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

Institutional Holders (2016Q1)
Portfolio Summary: 39 Institutional holders with a total value of $36,980,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 Advisors Asset Management, Inc. 703,294 8,440,000 22.82%
2 UBS Group AG 351,387 4,217,000 11.40%
3 BB&T SECURITIES, LLC 264,271 3,171,000 8.57%
4 KEMPER Corp 226,247 2,715,000 7.34%
5 MILLER VALUE PARTNERS, LLC 149,500 1,794,000 4.85%
6 STEPHENS INC /AR/ 128,903 1,547,000 4.18%
7 Muzinich & Co., Inc. 127,293 1,528,000 4.13%
8 TWO SIGMA INVESTMENTS, LP 114,454 1,373,000 3.71%
9 Pineno Levin & Ford Asset Management, Inc. 104,452 1,253,000 3.39%
10 ADVISORY RESEARCH INC 100,323 1,204,000 3.26%
11 Sumitomo Mitsui DS Asset Management Company, Ltd 87,941 1,055,000 2.85%
12 TWO SIGMA ADVISERS, LP 87,740 1,053,000 2.85%
13 Yorktown Management & Research Co Inc 83,200 998,000 2.70%
14 BRIDGEWAY CAPITAL MANAGEMENT, LLC 81,280 975,000 2.64%
15 Carroll Financial Associates, Inc. 76,000 912,000 2.47%
16 BlackRock Group LTD 73,811 886,000 2.40%
17 MORGAN STANLEY 50,934 612,000 1.65%
18 MILLENNIUM MANAGEMENT LLC 43,432 521,000 1.41%
19 CALIFORNIA PUBLIC EMPLOYEES RETIREMENT SYSTEM 40,000 480,000 1.30%
20 STIFEL FINANCIAL CORP 33,910 407,000 1.10%
21 OPPENHEIMER & CO INC 33,938 407,000 1.10%
22 SUSQUEHANNA INTERNATIONAL GROUP, LLP 30,775 369,000 1.00%
23 Cetera Advisor Networks LLC 23,987 290,000 0.78%
24 BANK OF AMERICA CORP /DE/ 20,869 250,000 0.68%
25 DEUTSCHE BANK AG\ 18,281 218,000 0.59%
26 CITIGROUP INC 7,732 93,000 0.25%
27 JPMORGAN CHASE & CO 6,929 83,000 0.22%
28 FineMark National Bank & Trust 4,000 48,000 0.13%
29 PNC FINANCIAL SERVICES GROUP, INC. 1,500 18,000 0.05%
30 PineBridge Investments, L.P. 1,140 14,000 0.04%
31 AMERICAN INTERNATIONAL GROUP, INC. 1,100 13,000 0.04%
32 Edge Wealth Management LLC 1,000 12,000 0.03%
33 MANUFACTURERS LIFE INSURANCE COMPANY, THE 845 10,000 0.03%
34 US BANCORP \DE\ 500 6,000 0.02%
35 ROYAL BANK OF CANADA 300 4,000 0.01%
36 ACROSPIRE INVESTMENT MANAGEMENT LLC 230 3,000 0.01%
37 PENSERRA CAPITAL MANAGEMENT LLC 165 1,000 0.00%
38 WELLS FARGO & COMPANY/MN 1 0 0.00%
39 BARCLAYS PLC 24 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.