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

Institutional Holders (2015Q1)
Portfolio Summary: 25 Institutional holders with a total value of $77,159,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 BB&T SECURITIES, LLC 158,762 29,783,000 38.60%
2 Advisors Asset Management, Inc. 478,823 8,983,000 11.64%
3 Yorktown Management & Research Co Inc 478,000 8,967,000 11.62%
4 HAMILTON LANE ADVISORS LLC 464,799 8,720,000 11.30%
5 UBS Group AG 371,784 6,975,000 9.04%
6 KEMPER Corp 215,476 4,042,000 5.24%
7 Muzinich & Co., Inc. 119,257 2,237,000 2.90%
8 ADVISORY RESEARCH INC 84,042 1,577,000 2.04%
9 Sumitomo Mitsui DS Asset Management Company, Ltd 83,639 1,569,000 2.03%
10 Pineno Levin & Ford Asset Management, Inc. 70,052 1,314,000 1.70%
11 BRIDGEWAY CAPITAL MANAGEMENT, LLC 46,400 870,000 1.13%
12 STEPHENS INC /AR/ 27,205 510,000 0.66%
13 BANK OF AMERICA CORP /DE/ 21,869 411,000 0.53%
14 MCGLINN CAPITAL MANAGEMENT INC 14,299 268,000 0.35%
15 PNC FINANCIAL SERVICES GROUP, INC. 14,000 263,000 0.34%
16 MORGAN STANLEY 12,556 236,000 0.31%
17 B. Riley Wealth Management, Inc. 9,800 183,000 0.24%
18 Catalyst Capital Advisors LLC 6,000 113,000 0.15%
19 DEUTSCHE BANK AG\ 3,500 64,000 0.08%
20 Tower Research Capital LLC (TRC) 1,418 26,000 0.03%
21 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 1,000 19,000 0.02%
22 PineBridge Investments, L.P. 964 18,000 0.02%
23 US BANCORP \DE\ 500 9,000 0.01%
24 CITIGROUP INC 132 2,000 0.00%
25 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.