Capital Southwest SEC Filings

Capital Southwest Corporation updated its at-the-market program covering up to $1,000,000,000 of common stock. From March 4, 2019 to September 30, 2025, the company sold 36,843,069 shares for $792.0 million in gross proceeds and $777.9 million in net proceeds; approximately $208.0 million remains available for sale under the program.

The sales agents’ commission is 1.50%, and estimated offering expenses are 0.25% (approximately $2,500,000, of which $2,000,000 had been incurred as of October 30, 2025), assuming the full $1.0 billion capacity is utilized. For the quarter ended September 30, 2025, the expense table shows operating expenses of 2.92%, interest payments of 6.96%, income tax provision of 0.86%, and total annual expenses of 10.74%.

An SEC-required example indicates cumulative expenses on a $1,000 investment of $125, $318, $489, and $839 over 1, 3, 5, and 10 years, respectively. CSWC trades on the Nasdaq Global Select Market under “CSWC”; the closing price was $20.20 on October 30, 2025.

Capital Southwest Corporation reported that it has furnished a press release announcing results and provided investor presentation slides. The company plans to host an analyst and investor conference call on November 4, 2025.

The materials were furnished under Item 2.02 (Results of Operations and Financial Condition) and Item 7.01 (Regulation FD). Exhibits include the press release (Ex. 99.1) and presentation slides (Ex. 99.2). The company notes these furnished materials are not deemed “filed” for liability purposes under the Exchange Act.

Capital Southwest Corporation announced it issued a press release with preliminary estimates of its financial condition and operating results for the fiscal quarter ended September 30, 2025. The press release is provided as Exhibit 99.1.

The company stated that this information is deemed “filed” under the Exchange Act and incorporated by reference into its Securities Act filings. The common stock trades on the Nasdaq Global Select Market under the symbol CSWC.

Capital Southwest Corp (CSWC) submitted a Form 25 notification reporting removal of a class of its securities from listing and/or registration on Nasdaq Stock Market LLC. The filing states the Exchange and the issuer have complied with the rules governing voluntary withdrawal and removal under the Securities Exchange Act. The notice provides the issuer's principal office address and a contact phone number but does not specify the exact class being removed or a signing date in the visible text.

Ramona L. Rogers-Windsor, a director of Capital Southwest Corporation (ticker: CSWC), reported a purchase of 463 shares of the company's common stock on 10/01/2025 at a price of $21.5524 per share. The Form 4 shows the acquisition was filed as a transaction code P (purchase) and that, following the transaction, the reporting person beneficially owned 21,612.2493 shares on a direct basis.

The filing includes the reporting person’s mailing address at Capital Southwest Corporation in Dallas, Texas, and is signed by Ramona L. Rogers-Windsor on 10/01/2025. No derivative transactions or additional remarks are reported on the form.

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 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.

Capital Southwest Corporation announced a priced offering of notes under its shelf registration. The communication warns that the notes initially will settle on a T+7 basis, so secondary-market trades before delivery require alternative settlement arrangements to avoid failed settlements. Ratings (Moody's, Fitch) may be revised or withdrawn. Investors are directed to read the preliminary prospectus supplement and accompanying prospectus available on EDGAR for complete offering details.