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Capital Southwest Corporation held its 2026 Annual Meeting of Shareholders on July 22, 2026. Shareholders of record on May 26, 2026, representing a quorum of 44,997,407 of 62,140,726 common shares outstanding and entitled to vote, considered multiple governance and advisory proposals.
Shareholders elected six directors to serve until the 2027 annual meeting or until their successors are duly elected and qualified. On an advisory basis, they approved compensation for named executive officers with 22,115,896 votes for, and chose a one-year frequency for future advisory votes on executive compensation, with 24,213,219 votes supporting that option. They also ratified the appointment of RSM US LLP as independent registered public accounting firm for the fiscal year ending March 31, 2027, with 43,373,232 votes for. Shareholders approved adjourning the Annual Meeting to solicit additional proxies for a proposed Charter Amendment to increase the number of authorized shares of common stock, and the meeting will reconvene on September 1, 2026, with polls remaining open only for that proposal.
Capital Southwest Corporation provided preliminary estimates for its first quarter 2027 results for the quarter ended June 30, 2026. Pre-tax net investment income is estimated at $0.57 to $0.58 per share, and net investment income at $0.58 to $0.59 per share. Preliminary net asset value per share is estimated at $16.55 to $16.65 as of June 30, 2026.
The company expects to release finalized first quarter 2027 results on August 3, 2026 after market close and will host a webcast on August 4, 2026 at 11:00 a.m. Eastern Time. Capital Southwest is an internally managed business development company with approximately $2.1 billion in investments at fair value as of March 31, 2026.
Capital Southwest Corp director Ramona Lynn Rogers-Windsor bought additional company stock in the open market. She purchased 210.9615 shares of Common Stock at a price of $23.7010 per share. After this transaction, she directly owns a total of 23,090.6758 shares.
CAPITAL SOUTHWEST CORP director Christine Battist reported a net open-market share purchase. On this Form 4, she bought 860 shares of Common Stock at $23.23 per share in an open-market transaction, bringing her direct holdings to 14,075 shares. A separate entry shows 7,281 shares held indirectly by a trust established under the Trust Agreement of Christine Sue Battist dated August 13, 2007.
CAPITAL SOUTHWEST CORP executive equity compensation and tax withholding transactions were reported by Senior Managing Director & CIO Joshua S. Weinstein. He received a grant of 100,000 shares of Common Stock under the 2021 Employee Restricted Stock Award Plan, reflecting stock-based compensation rather than an open-market purchase.
To cover related tax liabilities upon vesting of restricted shares, 11,349 shares at $23.28 and 9,588 shares at $23.54 were withheld and delivered back, classified as tax-withholding dispositions. After these non-market transactions, Weinstein directly holds 380,585 shares of Common Stock.
Capital Southwest Corp President and CEO Michael Scott Sarner received a grant of 140,000 shares of Common Stock under the company’s 2021 Employee Restricted Stock Award Plan. To cover tax liabilities upon vesting of restricted shares, 25,470 shares were withheld at prices around $23 per share rather than sold in the open market.
These tax-withholding dispositions were approved by the board’s Compensation Committee under Rule 16b-3 and are exempt from short-swing profit rules. After these compensation-related transactions, Sarner directly holds about 587,684 shares of Capital Southwest common stock.
Capital Southwest Corp Chief Financial Officer Chris Rehberger reported equity compensation and related tax-withholding transactions in company stock. On June 9, 2026, he received a grant of 75,000 shares of Common Stock at no cost under the Capital Southwest Corporation 2021 Employee Restricted Stock Award Plan.
To cover tax liabilities upon vesting of restricted shares under this plan, the company withheld 4,492 shares at $23.28 per share on June 9, 2026 and 3,688 shares at $23.54 per share on June 10, 2026. Following the most recent transaction, Rehberger directly owns 215,971 shares of Capital Southwest common stock.
Company submitted a Form 144 notice indicating proposed sales of restricted common stock tied to prior vesting under a registered plan. The excerpt lists 08/10/2024 for 2,240 shares and 08/10/2023 for 2,421 shares, each described as "Restricted Stock Vesting Under a Registered Plan."
Capital Southwest Corp director Thomas William R III reported mixed trading in company stock. He made an open-market purchase of 5,000 common shares at a weighted average price of $23.3999 per share and an open-market sale of 4,661 shares at $23.293 per share on the same date, resulting in a small net increase of 339 directly held shares.
Following these transactions, he directly owns 18,683 common shares. He also has sole voting and dispositive power over 571,939 shares owned by Thomas Heritage Partners, Ltd. through his role as President and sole manager of its general partner, and an additional 6,000 shares are held indirectly through his son.
Capital Southwest Corp director Ramona Lynn Rogers-Windsor bought shares in the company. She made an open-market purchase of 213 shares of Common Stock at $23.42 per share. After this transaction, she directly owns 22,879.7143 Capital Southwest shares.