Capital Southwest SEC Filings

Capital Southwest Corporation issued and sold $350.0 million aggregate principal amount of 5.950% Notes due 2030 under a Seventh Supplemental Indenture to its base indenture. The Notes pay interest semi-annually on March 18 and September 18 beginning March 18, 2026, mature September 18, 2030, and are redeemable at the company's option prior to August 18, 2030 at par plus a make-whole premium and thereafter at par. The Notes are direct unsecured obligations, rank pari passu with the company’s unsecured, unsubordinated indebtedness, are effectively subordinated to secured debt and structurally subordinated to subsidiaries’ debt. Holders have a change-of-control repurchase right at 100% of principal plus accrued interest. The offering closed September 18, 2025, with net proceeds of approximately $343.6 million, which the company intends to use to redeem its outstanding 7.75% Notes due 2028 and 3.375% Notes due 2026 and to repay portions of indebtedness under its Corporate Credit Facility and/or SPV Credit Facility. The indenture contains covenants requiring compliance with specified provisions of the 1940 Act, subject to exemptions and limitations.

Capital Southwest Corporation will redeem its outstanding 3.375% Notes due 2026 in full. The company intends to redeem $150,000,000 aggregate principal amount of the Notes on October 13, 2025, pursuant to Article Eleven of its base indenture dated October 23, 2017 and Section 1.01(h) of the Fourth Supplemental Indenture dated August 27, 2021, with U.S. Bank Trust Company, National Association, as trustee.

Capital Southwest Corporation entered into an underwriting agreement to issue $350.0 million aggregate principal amount of 5.950% Notes due 2030, with the offering expected to close on September 18, 2025, subject to customary closing conditions. The offering is being made under the company's effective shelf registration on Form N-2 and was accompanied by a preliminary and final prospectus supplement dated September 9, 2025.

The company also issued notices to redeem in full its 3.375% Notes due 2026, redeeming $150.0 million on October 13, 2025, and to redeem $71.9 million aggregate principal of its 7.75% Notes due 2028 on the same Redemption Date. Redemption prices equal 100% of principal plus accrued interest and any applicable make-whole premium.

Christine Battist, a director of Capital Southwest Corp (CSWC), reported a purchase of common stock on 08/20/2025. The Form 4 shows a reported transaction code "P" for 667 shares purchased at a price of $22.447 per share, increasing her direct beneficial ownership to 12,615 shares. The filing also discloses indirect ownership of 7,281 shares held by a trust dated August 13, 2007. The Form 4 was signed on 08/21/2025 and includes an explanation that the indirect holdings are through the named trust.

Jack D. Furst, a director of Capital Southwest Corporation (CSWC), received 2,193 shares of common stock on 08/12/2025 under the companys 2021 Non-Employee Director Restricted Stock Award Plan at no cash price. After the grant, Mr. Furst directly beneficially owns 47,948 shares and indirectly holds 39,000 additional shares through FMAB Partners, LP, a limited partnership he controls in part; he disclaims beneficial ownership of those 39,000 shares except to the extent of his pecuniary interest. The Form 4 was signed on 08/14/2025.

This Form 4 reports that Capital Southwest Corp director David R. Brooks was issued 2,193 shares of common stock on 08/12/2025 under the Capital Southwest 2021 Non-Employee Director Restricted Stock Award Plan at a reported price of $0. The award is recorded as a non-derivative acquisition and, following the issuance, Mr. Brooks beneficially owns 40,944 shares, held directly.

The disclosure reflects director compensation delivered as restricted stock, which increases Mr. Brooks’ direct stake in the company and documents the grant for SEC transparency. The filing does not provide any change in total outstanding shares, percentage ownership, or other transactions beyond the restricted stock award.

Ramona L. Rogers-Windsor, a director of Capital Southwest Corporation (CSWC), was issued 2,193 shares of common stock on 08/12/2025 at a price of $0 under the Capital Southwest 2021 Non-Employee Director Restricted Stock Award Plan. The Form 4 lists the reporting person as a director and shows the grant increased her beneficial ownership to 20,828.1428 shares. The filing indicates the Form was filed by one reporting person and bears a signature date of 08/13/2025.

The report contains only a non-derivative equity grant; no options, dispositions, or cash purchases are recorded. The filing records a standard director compensation issuance rather than a market purchase.