CSWC Form 144: Proposed sale of vested restricted shares

Company submitted a Form 144 notice indicating proposed sales of restricted common stock tied to prior vesting under a registered plan.

Rhea-AI Filing Summary

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."

Insights

Securities Compliance Officer

Form 144 records proposed dispositions of vested restricted shares by an issuer-affiliated holder.

Form 144 is a regulatory notice used to report intended sales of securities by affiliates or insiders. The excerpt lists vesting dates of 08/10/2024 and 08/10/2023 tied to 2,240 and 2,421 shares respectively.

These entries reflect planned dispositions following compensation vesting; timing, broker routing, and final sale sizes are not shown in the excerpt and will determine actual market activity.

Key Figures

Proposed shares (08/10/2024): 2,240 shares Proposed shares (08/10/2023): 2,421 shares Broker-dealer listed: Morgan Stanley Smith Barney LLC

3 metrics

Proposed shares (08/10/2024) 2,240 shares Restricted stock vesting under a registered plan

Proposed shares (08/10/2023) 2,421 shares Restricted stock vesting under a registered plan

Broker-dealer listed Morgan Stanley Smith Barney LLC Broker-dealer address shown in excerpt

Key Terms

Form 144, Restricted Stock Vesting Under a Registered Plan, Issuer

3 terms

Form 144 regulatory

"Filer Information | 144: Filer Information"

Form 144 is a document that investors must file with the government when they plan to sell a large number of shares of a company's stock. It helps ensure transparency so everyone knows how many shares are being sold and when, which can impact the stock's price.

Restricted Stock Vesting Under a Registered Plan financial

"Restricted Stock Vesting Under a Registered Plan | Issuer"

Issuer regulatory

"Restricted Stock Vesting Under a Registered Plan | Issuer"

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What does CSWC's Form 144 disclosure mean?

It reports a proposed sale of vested restricted common stock tied to compensation. The excerpt lists 2,240 shares (vested 08/10/2024) and 2,421 shares (vested 08/10/2023), each described as restricted stock under a registered plan.

Do the Form 144 entries confirm shares were sold?

No. Form 144 notifies the SEC of an intended sale, not a completed transaction. The excerpt lists proposed dispositions of 2,240 and 2,421 shares but does not show execution, prices, or settlement details.

Who is the reported holder in the excerpt?

The excerpt identifies the issuer and a broker-dealer: Morgan Stanley Smith Barney LLC with an address at 1 New York Plaza. It lists the securities as issuer-related restricted stock vesting under a registered plan.

Will these Form 144 notices affect CSWC share count or proceeds?

The excerpt shows proposed dispositions of specific vested shares but does not state aggregate proceeds or changes to outstanding shares. The entries are compensation-related and specify share counts only for the listed vesting dates.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Accepted by SEC EDGAR 06/05/2026 - 04:10 PM EDT Learn about SEC filing dates

Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK	0001369011
Filer CCC	XXXXXXXX
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer	CAPITAL SOUTHWEST CORPORATION
SEC File Number	814-00061
Address of Issuer	8333 DOUGLAS AVE SUITE 1100 DALLAS TEXAS 75225
Phone	2142385700
Name of Person for Whose Account the Securities are To Be Sold	WILLIAM R THOMAS
See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.
Relationship to Issuer	Director

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Common	Morgan Stanley Smith Barney LLC Executive Financial Services 1 New York Plaza 8th Floor New York NY 10004	4661	108568.67	62140726	06/05/2026	NASDAQ

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Common	08/10/2024	Restricted Stock Vesting Under a Registered Plan	Issuer			2240	08/10/2024	Compensation
Common	08/10/2023	Restricted Stock Vesting Under a Registered Plan	Issuer			2421	08/10/2023	Compensation

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

Nothing to Report

144: Remarks and Signature

Remarks
Date of Notice	06/05/2026
ATTENTION:
The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.
Signature	/s/ Thomas R William
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)