Capitala

Ownership Profile

Shareholder Breakdown

Shareholder Holders Value ($MM) % O/S Shares
Institution 25 5.39 13.09 354,812
Mutual Fund 9 0.98 2.51 68,057
Insider 8 8.21 8.24 223,392

Institutional Shareholder Rotation

Shareholder Holders Value Chg ($MM) % O/S Share Change
Buyers 8 0.72 1.85 50,264
Sellers 29 -2.07 6.34 -171,943
Net -1.34 4.49 -121,679

Institutional Shareholder Concentration

Value ($MM) % O/S Shares
Total Inst. 13.60 21.33 578,204
Top 10 Inst. 11.95 18.62 504,868
Top 20 Inst. 13.21 20.81 564,098
Top 50 Inst. 13.60 21.33 578,204

Institutional Shareholder Style

Holders Value ($MM) % Inst Shares Shares
Growth 4 1.20 2.77 75,098
Aggressive Growth 1 0.89 2.27 61,583
Core Growth 2 0.16 0.40 10,798
Growth 1 0.15 0.10 2,717
Income
Income Value -- --
Yield 2 1.03 2.64 71,653
Index 2 0.09 0.22 5,891
Other 9 2.29 5.48 148,506
Broker Dealer 3 0.09 0.22 5,960
GARP 1 0.55 1.41 38,122
Hedge Fund 5 1.66 3.85 104,424
Specialty -- --
Value
Core Value 3 0.53 1.34 36,279
Deep Value -- --

Top Holders: Institutional Investor

Holder Shares Held % O/S Share Change Filing Date
Alala (Joseph B III) 92,346 3.41 -3,541 2/21/20
Two Sigma Investments, LP 76,587 2.83 -25,710 12/31/20
Broyhill (Markham Hunt) 66,961 2.47 -- 2/21/20
Bridgeway Capital Management, LLC 61,583 2.27 -19,130 12/31/20
Carroll (Larry W) 54,238 2.00 9,899 12/17/20
Truist Bank 53,202 1.96 -- 12/31/20
Kemper Corporation 38,122 1.41 -- 12/31/20
Punch & Associates Investment Management, Inc. 31,300 1.15 31,300 12/31/20
Advisors Asset Management, Inc. 18,451 0.68 -4,927 12/31/20
Millennium Management LLC 12,078 0.45 -18,207 12/31/20
Arrowstreet Capital, Limited Partnership 11,117 0.41 -- 12/31/20
Eidelman Virant Capital 10,749 0.40 -10,000 12/31/20
BB&T Securities, LLC 6,447 0.24 1,581 12/31/20
International Assets Investment Management, LLC 5,848 0.22 5,848 12/31/20
Geode Capital Management, L.L.C. 5,437 0.20 -- 1/31/21
Laurel Wealth Advisors, LLC 4,729 0.17 -- 12/31/20
Arnall (Stephen A) 4,481 0.17 -- 2/21/20
Ladenburg Thalmann Asset Management Inc. (LTAM) 4,059 0.15 3,892 12/31/19
BofA Global Research (US) 3,646 0.13 -- 12/31/20
Macquarie Investment Management 2,717 0.10 -- 6/30/19
Carolinas Wealth Consulting LLC 2,435 0.09 -- 12/31/20
Wheelahan (Richard G III) 2,229 0.08 -429 6/13/19
UBS Financial Services, Inc. 2,037 0.08 1,053 12/31/20
Red Cedar Capital, LLC 1,729 0.06 -- 12/31/20
Chapman (H Paul) 1,667 0.06 -- 2/21/20
Moyer (R Charles) 1,306 0.05 224 2/21/20
Advisor Group, Inc 926 0.03 510 12/31/20
Blackstone Alternative Investment Advisors LLC 583 0.02 50 9/30/20
BlackRock Institutional Trust Company, N.A. 454 0.02 23 12/31/20
RBC Capital Markets Wealth Management 277 0.01 -83 12/31/20
Advantage Investment Management, LLC 250 0.01 -- 9/30/19
Koonts (Kevin A.) 164 0.01 16 2/21/20
Morgan Stanley Smith Barney LLC 49 -- -108 12/31/20
Biltmore Capital Advisors LLC -- -- -2,000 9/30/20
Leap Investments LP -- -- -3,350 6/30/20
AJO, LP -- -- -4,913 9/30/19
Stephens Capital Management -- -- -5,842 9/30/20
J.P. Morgan Securities LLC -- -- -481 9/30/19
Parametric Portfolio Associates LLC -- -- -2,717 9/30/19
Godsey & Gibb Associates -- -- -5,024 3/31/20
Deutsche Asset Management Americas -- -- -16 6/30/20
California Public Employees' Retirement System -- -- -5,083 9/30/20
Victory Capital Management Inc. -- -- -468 6/30/20
Oppenheimer Asset Management Inc. -- -- -4,444 9/30/20
Fidelity Management & Research Company LLC -- -- -- 6/30/19
Manulife Investment Management (North America) Limited -- -- -14 11/30/19
Morgan Stanley & Co. LLC -- -- -300 6/30/20
Morgan Stanley Investment Management Inc. (US) -- -- -361 6/30/20
PNC Wealth Management -- -- -125 9/30/20
Raymond James & Associates, Inc. -- -- -2,713 9/30/20

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* Insider values reflect direct beneficial ownership.

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