Capitala

Ownership Profile

Shareholder Breakdown

Shareholder Holders Value ($MM) % O/S Shares
Institution 55 37.99 28.33 4,540,219
Mutual Fund 11 4.17 3.03 485,150
Insider 6 4.33 3.25 520,753

Institutional Shareholder Rotation

Shareholder Holders Value Chg ($MM) % O/S Share Change
Buyers 17 4.68 3.36 537,844
Sellers 27 -2.44 1.76 -281,611
Net -- 2.24 1.60 256,233

Institutional Shareholder Concentration

Value ($MM) % O/S Shares
Total Inst. 37.99 28.33 4,540,219
Top 10 Inst. 26.69 20.13 3,226,820
Top 20 Inst. 34.84 26.00 4,168,222
Top 50 Inst. 37.99 28.32 4,539,946

Institutional Shareholder Style

Holders Value ($MM) % Inst Shares Shares
Growth 4 3.03 2.17 347,326
Aggressive Growth 1 2.36 1.69 270,380
Core Growth 3 0.67 0.48 76,946
Income 4 6.54 4.69 751,928
Yield 4 6.54 4.69 751,928
Index 3 0.46 0.34 53,709
Other 15 6.91 4.96 794,559
Broker Dealer 5 0.21 0.15 23,624
GARP 3 2.00 1.43 229,447
Hedge Fund 5 4.48 3.21 514,487
Specialty 1 0.12 0.09 14,201
VC/Private Equi 1 0.10 0.08 12,800
Value 10 3.69 2.64 423,492
Core Value 7 2.39 1.71 274,318
Deep Value 3 1.30 0.93 149,174

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
UBS Financial Services, Inc. 349,717 2.18 305 9/30/18
SunTrust Bank 319,216 1.99 319,216 9/30/18
Ares Management LLC 288,866 1.80 -5,896 9/30/18
Bridgeway Capital Management, Inc. 270,380 1.69 -29,000 9/30/18
Kemper Corporation 228,737 1.43 -- 9/30/18
Two Sigma Investments, LP 215,132 1.34 -37,365 9/30/18
Advisors Asset Management, Inc. 213,312 1.33 -33,275 9/30/18
McGlinn (John F) 209,414 1.31 55,388 6/1/18
Punch & Associates Investment Management, Inc. 173,660 1.08 173,660 9/30/18
Carroll Financial Associates, Inc. 140,945 0.88 -- 9/30/18
Carroll (Larry W) 140,000 0.87 4,533 5/25/18
BB&T Securities, LLC 85,324 0.53 -37,750 9/30/18
BMC Fund, Inc. 78,455 0.49 -- 7/31/18
Roumell Asset Management, L.L.C. 70,770 0.44 -7,130 9/30/18
Regent Investment Management LLC 68,042 0.42 446 9/30/18
Stephens Capital Management 64,203 0.40 -7,766 9/30/18
LoCorr Fund Management, LLC 60,003 0.37 -- 9/30/18
Ancora Advisors, L.L.C. 60,000 0.37 -- 9/30/18
Bramshill Investments 54,407 0.34 -5,756 9/30/18
California Public Employees' Retirement System 40,000 0.25 -- 9/30/18
Armor Investment Advisors, LLC 31,029 0.19 -1,648 9/30/18
Arnall (Stephen A) 26,885 0.17 8,500 6/1/18
Susquehanna Fundamental Investments, LLC 24,273 0.15 -- 9/30/18
Oppenheimer Asset Management Inc. 23,567 0.15 -1,600 9/30/18
Bank of America Merrill Lynch (US) 21,950 0.14 81 9/30/18
Eqis Capital Management, Inc. 19,539 0.12 -2,431 9/30/18
Wheelahan (Richard G III) 15,948 0.10 3,361 2/22/18
SEI Investments Management Corporation 14,201 0.09 14,201 9/30/18
Acadian Asset Management LLC 14,201 0.09 11,839 9/30/18
Prospect Capital Management L.P. 12,800 0.08 -- 3/31/18
Nuveen Asset Management, LLC 11,906 0.07 -603 9/30/18
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
Blackstone Alternative Investment Advisors LLC 6,600 0.04 -2,200 3/31/18
Moyer (R Charles) 6,353 0.04 -- 2/22/18
Morgan Stanley Wealth Management 4,954 0.03 -- 9/30/18
Mediobanca SGR S.p.A. 4,000 0.02 -- 10/31/18
Invesco Capital Management LLC 3,982 0.02 3,982 10/31/18
PNC Wealth Management 3,950 0.02 1,400 9/30/18
Ladenburg Thalmann Asset Management Inc. (LTAM) 2,350 0.01 600 9/30/18
Edge Capital Partners, LLC 2,265 0.01 68 6/30/18
TFS Capital LLC 1,539 0.01 1,539 7/31/17
Morgan Stanley & Co. LLC 1,258 0.01 -1,818 9/30/18
Morgan Stanley Investment Management Ltd. (UK) 1,168 0.01 34 9/30/18
Financial Gravity Wealth, Inc 1,052 0.01 75 9/30/18
Hudock Capital Group, LLC 750 -- -- 9/30/18
Wilbanks, Smith & Thomas Asset Management, LLC 670 -- 670 9/30/18
RBC Capital Markets Wealth Management 400 -- -- 9/30/18

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* Insider values reflect direct beneficial ownership.

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