Capitala

Ownership Profile

Shareholder Breakdown

Shareholder Holders Value ($MM) % O/S Shares
Institution 48 21.70 16.19 2,616,748
Mutual Fund 23 5.42 4.05 652,035
Insider 9 12.23 8.58 1,384,802

Institutional Shareholder Rotation

Shareholder Holders Value Chg ($MM) % O/S Share Change
Buyers 18 1.47 1.09 176,643
Sellers 24 -5.08 3.76 -608,769
Net -3.61 2.67 -432,126

Institutional Shareholder Concentration

Value ($MM) % O/S Shares
Total Inst. 33.93 24.77 4,001,550
Top 10 Inst. 25.74 18.68 3,019,064
Top 20 Inst. 31.63 23.07 3,725,968
Top 50 Inst. 33.92 24.77 4,000,782

Institutional Shareholder Style

Holders Value ($MM) % Inst Shares Shares
Growth
Aggressive Growth 1 1.86 1.39 224,080
Core Growth 5 0.87 0.65 105,122
Growth -- --
Income
Income Value -- --
Yield 4 6.47 4.82 778,727
Index 4 0.46 0.35 56,025
Other 14 4.97 3.72 601,018
Broker Dealer 3 0.19 0.14 22,372
GARP 3 1.91 1.43 230,720
Hedge Fund 6 2.78 2.07 335,125
Specialty 1 -- -- 1
VC Private Equity 1 0.10 0.08 12,800
Value 9 1.13 0.84 136,386
Core Value 7 0.52 0.39 63,313
Deep Value 2 0.61 0.45 73,073

Top Holders: Institutional Investor

Holder Shares Held % O/S Share Change Filing Date
Alala (Joseph B III) 575,322 3.57 2,576 6/13/19
Broyhill (Markham Hunt) 401,766 2.49 -- 2/25/19
SunTrust Bank 319,216 1.97 -- 9/30/19
UBS Financial Services, Inc. 297,860 1.84 3,856 9/30/19
Virtus Etf Advisers LLC 268,145 1.66 58,040 9/30/19
Two Sigma Investments, LP 254,413 1.57 78,521 9/30/19
Advisors Asset Management, Inc. 240,111 1.48 17,546 9/30/19
Kemper Corporation 228,737 1.41 -- 9/30/19
Bridgeway Capital Management, Inc. 224,080 1.39 3,700 9/30/19
McGlinn (John F) 209,414 1.30 55,388 6/1/18
Carroll Financial Associates, Inc. 140,945 0.87 -- 9/30/19
Carroll (Larry W) 140,660 0.87 660 2/25/19
BB&T Securities, LLC 81,121 0.50 -14,534 9/30/19
BMC Fund, Inc. 78,455 0.49 -- 1/31/19
Regent Investment Management LLC 61,625 0.38 -1,600 9/30/19
Arrowstreet Capital, Limited Partnership 47,793 0.30 -102,682 9/30/19
Stephens Capital Management 47,206 0.29 -12,113 9/30/19
California Public Employees' Retirement System 40,000 0.25 -- 9/30/19
Morgan Stanley Smith Barney LLC 38,955 0.24 -1,074 9/30/19
Godsey & Gibb Associates 30,144 0.19 -- 9/30/19
Laurel Wealth Advisors, LLC 28,384 0.18 -- 9/30/19
Squarepoint Capital LLP 27,419 0.17 988 9/30/19
Arnall (Stephen A) 26,885 0.17 -1,500 2/25/19
Oppenheimer Asset Management Inc. 26,663 0.17 -- 9/30/19
Acadian Asset Management LLC 25,867 0.16 -6,917 9/30/19
Bank of America Merrill Lynch (US) 21,869 0.14 -- 9/30/19
Armor Investment Advisors, LLC 18,129 0.11 -2,000 9/30/19
Biltmore Capital Advisors LLC 16,000 0.10 4,000 9/30/19
Wheelahan (Richard G III) 13,372 0.08 -2,576 6/13/19
Prospect Capital Corp 12,800 0.08 -- 3/31/18
Chapman (H Paul) 10,000 0.06 -- 2/25/19
Geode Capital Management, L.L.C. 9,727 0.06 -- 10/31/19
Moyer (R Charles) 6,493 0.04 140 2/25/19
Mediobanca SGR S.p.A. 4,000 0.02 -- 10/31/19
Blackstone Alternative Investment Advisors LLC 4,000 0.02 -200 3/31/19
Invesco Capital Management LLC 3,400 0.02 -485 1/31/19
Victory Capital Management Inc. 2,898 0.02 2,898 9/30/19
BlackRock Institutional Trust Company, N.A. 2,898 0.02 2,898 9/30/19
Edge Capital Partners, LLC 2,265 0.01 68 6/30/18
Morgan Stanley Investment Management Inc. (US) 1,982 0.01 58 9/30/19
Advisor Group, Inc 1,700 0.01 500 9/30/19
Advantage Investment Management, LLC 1,500 0.01 -- 9/30/19
Ladenburg Thalmann Asset Management Inc. (LTAM) 1,000 0.01 -22,355 9/30/19
Quad-Cities Investment Group, LLC 1,000 0.01 -- 9/30/19
Nikko Asset Management Co., Ltd. 894 0.01 894 11/30/18
Koonts (Kevin A.) 890 0.01 890 2/28/19
Morgan Stanley Investment Management Ltd. (UK) 779 -- 23 9/30/19
PNC Wealth Management 750 -- -- 9/30/19
Hudock Capital Group, LLC 750 -- -- 9/30/19
RBC Capital Markets Wealth Management 500 -- 500 9/30/19

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* Insider values reflect direct beneficial ownership.

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