Capital Southwest Corp

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Capital Southwest Corp
TickerCSWC
CIK #0000017313
CUSIP140501107
Sector -
Address12900 Preston Rd Ste 700, Dallas, TX 75230
Source [EDGAR]
CIK Filing 2011 - 2026
[0000017313] 10-K
[0000017313] 10-Q
[0000017313] 3
[0000017313] 4
[0000017313] 5
[0000017313] 8-K
[0000017313] SC 13D
[0000017313] SC 13G
Form 13D/13G Filer Form 13D/13G Subject Filed % Owned
Sanders Morris Harris LLC Capital Southwest Corp [2019-05-01] 5.02
RiverNorth Capital Management LLC Capital Southwest Corp [2019-02-14] 5.16
MOAB Capital Partners LLC Capital Southwest Corp [2019-02-14] 0.0
MOAB Capital Partners LLC Capital Southwest Corp [2018-02-14] 0.0
MOAB Capital Partners LLC Capital Southwest Corp [2017-02-14] 0.0
Ariel Investments LLC Capital Southwest Corp [2017-02-14] 939799158126076.0
Evercore Trust Company NA Capital Southwest Corp [2016-02-10] 7.1
Punch & Associates Investment Management Inc Capital Southwest Corp [2016-02-09] 5.116
Zuckerman Investment Group LLC Capital Southwest Corp [2015-03-23] 9.4
Piper Jaffray Companies Capital Southwest Corp [2015-02-17] 5.9
River Road Asset Management LLC Capital Southwest Corp [2015-02-12] 6.1
First Manhattan Co Capital Southwest Corp [2015-02-11] 6.09
MOAB Capital Partners LLC Capital Southwest Corp [2015-01-26] 0.0
BlackRock Inc Capital Southwest Corp [2014-01-28] 5.8
Zuckerman Investment Group LLC Capital Southwest Corp [2013-08-23] 6.8
Zuckerman Investment Group LLC Capital Southwest Corp [2013-08-23] 6.6
River Road Asset Management LLC Capital Southwest Corp [2013-02-14] 5.1
Dimensional Fund Advisors LP Capital Southwest Corp [2013-02-11] 5.11
Zuckerman Investment Group LLC Capital Southwest Corp [2012-05-31] 6.7
Form 3/4/5 Filer 2011 - 2026
Rogers-Windsor Ramona Lynn
Capital Southwest Corp
Battist Christine
Weinstein Joshua S
Sarner Michael Scott
Rehberger Chris
Thomas William R III
Furst Jack D
Brooks David R
Diehl Bowen S
Morgan Thomas Duane
Wilson John H
Ashbaugh William M
Kelley Douglas M
Moab Capital Partners LLC
Moab Partners LP
Rothenberg Michael
Moab GP LLC
Armes Joseph B
CSW Industrials Inc
Golden Matthew Bailey
Ligon Samuel B
MUDD Christopher J
Alamo Group Inc
Schwertner Ray D
Tacke Kelly
Neblett Glenn M
Martin Gary L
Morris Tracy L
Gohlke Henry James
Shedd Christopher Scott
Strup Richard F
Peterson Jeffrey G
BELA Marquez D
Encore Wire Corp
Burton Donald W
Insider Transaction (Form 3/4/5) Date Action Shares Price Value ($)
Sarner Michael Scott
Common Stock
2026-02-27 Buy 2,694.64 $21.90 59,013
Battist Christine
Common Stock
2026-02-09 Buy 600 $23.16 13,896
Rogers-Windsor Ramona Lynn
Common Stock
2025-10-01 Buy 463 $21.55 9,978
Common Stock
2025-08-20 Buy 667 $22.45 14,974
Rogers-Windsor Ramona Lynn
Common Stock
2025-08-12 Grant 2,193 $0.00
Battist Christine
Common Stock
2025-08-12 Grant 2,193 $0.00
Thomas William R III
Common Stock
2025-08-12 Grant 2,193 $0.00
Brooks David R
Common Stock
2025-08-12 Grant 2,193 $0.00
Furst Jack D
Common Stock
2025-08-12 Grant 2,193 $0.00
Rogers-Windsor Ramona Lynn
Common Stock
2025-06-23 Buy 471 $21.19 9,980
Weinstein Joshua S
Common Stock
2025-06-10 Tax withheld 12,041 $21.35 257,075
Sarner Michael Scott
Common Stock
2025-06-10 Tax withheld 15,319 $21.35 327,061
Rehberger Chris
Common Stock
2025-06-10 Tax withheld 3,041 $21.35 64,925
Sarner Michael Scott
Common Stock
2025-06-09 Tax withheld 3,648 $21.06 76,827
Weinstein Joshua S
Common Stock
2025-06-09 Grant 65,000 $0.00
Weinstein Joshua S
Common Stock
2025-06-09 Tax withheld 3,127 $21.06 65,855
Rehberger Chris
Common Stock
2025-06-09 Grant 45,000 $0.00
Sarner Michael Scott
Common Stock
2025-06-09 Grant 80,000 $0.00
Rehberger Chris
Common Stock
2025-06-09 Tax withheld 1,126 $21.06 23,714
Battist Christine
Common Stock
2025-05-27 Buy 476 $20.87 9,934
showing 20 of 200 most recent transactions
13F Ownership Over TimeHoldersShares Held
2026-03-31 170 16,319,597
2025-12-31 164 13,833,568
2025-09-30 167 15,428,888
2025-06-30 179 16,655,590
2025-03-31 176 16,008,943
2024-12-31 162 13,447,778
2024-09-30 150 10,073,300
2024-06-30 147 10,034,393
2024-03-31 141 10,162,847
2023-12-31 138 9,734,536
2023-09-30 114 8,082,727
2023-06-30 111 7,954,895
Form 13F Holdings
Firm Period DFND Voting Shares
Sound Income Strategies LLC [2026-06-30] SOLE 934,321 934,321
Sanders Morris Harris LLC [2026-06-30] SOLE 0 759,992
Tectonic Advisors LLC [2026-06-30] OTR 0 354,224
EPIQ Partners LLC [2026-06-30] SOLE 27,600 294,003
Grace & White Inc /NY [2026-06-30] SOLE 13,450 159,697
B Riley Wealth Advisors Inc [2026-06-30] SOLE 69,775 69,775
Confluence Investment Management LLC [2026-06-30] DFND 0 67,014
Hennion & Walsh Asset Management Inc [2026-06-30] SOLE 62,374 62,374
Independent Financial Group LLC [2026-06-30] SOLE 0 59,115
Brookstone Capital Management [2026-06-30] SOLE 0 38,697
Confluence Investment Management LLC [2026-06-30] SOLE 28,348 28,348
MRAZ Amerine & Associates Inc [2026-06-30] SOLE 0 21,979
FCG Investment Co [2026-06-30] SOLE 0 13,763
Generali Investments CEE investicni spolecnost as [2026-06-30] SOLE 12,758 12,758
Accel Wealth Management [2026-06-30] SOLE 0 12,521
Core Wealth Partners LLC [2026-06-30] SOLE 0 12,320
Sequoia Financial Advisors LLC [2026-06-30] SOLE 0 8,825
Spire Wealth Management [2026-06-30] SOLE 0 2,800
Farther Finance Advisors LLC [2026-06-30] SOLE 0 2,438
Alaska Retirement Management Board [2026-06-30] SOLE 2,237 2,237
Highline Wealth Partners LLC [2026-06-30] SOLE 2,094 2,094
Union Bancaire Privee UBP SA [2026-06-30] DFND 0 1,685
Allied Private Wealth LLC [2026-06-30] SOLE 1,575 1,575
Tectonic Advisors LLC [2026-06-30] SOLE 0 1,146
HHM Wealth Advisors LLC [2026-06-30] SOLE 0 700
Toth Financial Advisory Corp [2026-06-30] SOLE 0 600
Hager Investment Management Services LLC [2026-06-30] SOLE 500 500
LRI Investments LLC [2026-06-30] SOLE 250 250
First Horizon Corp [2026-06-30] DFND 200 200
JFS Wealth Advisors LLC [2026-06-30] SOLE 0 69
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