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

Institutional Holders (2014Q2)
Portfolio Summary: 33 Institutional holders with a total value of $67,417,458.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 BB&T SECURITIES, LLC 158,825 30,002,000 44.50%
2 Yorktown Management & Research Co Inc 440,000 8,312,000 12.33%
3 UBS AG 317,142 5,991,000 8.89%
4 TEACHERS RETIREMENT SYSTEM OF THE STATE OF KENTUCKY 227,800 4,303,000 6.38%
5 KEMPER Corp 215,476 4,070,000 6.04%
6 ADVISORY RESEARCH INC 126,089 2,382,000 3.53%
7 Sumitomo Mitsui DS Asset Management Company, Ltd 126,089 2,381,000 3.53%
8 TIMUCUAN ASSET MANAGEMENT INC/FL 108,105 2,042,000 3.03%
9 Pineno Levin & Ford Asset Management, Inc. 70,052 1,323,000 1.96%
10 DIALECTIC CAPITAL MANAGEMENT, LP 45,000 850,000 1.26%
11 Carroll Financial Associates, Inc. 43,770 827,000 1.23%
12 NORTHERN TRUST CORP 31,146 589,000 0.87%
13 STEPHENS INC /AR/ 28,775 544,000 0.81%
14 BANK OF AMERICA CORP /DE/ 23,221 438,000 0.65%
15 DEUTSCHE BANK AG\ 21,152 399,000 0.59%
16 CREDIT SUISSE AG/ 19,339 365,000 0.54%
17 PNC FINANCIAL SERVICES GROUP, INC. 17,513 331,000 0.49%
18 GOLDMAN SACHS GROUP INC 17,290 327,000 0.49%
19 Paloma Partners Management Co 17,210 325,000 0.48%
20 MORGAN STANLEY 14,854 281,000 0.42%
21 WILBANKS SMITH & THOMAS ASSET MANAGEMENT LLC 14,000 264,000 0.39%
22 OPPENHEIMER & CO INC 12,000 227,000 0.34%
23 COMMONWEALTH OF PENNSYLVANIA PUBLIC SCHOOL EMPLS RETRMT SYS 11,691 221,000 0.33%
24 GSA CAPITAL PARTNERS LLP 11,200 212,000 0.31%
25 B. Riley Wealth Management, Inc. 9,800 185,000 0.27%
26 BARCLAYS PLC 10,068 184,000 0.27%
27 CITIGROUP INC 1,390 26,000 0.04%
28 Tower Research Capital LLC (TRC) 277 5,000 0.01%
29 BNP PARIBAS FINANCIAL MARKETS 236 4,458 0.01%
30 MANUFACTURERS LIFE INSURANCE COMPANY, THE 133 3,000 0.00%
31 BANK OF MONTREAL /CAN/ 110 2,000 0.00%
32 ROYAL BANK OF CANADA 82 2,000 0.00%
33 WELLS FARGO & COMPANY/MN 1 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.