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CSWC · Capital Southwest Corp
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CSWC Capital Southwest (CSWC) Insider Trading, Ownership & Congress Trades

Funds & Trusts · Registered investment company · CIK 0000017313
Quote by TradingView
Cluster · 3 insiders
House members buying, 1 year
0
STOCK Act, US House only, disclosed up to 45 days after the trade
Funds added, last quarter
110
13F, latest reported quarter

What the filings say about CSWC

Insiders, 180 days
+$88.4K net bought
3 buyers · 1 seller · 0% of sales under a 10b5-1 plan

Capital Southwest insider trades (Form 4)

Form 4 buys and sells (codes P and S). Grants, option exercises and conversions excluded.

Over the last 180 days, CAPITAL SOUTHWEST CORP insiders bought a net $88.4K of stock across 43 Form 4 purchases and sales, with 3 insiders buying. Source: SEC Form 4 filings, as of 2026-10-28.

Insider
Filed
Shares
Value
Since filing
Thomas William R III
Director
BUY
2026-10-01 SEC
2,170
$50.0K
-3.9%
Context
  • 5 earlier Form 4 trades (code P or S) here by this insider (3 buys, 2 sales), the last on Jun 5, 2026.
  • -0.1% median (+2.2% mean) 90-day return after 3 previous buys.
  • The trade is 9.5% of the 22,842 shares held after it.
  • No other insider bought within 30 days.
  • 110 funds added in the 13F quarter to Jun 30, 2026.
Insider activity: Director Thomas William R III bought about $50.0K of CSWC on Oct 1, 2026; 110 funds added in the latest 13F quarter.
Rogers-Windsor Ramona Lynn
Director
BUY
2026-06-30 SEC
210.96
$5.0K
-5.3%
Context
  • 19 earlier Form 4 trades (code P or S) here by this insider (19 buys), the last on Jun 1, 2026.
  • +1.6% median (+2.0% mean) 90-day return after 19 previous buys.
  • The trade is 0.9% of the 23,090 shares held after it.
  • 2 other insiders bought within 30 days.
  • 110 funds added in the 13F quarter to Jun 30, 2026.
Insider activity: Director Rogers-Windsor Ramona Lynn bought about $5.0K of CSWC on Jun 30, 2026; 2 other insiders bought within 30 days and 110 funds added in the latest 13F quarter.
BATTIST CHRISTINE
Director
BUY
2026-06-18 SECtraded 2026-06-17
860
$20.0K
-1.9%
Context
  • 12 earlier Form 4 trades (code P or S) here by this insider (12 buys), the last on Feb 9, 2026.
  • +1.3% median (+1.9% mean) 90-day return after 12 previous buys.
  • The trade is 6.1% of the 14,075 shares held after it.
  • 2 other insiders bought within 30 days.
  • 110 funds added in the 13F quarter to Jun 30, 2026.
Insider activity: Director BATTIST CHRISTINE bought about $20.0K of CSWC on Jun 17, 2026; 2 other insiders bought within 30 days and 110 funds added in the latest 13F quarter.
Thomas William R III
Director
BUY
2026-06-05 SEC
5,000
$117.0K
-1.1%
Context
  • 3 earlier Form 4 trades (code P or S) here by this insider (2 buys, 1 sale), the last on Jun 3, 2024.
  • -0.4% median (-0.4% mean) 90-day return after 2 previous buys.
  • The trade is 26.8% of the 18,683 shares held after it.
  • 2 other insiders bought within 30 days.
  • 110 funds added in the 13F quarter to Jun 30, 2026.
Insider activity: Director Thomas William R III bought about $117.0K of CSWC on Jun 5, 2026, the largest insider purchase at the company since 2024; 2 other insiders bought within 30 days and 110 funds added in the latest 13F quarter.
Thomas William R III
Director
SELL
2026-06-05 SEC
4,661
$108.6K
-1.1%
Context
  • 3 earlier Form 4 trades (code P or S) here by this insider (2 buys, 1 sale), the last on Jun 3, 2024.
  • -0.4% median (-0.4% mean) 90-day return after 2 previous buys.
  • The trade is 34.1% of the 13,683 shares held after it.
  • No other insider sold within 30 days.
  • 110 funds added in the 13F quarter to Jun 30, 2026.
Insider activity: Director Thomas William R III sold about $108.6K of CSWC on Jun 5, 2026, the largest insider sale at the company since 2021; 110 funds added in the latest 13F quarter.
43 transactions on record
Since filing: total return from the first close after the filing to the latest close, dividend-adjusted. Not a forecast.
Context lines are counts over the filings above and returns from our own price history, never a price level. Not investment advice.
See all insider buying · insider selling
Showing the latest few. to see 38 more transactions and use the screener and CSV export. We store only your email; there is no password.
Seven facts, ranked against the sector · Rank is not a forecast
Insiders
net +$88.4K over 180 days
+$50.0K over 90 days
more than 62% of Funds & Trusts
Congress
no House purchase disclosed in the last 12 months
Funds
110 funds bought in last quarter
more than 89% of Funds & Trusts
Revenue
no revenue reported in any filing
Margin
no margin: no revenue reported
Buybacks
no share repurchases reported
Short interest
5.8% of the float short (float per yahoo 2026-10-26) · 5.8 days to cover · settled 2026-09-30
more than 87% of Funds & Trusts
What changed in the last 30 days
Oct 1Director Thomas William R III bought $50.0K (Oct 1)

Watch CSWC

A free account keeps a watchlist and can send one email a day when insiders, funds or Congress file on the names in it. No password and no card.

The year, with the filings on it
Total return over 12 months. Each marker is a filing; hover or tap one for the detail.
+19.3%12M
-3%+10%+22%+35%2025-102025-122026-022026-042026-062026-082026-10 2026-06-05 · Thomas William R III bought $117.0K2026-06-05 · Thomas William R III sold $108.6K2026-02-27 · Sarner Michael Scott bought $59.0K2026-10-01 · Thomas William R III bought $50.0K2026-06-17 · BATTIST CHRISTINE bought $20.0K2026-02-09 · BATTIST CHRISTINE bought $13.9K2026-06-30 · Rogers-Windsor Ramona Lynn bought $5.0K2026-06-01 · Rogers-Windsor Ramona Lynn bought $5.0K
Insider buyInsider sell
Indexed to 100, dividend-adjusted, not a price chart. When a name files heavily, the largest trades are drawn first.

Who owns CSWC: institutional holders (13F)

13F holdings, latest reported quarter
VAN ECK ASSOCIATES CORP
1,526,667 sh
$36.3M
UBS Group AG
1,218,244 sh
$29.0M
TWO SIGMA INVESTMENTS, LP
1,180,391 sh
$28.1M
Sound Income Strategies, LLC
934,321 sh
$22.2M
SANDERS MORRIS HARRIS LLC
759,992 sh
$18.1M

Congress trades in CSWC

No Congress trades reported
No House member has disclosed a trade in this stock. See what Congress is buying.

Activist and 5% holders (13D/13G)

No 5%+ ownership filings
Nobody has filed for crossing 5%. That is a fact, not missing data.

CSWC planned insider sales (Form 144)

No planned-sale notices
No insider has filed to sell. Watch this after a run-up.

CSWC mutual fund holders (N-PORT)

Funds ranked by the share of their own portfolio in this stock (N-PORT).
Catalyst/SMH Total Return Income Fund
$1.2M position · as of 2026-06-30
5.6%
FT Confluence BDC & Specialty Finance Income ETF
$1.6M position · as of 2026-05-31
4.5%
Militia Long/Short Equity ETF
$12.9M position · as of 2026-05-29
3.5%
Putnam BDC Income ETF
$9.0M position · as of 2026-07-31
3.2%
GraniteShares HIPS U.S. High Income ETF
$3.0M position · as of 2026-06-30
2.7%
ProShares Global Listed Private Equity ETF
$262.9K position · as of 2026-05-31
2.4%
SEC N-PORT, monthly, about 60 days late · funds ≥ $10M · % is the share of the fund's own portfolio
Executive pay vs shareholder return · Michael S. Sarner
CEO pay, headline and as actually paid, against the company's return and its chosen peers' (DEF 14A).
FY
CEO total
Actually paid
Other execs, avg
TSR
Peer TSR
2025
$3.8M
$3.8M
$2.6M
+56%
-21%
2024
$3.4M
$3.0M
$2.1M
+199%
+80%
2023
$3.8M
$5.0M
$2.5M
+200%
+81%
2022
$3.5M
$2.7M
$2.2M
+116%
+58%
2021
$3.2M
$3.4M
$2.3M
+148%
+91%
Tagged by the company under SEC Item 402(v). Returns are cumulative from the start of the disclosure period. Green where the company beat its own peer group.
Live price
Daily candles from TradingView, under their licence. No filings marked.
Why this name is on the desk
3 insiders reported buying shares.
The record shows a net $88.4K bought by insiders over 180 days, 110 funds added last quarter. Each figure is a federal filing, dated the day it went public.
Backtest this pattern Open the screener
Same sector, ranked by filing activity
Sector by SEC SIC code
RCGECATBCATASANMFCRWAYGFMEGITPVGPFXEMOCPZ

CSWC financials

Ratios from the company's XBRL filings, latest filings
Revenue, TTM
n/a
fewer than four consecutive quarters of revenue filed
Net margin, TTM
n/a
needs four consecutive quarters of both revenue and net income
Free cash flow, TTM
-$305.0M
operating cash flow minus capex, 2025-07-01 to 2026-06-30
Debt to equity
1.15x
long-term debt only, 2026-06-30; equity 2026-06-30
Cash flow to debt
-0.25x
TTM operating cash flow over long-term debt only, 2026-06-30
Return on equity
n/a
the filed year and its quarters do not reconcile, so the trailing figure is withheld
Return on assets
n/a
the filed year and its quarters do not reconcile, so the trailing figure is withheld
Return on invested capital
n/a
fewer than four consecutive quarters of operating income
Return on capital employed
n/a
fewer than four consecutive quarters of operating income
P/E, trailing
12.38x
close 2026-10-26 over four quarters of diluted EPS, 2025-07-01 to 2026-06-30
Enterprise value
$2.6B
market value at close 2026-10-26 on 2026-07-30 shares, plus long-term debt only, 2026-06-30, minus cash 2026-06-30
FCF yield
-21.4%
TTM free cash flow over market value at close 2026-10-26
PEG, trailing
1.28x
P/E over trailing EPS growth of 10%: four quarters to 2026-06-30 against the four to 2025-06-30
Price as of 2026-10-26. Hover or tap a tile for its yearly and quarterly history.
Method
TTM is four consecutive fiscal quarters; Q4 is the year minus nine months when not filed. Returns use the average of opening and closing balances. EBIT is approximated by operating income. PEG uses trailing EPS growth.
Fundamentals
Annual figures from XBRL filings. Pick a past date to see them as known then.
2026-032025-122025-032024-12
Net income$135.5Mn/a$118.2Mn/a
EPS (diluted)1.90n/a1.47n/a
Operating cash flow-$193.5Mn/a-$217.3Mn/a
Cash$29.0M$42.6M$43.2M$36.0M
Long-term debt$1.1B$1.1B$956.1M$920.2M
Dividends paid$147.2Mn/a$125.3Mn/a
SEC XBRL, fiscal years, as known on 2026-10-28

CSWC Stock Sonar score 4/7 axes

Find similar shapesCompare

CSWC ranks highest on institutional and government (89th percentile) and insider conviction (73rd), and lowest on risk and compliance (11th), among Funds & Trusts peers.

Financial health
16
Inputs
  • Debt to equity1.15x · 22 pct, universe of 3,589
  • Cash flow to debt-0.25x · 10 pct, sector of 30
Insider conviction
73
Inputs
  • Net Form 4 buying (codes P and S), 180d$88K · 61 pct, sector of 142
  • Insider buyers, 180d3 · 85 pct, sector of 142
Institutional and government
89
Inputs
  • Funds adding, latest quarter110 · 89 pct, sector of 210
  • Congress net buyers, 365dno Congress trades in 365 days
  • Federal contracts, 180dno federal contracts in 180 days
  • Lobbying spend, 4 quartersno lobbying filings in the last four quarters
Risk and compliance
11
Inputs
  • Short interest, % of float+5.8% · 11 pct, sector of 46
  • Recalls per $1B revenue, 3yrevenue under $50M or not filed, so a count cannot be scaled to size
  • EPA cases per $1B revenue, 5yrevenue under $50M or not filed, so a count cannot be scaled to size
  • New text in Risk Factors, latest 10-Kneeds two 10-Ks with a Risk Factors section (not 20-F filers or stubs)
3 not measured: Profitability, Growth, US patents
  • Profitability needs 2 of 4 inputs, 0 present: fewer than four consecutive quarters of operating income; the filed year and its quarters do not reconcile, so the trailing figure is withheld
  • Growth needs 1 of 2 inputs, 0 present: no backlog line filed, or no year-earlier backlog; no revenue for this year and the year before
  • US patents needs 1 of 2 inputs, 0 present: patent data not loaded yet

4 of 7 axes scored. Each is a percentile against sector peers (all companies when the sector is thin); higher is better. An unscored axis is unmeasured, not low. How it is scored

CSWC filings, in plain words

Are Capital Southwest insiders buying or selling CSWC?

In the 180 days to 2026-10-28, Capital Southwest insiders were net buyers, a net $88.4K: $197.0K of purchases and $108.6K of sales reported on Form 4, by 3 buyers and 1 seller.

Read the full summary

In the 180 days to 2026-10-28, Capital Southwest insiders were net buyers of CSWC, a net $88.4K across purchases and sales reported on Form 4 by 3 buyers and 1 seller. 3 insiders reported purchases in that window. Each figure is counted from SEC and House filings as of 2026-10-28, dated the day the filing was made public.

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