Welcome to our dedicated page for Capital Southwest SEC filings (Ticker: CSWC), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
The Capital Southwest Corporation (CSWC) SEC filings page provides direct access to the company’s regulatory disclosures as a Nasdaq-listed, internally managed business development company. Capital Southwest files a range of documents with the U.S. Securities and Exchange Commission that explain its middle market lending activities, capital structure and corporate governance.
Among the most relevant filings for investors are the company’s current reports on Form 8-K, which disclose material events. Recent 8-K filings have reported quarterly and preliminary financial results, dividend declarations, entry into material definitive agreements such as underwriting agreements and supplemental indentures for its 5.950% Notes due 2030, and the creation of direct financial obligations. Other 8-Ks document annual meeting voting results, including director elections, advisory votes on executive compensation, amendments to equity incentive plans and ratification of the independent registered public accounting firm.
Capital Southwest’s filings also include information on its capital markets and financing activities. For example, 8-Ks and related exhibits describe the terms of its public notes, covenants tied to Investment Company Act asset coverage requirements, and provisions such as the Change of Control Repurchase Event that allow noteholders to require repurchase at par plus accrued interest. Filings discuss the company’s Corporate Credit Facility, SPV Credit Facility and the use of SBA-guaranteed debentures through its SBIC subsidiaries.
A Form 25 filing by Nasdaq Stock Market LLC relates specifically to the 7.75% Notes due 2028, documenting the removal of that class of notes from listing and/or registration under Section 12(b) of the Exchange Act. This filing applies to that note issue rather than to CSWC common stock. Through this page, users can review these and other SEC documents, while AI-powered tools on the platform can help summarize key terms, highlight changes in leverage and funding arrangements, and surface important details from lengthy filings such as indentures, credit agreements and shareholder meeting reports.
Capital Southwest Corp director and President/CEO Michael Scott Sarner reported an open-market purchase of company common stock. On February 27, he bought 2,694.635 shares at a price of $21.90 per share. Following this transaction, his directly held ownership increased to 473,154.339 common shares.
Capital Southwest Corporation announced shareholder dividends tied to the quarter ending June 30, 2026. The Board declared monthly regular dividends of $0.1934 per share for each of April, May, and June 2026, plus a quarterly supplemental dividend of $0.06 per share payable on June 30, 2026.
In total, dividends per share associated with the quarter ending June 30, 2026 are stated as $0.64, including $0.58 in regular monthly dividends and $0.06 in supplemental dividends. Capital Southwest notes it had approximately $2.0 billion in investments at fair value as of December 31, 2025.
The company also highlights its dividend reinvestment plan, allowing registered stockholders who opt in by the record date to reinvest cash dividends into additional shares of common stock.
Capital Southwest Corp. director Christine S. Battist purchased 600 shares of common stock on February 9, 2026 at an average price of $23.1587 per share. Following this open-market purchase, she directly owns 13,215 Capital Southwest shares and indirectly holds 7,281 shares through a trust agreement dated August 13, 2007.
Capital Southwest Corporation provides an update to its at-the-market offering program for up to $1,000,000,000 of common stock. From March 4, 2019 through December 31, 2025, it sold 39,333,069 shares for gross proceeds of about $844.6 million and net proceeds of about $829.6 million. As of this supplement, approximately $139.1 million of common stock remains available for sale under the program.
The company estimates a 1.50% sales load and 0.25% offering expenses, for total shareholder transaction costs of 1.75% of the offering price. Estimated annual expenses equal 9.49% of net assets, including 3.52% operating expenses, 6.92% interest on borrowings and a (0.95)% income tax benefit. The supplement also shows that CSWC’s shares have generally traded at premiums to net asset value and notes the shares’ listing on the Nasdaq Global Select Market under the symbol “CSWC.”
Capital Southwest Corporation reported higher profitability for the quarter ended December 31, 2025. Total investment income rose to $61.4 million from $52.0 million a year earlier, driven by interest and fee income across non‑affiliate, affiliate, and control investments.
Net investment income increased to $37.0 million from $30.3 million, while the net increase in net assets from operations more than doubled to $32.9 million from $16.3 million. For the nine‑month period, net investment income reached $100.9 million and the net increase in net assets from operations was $85.5 million, both above the prior year.
The investment portfolio at fair value expanded to $2.01 billion from $1.79 billion at March 31, 2025. Net assets grew to $995.6 million, with net asset value per share essentially steady at $16.75 versus $16.70. Shares outstanding were 60,162,020 as of January 29, 2026.
Capital Southwest Corporation furnished an earnings-related update by issuing a press release and an accompanying investor presentation. The company used a current report to share information about its results of operations and financial condition without having that information treated as formally filed under securities laws.
The press release is furnished as Exhibit 99.1, and investor presentation slides are furnished as Exhibit 99.2. Capital Southwest also plans to discuss these materials with analysts and investors on a conference call scheduled for February 3, 2026.
Capital Southwest Corporation furnished an update on how its 2025 dividends will be treated for tax purposes. The company paid total dividends of $2.56 per share attributable to the tax year ended December 31, 2025, and reports that these dividends are comprised of 100% ordinary income.
This tax characterization helps shareholders understand how to report the 2025 dividends on their tax returns. The details were provided in a press release attached as an exhibit to the report.
Capital Southwest Corporation filed a current report to disclose that it has issued a press release with preliminary estimates of its financial condition and results of operations for the fiscal quarter ended December 31, 2025. The press release, attached as Exhibit 99.1, contains the detailed figures and other related information.
The company states that this information, including Exhibit 99.1, is deemed “filed” under the Securities Exchange Act and is also incorporated by reference into its Securities Act filings, giving the preliminary quarterly data formal status within its broader SEC reporting.
Capital Southwest Corporation filed a current report to announce that it has declared a dividend for the quarter ending March 31, 2026. The company disclosed that this dividend announcement was made through a press release issued on November 19, 2025, which is attached to the filing as Exhibit 99.1. The disclosure is provided under Regulation FD, meaning it is being furnished to ensure broad, fair access to this information rather than to update the company’s formal financial statements.
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.