Capitala

Ownership Profile

Shareholder Breakdown

Shareholder Holders Value ($MM) % O/S Shares
Institution 52 33.26 28.14 4,510,405
Mutual Fund 11 3.57 2.67 427,351
Insider 6 4.33 3.25 520,753

Institutional Shareholder Rotation

Shareholder Holders Value Chg ($MM) % O/S Share Change
Buyers 17 2.42 2.10 336,330
Sellers 28 -3.00 2.54 -407,134
Net -- -0.58 0.44 -70,804

Institutional Shareholder Concentration

Value ($MM) % O/S Shares
Total Inst. 33.26 28.14 4,510,405
Top 10 Inst. 24.58 20.82 3,337,482
Top 20 Inst. 30.84 26.05 4,175,797
Top 50 Inst. 33.26 28.14 4,510,390

Institutional Shareholder Style

Holders Value ($MM) % Inst Shares Shares
Growth 5 3.00 2.61 417,716
Aggressive Growth 1 1.94 1.69 270,380
Core Growth 4 1.06 0.92 147,336
Income 4 5.42 4.65 744,954
Yield 4 5.42 4.65 744,954
Index 3 0.43 0.37 59,267
Other 13 4.77 4.14 663,523
Broker Dealer 4 0.17 0.15 23,821
GARP 2 1.65 1.44 230,284
Hedge Fund 5 2.75 2.39 382,417
Specialty 1 0.10 0.09 14,201
VC/Private Equi 1 0.10 0.08 12,800
Value 9 4.20 3.66 585,857
Core Value 6 3.17 2.76 441,848
Deep Value 3 1.03 0.90 144,009

Top Holders: Institutional Investor

Holder Shares Held % O/S Share Change Filing Date
Alala (Joseph B III) 730,280 4.56 -21,071 2/22/18
Broyhill (Markham Hunt) 401,766 2.51 21,347 6/1/18
Punch & Associates Investment Management, Inc. 362,810 2.26 189,150 12/31/18
UBS Financial Services, Inc. 324,314 2.02 -25,403 12/31/18
SunTrust Bank 319,216 1.99 -- 12/31/18
Ares Management LLC 284,227 1.77 -4,639 12/31/18
Bridgeway Capital Management, Inc. 270,380 1.69 -- 12/31/18
Kemper Corporation 228,737 1.43 -- 12/31/18
McGlinn (John F) 209,414 1.31 55,388 6/1/18
Advisors Asset Management, Inc. 206,338 1.29 -6,974 12/31/18
Carroll Financial Associates, Inc. 140,945 0.88 -- 12/31/18
Carroll (Larry W) 140,000 0.87 4,533 5/25/18
Two Sigma Investments, LP 88,681 0.55 -126,451 12/31/18
BB&T Securities, LLC 84,428 0.53 -896 12/31/18
BMC Fund, Inc. 78,455 0.49 -- 10/31/18
Regent Investment Management LLC 77,367 0.48 9,325 12/31/18
Roumell Asset Management, L.L.C. 64,210 0.40 -6,560 12/31/18
Stephens Capital Management 59,320 0.37 -4,883 12/31/18
Morgan Stanley Wealth Management 54,909 0.34 49,955 12/31/18
Ancora Advisors, L.L.C. 50,000 0.31 -10,000 12/31/18
California Public Employees' Retirement System 40,000 0.25 -- 12/31/18
Arnall (Stephen A) 28,385 0.18 1,500 12/20/18
Laurel Wealth Advisors, LLC 28,384 0.18 28,384 12/31/18
Armor Investment Advisors, LLC 25,129 0.16 -5,900 12/31/18
Oppenheimer Asset Management Inc. 23,567 0.15 -- 12/31/18
Bank of America Merrill Lynch (US) 21,950 0.14 -- 12/31/18
Acadian Asset Management LLC 20,479 0.13 6,278 12/31/18
Red Cedar Capital, LLC 17,246 0.11 17,246 12/31/18
Wheelahan (Richard G III) 15,948 0.10 3,361 2/22/18
SEI Investments Management Corporation 14,201 0.09 -- 12/31/18
Prospect Capital Management L.P. 12,800 0.08 -- 3/31/18
Susquehanna Fundamental Investments, LLC 12,426 0.08 -11,847 12/31/18
Commonwealth Financial Network 11,310 0.07 11,310 12/31/18
Chapman (H Paul) 10,000 0.06 -- 2/22/18
Geode Capital Management, L.L.C. 9,727 0.06 9,727 10/31/18
Invesco Capital Management LLC 9,540 0.06 9,540 12/31/18
Blackstone Alternative Investment Advisors LLC 6,600 0.04 -2,200 3/31/18
Moyer (R Charles) 6,353 0.04 -- 2/22/18
Mediobanca SGR S.p.A. 4,000 0.02 -- 12/31/18
PNC Wealth Management 3,750 0.02 -200 12/31/18
Ladenburg Thalmann Asset Management Inc. (LTAM) 2,675 0.02 325 12/31/18
Edge Capital Partners, LLC 2,265 0.01 68 6/30/18
Morgan Stanley & Co. LLC 1,856 0.01 598 12/31/18
Morgan Stanley Investment Management Inc. (US) 1,547 0.01 1,507 12/31/18
Quad-Cities Investment Group, LLC 1,000 0.01 800 12/31/18
Capital Investment Advisory Services, LLC 1,000 0.01 1,000 12/31/18
Macquarie Funds Management Hong Kong Ltd. 900 0.01 883 12/31/18
Hudock Capital Group, LLC 750 -- -- 12/31/18
Morgan Stanley Investment Management Ltd. (UK) 571 -- -597 12/31/18
Tower Research Capital LLC 234 -- 234 12/31/18

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* Insider values reflect direct beneficial ownership.

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