Capitala

Ownership Profile

Shareholder Breakdown

Shareholder Holders Value ($MM) % O/S Shares
Institution 50 33.90 27.38 4,374,990
Mutual Fund 11 3.99 3.21 513,199
Insider 6 4.33 3.26 520,753

Institutional Shareholder Rotation

Shareholder Holders Value Chg ($MM) % O/S Share Change
Buyers 19 3.05 2.44 390,127
Sellers 32 -6.33 5.25 -838,363
Net -- -3.28 2.81 -448,236

Institutional Shareholder Concentration

Value ($MM) % O/S Shares
Total Inst. 33.90 27.38 4,374,990
Top 10 Inst. 25.88 21.01 3,357,308
Top 20 Inst. 31.90 25.77 4,119,081
Top 50 Inst. 33.90 27.38 4,374,990

Institutional Shareholder Style

Holders Value ($MM) % Inst Shares Shares
Growth 6 2.97 2.40 384,090
Aggressive Growth 1 2.31 1.87 299,380
Core Growth 5 0.65 0.53 84,710
Income 3 4.55 3.65 583,769
Yield 3 4.55 3.65 583,769
Index 2 0.32 0.26 41,000
Other 16 7.23 5.86 937,044
Broker Dealer 6 0.28 0.23 36,597
GARP 2 1.80 1.46 233,218
Hedge Fund 7 5.06 4.09 654,429
VC/Private Equi 1 0.09 0.08 12,800
Value 5 1.42 1.15 184,005
Core Value 4 0.80 0.65 103,775
Deep Value 1 0.62 0.50 80,230

Top Holders: Institutional Investor

Holder Shares Held % O/S Share Change Filing Date
Alala (Joseph B III) 730,280 4.57 -30,682 2/22/18
Broyhill (Markham Hunt) 401,766 2.51 21,347 6/1/18
Advisors Asset Management, Inc. 368,902 2.31 -12,065 3/31/18
UBS Financial Services, Inc. 362,640 2.27 -72,558 3/31/18
Two Sigma Investments, LP 310,857 1.95 -91,557 3/31/18
Bridgeway Capital Management, Inc. 299,380 1.87 144,000 3/31/18
Ares Management LLC 294,762 1.84 88,307 3/31/18
Kemper Corporation 228,737 1.43 -- 3/31/18
McGlinn (John F) 209,414 1.31 55,388 6/1/18
BB&T Securities, LLC 150,570 0.94 -24,672 3/31/18
Carroll (Larry W) 140,000 0.88 4,533 5/25/18
Carroll Financial Associates, Inc. 136,412 0.85 5,467 3/31/18
Roumell Asset Management, L.L.C. 80,230 0.50 80,230 3/31/18
BMC Fund, Inc. 78,455 0.49 -- 10/31/17
LoCorr Fund Management, LLC 64,188 0.40 -5,229 3/31/18
Regent Investment Management LLC 63,696 0.40 7,656 3/31/18
Bramshill Investments 62,941 0.39 -6,636 3/31/18
Ancora Advisors, L.L.C. 60,000 0.38 10,000 3/31/18
California Public Employees' Retirement System 40,000 0.25 -- 3/31/18
Millennium Management LLC 35,851 0.22 -49,294 3/31/18
Armor Investment Advisors, LLC 32,677 0.20 -- 3/31/18
Arnall (Stephen A) 26,885 0.17 8,500 6/1/18
Oppenheimer Asset Management Inc. 26,422 0.17 -10,000 3/31/18
Susquehanna Fundamental Investments, LLC 24,273 0.15 24,273 3/31/18
Bank of America Merrill Lynch (US) 21,869 0.14 -- 3/31/18
Morgan Stanley Wealth Management 17,761 0.11 3,750 3/31/18
Wheelahan (Richard G III) 15,948 0.10 -- 2/22/18
Goldman Sachs & Company, Inc. 13,492 0.08 13,492 3/31/18
Nuveen Asset Management, LLC 13,353 0.08 -1,259 3/31/18
Prospect Capital Management L.P. 12,800 0.08 -- 2/28/18
Chapman (H Paul) 10,000 0.06 -- 2/22/18
Blackstone Alternative Investment Advisors LLC 8,800 0.06 2,900 12/31/17
Moyer (R Charles) 6,353 0.04 -- 2/22/18
Morgan Stanley Investment Management Inc. (US) 4,481 0.03 -2,896 3/31/18
Mediobanca SGR S.p.A. 4,000 0.03 -- 4/30/18
Duemme International Luxembourg S.A. 4,000 0.03 4,000 6/30/17
Edge Capital Partners, LLC 2,197 0.01 71 3/31/18
PNC Wealth Management 1,800 0.01 1,800 3/31/18
Ladenburg Thalmann Asset Management Inc. (LTAM) 1,750 0.01 -- 3/31/18
TFS Capital LLC 1,539 0.01 1,539 7/31/17
Metropolitan Life Insurance Co. (US) 1,000 0.01 1,000 12/31/16
Manulife Asset Management Limited 953 0.01 -- 3/31/18
Tower Research Capital LLC 870 0.01 620 3/31/18
Morgan Stanley & Co. LLC 821 0.01 821 3/31/18
Hudock Capital Group, LLC 750 -- -- 3/31/18
U.S. Bancorp Asset Management, Inc. 500 -- -- 3/31/18
RBC Capital Markets Wealth Management 400 -- -- 3/31/18
Advisor Group, Inc 200 -- 200 3/31/18
Barclays Capital Inc. 14 -- -- 3/31/18
Wells Fargo Advisors 1 -- 1 3/31/18

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* Insider values reflect direct beneficial ownership.

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