CAPITALA FIN CORP SR NT 061621

CUSIP: 14054R205 Class: Preferred stock

Janney Montgomery Scott LLC's Holding History (CIK: 0001329948)

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

Q1 2015
Shares 9,739 Value ($000) $252 Avg Close — Range —
Q4 2014
Shares 9,337 Value ($000) $237,633 Avg Close — Range —