CAPITALA FIN CORP

CUSIP: 14054R403 Class: 5.75% NT CV 22

RIVERNORTH CAPITAL MANAGEMENT, LLC's Holding History (CIK: 0001447578)

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

Q4 2017
Shares 14,047 Value ($000) $349 Avg Close — Range —
Q3 2017
Shares 52,440 Value ($000) $1,310 Avg Close — Range —
Q2 2017
Shares 98,300 Value ($000) $2,487 Avg Close — Range —