Capitala

Ownership Profile

Shareholder Breakdown

Shareholder Holders Value ($MM) % O/S Shares
Institution 55 31.98 27.51 4,389,410
Mutual Fund 11 2.80 2.33 371,528
Insider 6 3.53 2.70 430,985

Institutional Shareholder Rotation

Shareholder Holders Value Chg ($MM) % O/S Share Change
Buyers 27 2.94 2.50 398,574
Sellers 21 -4.59 3.94 -628,319
Net -- -1.65 1.44 -229,745

Institutional Shareholder Concentration

Value ($MM) % O/S Shares
Total Inst. 31.98 27.51 4,389,410
Top 10 Inst. 23.44 20.36 3,249,118
Top 20 Inst. 29.64 25.52 4,073,159
Top 50 Inst. 31.97 27.50 4,388,203

Institutional Shareholder Style

Holders Value ($MM) % Inst Shares Shares
Growth 7 2.42 2.08 332,312
Aggressive Growth 1 1.13 0.97 155,380
Core Growth 6 1.29 1.11 176,932
Income 3 4.48 3.73 595,834
Yield 3 4.48 3.73 595,834
Index 3 0.43 0.36 57,765
Other 17 7.54 6.47 1,032,270
Broker Dealer 6 0.49 0.42 67,324
GARP 2 1.72 1.48 236,114
Hedge Fund 8 5.23 4.49 716,032
VC/Private Equi 1 0.09 0.08 12,800
Value 5 0.87 0.75 119,234
Core Value 5 0.87 0.75 119,234

Top Holders: Institutional Investor

Holder Shares Held % O/S Share Change Filing Date
Alala (Joseph B III) 730,280 4.58 -30,682 2/22/18
UBS Financial Services, Inc. 435,198 2.73 -13,660 12/31/17
Two Sigma Investments, LP 402,414 2.52 58,458 12/31/17
Advisors Asset Management, Inc. 380,967 2.39 -33,333 12/31/17
Broyhill (Markham Hunt) 380,419 2.38 2,098 2/22/18
Kemper Corporation 228,737 1.43 -- 12/31/17
Ares Management LLC 206,455 1.29 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 -- 2/22/18
Carroll Financial Associates, Inc. 136,412 0.85 5,467 3/31/18
Carroll (Larry W) 135,467 0.85 5,467 3/23/18
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 0.43 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 0.20 -- 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
Arnall (Stephen A) 18,385 0.12 -- 2/22/18
Geode Capital Management, L.L.C. 16,765 0.11 16,765 12/31/17
Wheelahan (Richard G III) 15,948 0.10 -- 2/22/18
Nuveen Asset Management, LLC 14,612 0.09 -26,544 12/31/17
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
Prospect Capital Management L.P. 12,800 0.08 4,060 12/31/17
Balyasny Asset Management LP 12,579 0.08 -8,803 12/31/17
Chapman (H Paul) 10,000 0.06 -- 2/22/18
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 -- 2/22/18
Blackstone Alternative Investment Advisors LLC 5,900 0.04 -2,900 9/30/17
Mediobanca SGR S.p.A. 4,000 0.03 -- 2/28/18
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
Hudock Moyer Wealth Resources, LLC 750 -- 200 12/31/17

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* Insider values reflect direct beneficial ownership.

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