57
Insurance policy start date	2013-01-01
Insurance policy end date	2013-12-31
Total amount of commissions paid to insurance broker	USD $22,619
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $22,619
Insurance broker organization code?	3
Insurance broker name	MORGAN STANLEY SMITH BARNEY LLC

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Company Name:	PROSPECT CAPITAL BENEFITS LLC
Employer identification number (EIN):	133879550
NAIC Classification:	525990
NAIC Description:	Other Financial Vehicles

Jurisdiction of Incorporation:	State of Delaware Division of Corporations
Incorporation Date:
Company Identification Number:	3784463