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CAPITALA FIN CORP
CAPITALA FIN CORP. Institutional holdings reported to the SEC.

Institutional Holders (2014Q1)
Portfolio Summary: 29 Institutional holders with a total value of $47,149,552.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 BB&T SECURITIES, LLC 104,473 20,142,000 42.72%
2 Yorktown Management & Research Co Inc 305,650 5,893,000 12.50%
3 TEACHERS RETIREMENT SYSTEM OF THE STATE OF KENTUCKY 270,262 5,211,000 11.05%
4 KEMPER Corp 215,476 4,154,000 8.81%
5 UBS AG 187,931 3,623,000 7.68%
6 ADVISORY RESEARCH INC 83,129 1,603,000 3.40%
7 Sumitomo Mitsui DS Asset Management Company, Ltd 83,129 1,602,000 3.40%
8 DIALECTIC CAPITAL MANAGEMENT, LP 69,900 1,347,000 2.86%
9 NORTHERN TRUST CORP 40,803 787,000 1.67%
10 STATE STREET CORP 39,224 756,000 1.60%
11 STEPHENS INC /AR/ 23,575 455,000 0.97%
12 PNC FINANCIAL SERVICES GROUP, INC. 21,513 415,000 0.88%
13 MORGAN STANLEY 9,428 181,000 0.38%
14 DEUTSCHE BANK AG\ 9,246 177,000 0.38%
15 B. Riley Wealth Management, Inc. 9,000 174,000 0.37%
16 TIAA CREF INVESTMENT MANAGEMENT LLC 8,881 171,000 0.36%
17 CALIFORNIA STATE TEACHERS RETIREMENT SYSTEM 7,200 139,000 0.29%
18 TEACHERS ADVISORS, LLC 3,950 76,000 0.16%
19 Nationwide Fund Advisors 3,094 60,000 0.13%
20 AMERICAN INTERNATIONAL GROUP, INC. 2,720 52,442 0.11%
21 BANK OF AMERICA CORP /DE/ 2,506 48,000 0.10%
22 STRS OHIO 1,600 31,000 0.07%
23 CANADA PENSION PLAN INVESTMENT BOARD 1,000 19,000 0.04%
24 CITIGROUP INC 613 12,000 0.03%
25 BARCLAYS PLC 509 9,000 0.02%
26 Tower Research Capital LLC (TRC) 436 8,000 0.02%
27 MANUFACTURERS LIFE INSURANCE COMPANY, THE 188 4,000 0.01%
28 BNP PARIBAS FINANCIAL MARKETS 6 110 0.00%
29 WELLS FARGO & COMPANY/MN 0 0 0.00%

From 2023-01-03 onward, the SEC requires values to be reported in nearest dollars. Earlier filings reported values in thousands; therefore, positions shown as $0 in older filings may represent actual values between $0–$999.