CAPITALA FIN CORP

CUSIP: 14054R106 Class: COM

CONFLUENCE INVESTMENT MANAGEMENT LLC's Holding History (CIK: 0001442056)

Note: Option positions (PUT/CALL) are excluded.

Q3 2017
Shares 163,916 Value ($000) $1,563 Avg Close — Range —
Q2 2017
Shares 163,980 Value ($000) $2,133 Avg Close — Range —
Q1 2017
Shares 164,137 Value ($000) $2,357 Avg Close — Range —
Q4 2016
Shares 85,495 Value ($000) $1,105 Avg Close — Range —
Q3 2016
Shares 66,295 Value ($000) $869 Avg Close — Range —