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

Institutional Holders (2014Q3)
Portfolio Summary: 32 Institutional holders with a total value of $64,595,182.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 BB&T SECURITIES, LLC 174,432 30,909,000 47.85%
2 Yorktown Management & Research Co Inc 480,000 8,506,000 13.17%
3 UBS AG 292,761 5,188,000 8.03%
4 KEMPER Corp 215,476 3,818,000 5.91%
5 TEACHERS RETIREMENT SYSTEM OF THE STATE OF KENTUCKY 178,751 3,167,000 4.90%
6 Sumitomo Mitsui DS Asset Management Company, Ltd 126,089 2,234,000 3.46%
7 ADVISORY RESEARCH INC 126,089 2,234,000 3.46%
8 WILBANKS SMITH & THOMAS ASSET MANAGEMENT LLC 81,565 1,445,000 2.24%
9 Pineno Levin & Ford Asset Management, Inc. 70,052 1,241,000 1.92%
10 Carroll Financial Associates, Inc. 45,300 823,000 1.27%
11 TIMUCUAN ASSET MANAGEMENT INC/FL 40,354 715,000 1.11%
12 Advisors Asset Management, Inc. 32,516 576,000 0.89%
13 STEPHENS INC /AR/ 28,419 504,000 0.78%
14 DIALECTIC CAPITAL MANAGEMENT, LP 26,390 468,000 0.72%
15 BANK OF AMERICA CORP /DE/ 21,870 388,000 0.60%
16 MORGAN STANLEY 20,982 372,000 0.58%
17 GOLDMAN SACHS GROUP INC 17,985 319,000 0.49%
18 PNC FINANCIAL SERVICES GROUP, INC. 16,900 299,000 0.46%
19 GSA CAPITAL PARTNERS LLP 13,265 235,000 0.36%
20 TFS CAPITAL LLC 11,832 210,000 0.33%
21 MENTA CAPITAL LLC 11,700 207,000 0.32%
22 OPPENHEIMER & CO INC 11,250 199,000 0.31%
23 JANE STREET GROUP, LLC 10,205 181,000 0.28%
24 B. Riley Wealth Management, Inc. 10,000 177,000 0.27%
25 DEUTSCHE BANK AG\ 5,600 99,000 0.15%
26 Ground Swell Capital, LLC 1,748 31,000 0.05%
27 Tower Research Capital LLC (TRC) 1,220 22,000 0.03%
28 BARCLAYS PLC 1,236 21,000 0.03%
29 BNP PARIBAS FINANCIAL MARKETS 236 4,182 0.01%
30 MANUFACTURERS LIFE INSURANCE COMPANY, THE 133 2,000 0.00%
31 ROYAL BANK OF CANADA 37 1,000 0.00%
32 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.