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

Institutional Holders (2014Q4)
Portfolio Summary: 28 Institutional holders with a total value of $72,849,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 BB&T SECURITIES, LLC 163,241 29,171,000 40.04%
2 Yorktown Management & Research Co Inc 478,000 8,542,000 11.73%
3 HAMILTON LANE ADVISORS LLC 464,799 8,305,000 11.40%
4 UBS Group AG 319,178 5,704,000 7.83%
5 Advisors Asset Management, Inc. 252,438 4,511,000 6.19%
6 KEMPER Corp 215,476 3,851,000 5.29%
7 TEACHERS RETIREMENT SYSTEM OF THE STATE OF KENTUCKY 120,227 2,148,000 2.95%
8 Muzinich & Co., Inc. 105,834 1,891,000 2.60%
9 ADVISORY RESEARCH INC 92,839 1,659,000 2.28%
10 Sumitomo Mitsui DS Asset Management Company, Ltd 92,839 1,659,000 2.28%
11 Pineno Levin & Ford Asset Management, Inc. 70,052 1,252,000 1.72%
12 BRIDGEWAY CAPITAL MANAGEMENT, LLC 46,400 829,000 1.14%
13 MORGAN STANLEY 36,245 648,000 0.89%
14 STEPHENS INC /AR/ 29,160 521,000 0.72%
15 BANK OF AMERICA CORP /DE/ 20,869 373,000 0.51%
16 GSA CAPITAL PARTNERS LLP 16,965 303,000 0.42%
17 Virtu KCG Holdings LLC 16,911 302,000 0.41%
18 PNC FINANCIAL SERVICES GROUP, INC. 16,900 302,000 0.41%
19 MILLENNIUM MANAGEMENT LLC 10,616 190,000 0.26%
20 OPPENHEIMER & CO INC 10,550 189,000 0.26%
21 DEUTSCHE BANK AG\ 10,120 180,000 0.25%
22 B. Riley Wealth Management, Inc. 9,800 175,000 0.24%
23 WELLS FARGO & COMPANY/MN 3,001 54,000 0.07%
24 Catalyst Capital Advisors LLC 2,000 36,000 0.05%
25 Tower Research Capital LLC (TRC) 1,905 34,000 0.05%
26 PineBridge Investments, L.P. 949 17,000 0.02%
27 BARCLAYS PLC 114 2,000 0.00%
28 ROYAL BANK OF CANADA 37 1,000 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.