Capitala

Ownership Profile

Shareholder Breakdown

Shareholder Holders Value ($MM) % O/S Shares
Institution 58 34.90 27.80 4,429,680
Mutual Fund 12 3.38 2.78 442,590
Insider 6 3.58 2.67 425,518

Institutional Shareholder Rotation

Shareholder Holders Value Chg ($MM) % O/S Share Change
Buyers 29 3.12 2.65 422,838
Sellers 31 -12.96 9.47 -1,509,037
Net -- -9.84 6.82 -1,086,199

Institutional Shareholder Concentration

Value ($MM) % O/S Shares
Total Inst. 34.90 27.80 4,429,680
Top 10 Inst. 26.17 20.57 3,277,702
Top 20 Inst. 32.17 25.67 4,090,809
Top 50 Inst. 34.88 27.78 4,427,504

Institutional Shareholder Style

Holders Value ($MM) % Inst Shares Shares
Growth 7 2.42 2.09 332,312
Aggressive Growth 1 1.13 0.97 155,380
Core Growth 6 1.29 1.11 176,932
Income 3 4.38 3.70 590,367
Yield 3 4.38 3.70 590,367
Index 3 0.43 0.36 57,765
Other 18 7.57 6.49 1,034,013
Broker Dealer 6 0.49 0.42 67,324
GARP 2 1.72 1.48 236,114
Hedge Fund 9 5.24 4.49 716,075
VC/Private Equi 1 0.12 0.09 14,500
Value 6 1.02 0.88 139,935
Core Value 5 0.87 0.75 119,234
Deep Value 1 0.15 0.13 20,701

Top Holders: Institutional Investor

Holder Shares Held % O/S Share Change Filing Date
Alala (Joseph B III) 760,962 4.77 9,611 8/11/17
UBS Financial Services, Inc. 435,198 2.73 -13,660 12/31/17
Two Sigma Investments, LP 402,414 2.53 58,458 12/31/17
Advisors Asset Management, Inc. 380,967 2.39 -33,333 12/31/17
Broyhill (Markham Hunt) 378,321 2.37 19,010 9/25/17
Kemper Corporation 228,737 1.44 -- 12/31/17
Ares Management LLC 206,455 1.30 24,242 12/31/17
BB&T Securities, LLC 175,242 1.10 -32,368 12/31/17
Bridgeway Capital Management, Inc. 155,380 0.97 -103,200 12/31/17
McGlinn (John F) 154,026 0.97 45,985 9/25/17
Carroll Financial Associates, Inc. 130,945 0.82 27,812 12/31/17
Carroll (Larry W) 130,000 0.82 30,000 12/21/17
BlackRock Asset Management Ireland Limited 103,528 0.65 6,568 12/31/17
Millennium Management LLC 85,145 0.53 -15,915 12/31/17
BMC Fund, Inc. 78,455 0.49 -- 10/31/17
Bramshill Investments 69,577 0.44 69,577 12/31/17
LoCorr Fund Management, LLC 69,417 0.44 69,417 12/31/17
Regent Investment Management LLC 56,040 0.35 12,100 12/31/17
Ancora Advisors, L.L.C. 50,000 0.31 50,000 12/31/17
California Public Employees' Retirement System 40,000 0.25 -- 12/31/17
Oppenheimer Asset Management Inc. 36,422 0.23 11,935 12/31/17
Armor Investment Advisors, LLC 32,677 0.21 -- 12/31/17
Bank of America Merrill Lynch (US) 21,869 0.14 -33 12/31/17
J.P. Morgan Securities LLC 21,319 0.13 20,919 12/31/17
Susquehanna Financial Group, LLLP 21,236 0.13 21,236 12/31/17
Acadian Asset Management LLC 20,701 0.13 -44,170 12/31/17
Arnall (Stephen A) 18,385 0.12 7,475 9/25/17
Geode Capital Management, L.L.C. 16,765 0.11 16,765 12/31/17
Wheelahan (Richard G III) 15,948 0.10 3,361 9/25/17
Nuveen Asset Management, LLC 14,612 0.09 -26,544 12/31/17
Prospect Capital Management L.P. 14,500 0.09 5,760 10/31/17
Macquarie Funds Management Hong Kong Ltd. 14,200 0.09 4,400 12/31/17
Morgan Stanley Wealth Management 14,011 0.09 -35,466 12/31/17
Balyasny Asset Management LP 12,579 0.08 -8,803 12/31/17
Chapman (H Paul) 10,000 0.06 -- 3/2/17
Rational Advisors, Inc. 10,000 0.06 10,000 12/31/17
Morgan Stanley Investment Management Inc. (US) 7,377 0.05 1,890 12/31/17
Moyer (R Charles) 6,353 0.04 -- 3/2/17
Blackstone Alternative Investment Advisors LLC 5,900 0.04 -2,900 9/30/17
Duemme SGR 4,000 0.03 -- 11/30/17
Duemme International Luxembourg S.A. 4,000 0.03 4,000 6/30/17
Citi Investment Research (US) 2,486 0.02 2,486 12/31/17
Edge Capital Partners, LLC 2,126 0.01 67 12/31/17
Deutsche Asset Management Americas 1,900 0.01 400 12/31/17
Ladenburg Thalmann Asset Management Inc. (LTAM) 1,750 0.01 250 12/31/17
TFS Capital LLC 1,539 0.01 1,539 7/31/17
Prime Capital Investment Advisors LLC 1,087 0.01 1,087 12/31/17
Baystate Wealth Management LLC 1,000 0.01 -- 12/31/17
Metropolitan Life Insurance Co. (US) 1,000 0.01 1,000 12/31/16
Manulife Asset Management Limited 953 0.01 274 12/31/17

Copyright Thomson Reuters Corporation

* Insider values reflect direct beneficial ownership.

Charlotte North Carolina Skyline