CSWC director buys 860 shares in open market

CAPITAL SOUTHWEST CORP director Christine Battist reported a net open-market share purchase.

Rhea-AI Filing Summary

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.

Insider Trade Summary

Net Buyer: 860 shares

Net Buy 2 txns

Insider BATTIST CHRISTINE

Role Director

Bought 860 shs ($20K)

Type	Security	Shares	Price	Value
Purchase	Common Stock	860	$23.23	$20K
holding	Common Stock	--	--	--

Holdings After Transaction: Common Stock — 14,075 shares (Direct); Common Stock — 7,281 shares (Indirect, By Trust)

Footnotes (1)

1. F1. Shares held by Trust Agreement of Christine Sue Battist dated August 13, 2007.

Key Figures

Open-market purchase: 860 shares Purchase price: $23.23/share Direct holdings after trade: 14,075 shares +2 more

5 metrics

Open-market purchase 860 shares Common Stock bought in open market

Purchase price $23.23/share Price for 860-share open-market buy

Direct holdings after trade 14,075 shares Common Stock directly owned post-transaction

Indirect trust holdings 7,281 shares Held by Trust Agreement of Christine Sue Battist

Net buy direction 860 shares net-buy transactionSummary netBuySellShares

Key Terms

open-market purchase, Common Stock, Trust Agreement, indirect ownership

4 terms

open-market purchase financial

"transaction_action: open-market purchase"

An open-market purchase is when an investor or a company buys shares on a public stock exchange at the going market price, rather than through a private deal. It matters to investors because these purchases change how many shares are available, can push the stock price up or signal confidence from large buyers, and often affect per-share metrics like earnings—think of it like someone buying lots of apples off a grocery shelf, reducing supply and potentially raising the price.

Common Stock financial

"security_title: Common Stock"

Common stock represents ownership shares in a company, giving investors a stake in its success and a say in important decisions through voting rights. It is the most common type of stock traded on markets and can provide income through dividends, as well as potential for value growth. For investors, holding common stock means sharing in the company’s profits and risks.

Trust Agreement financial

"Shares held by Trust Agreement of Christine Sue Battist dated August 13, 2007"

A trust agreement is the written contract that creates a trust and spells out who will manage specified assets, who benefits, and the rules for how those assets are handled and distributed. For investors it matters because the agreement determines control, timing of payments, protection of assets, and who is responsible if something goes wrong—much like a detailed recipe and set of house rules that guide how money or property is used and safeguarded.

indirect ownership financial

"direct_or_indirect: I, nature_of_ownership: By Trust"

FAQ

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

What did CAPITAL SOUTHWEST CORP (CSWC) director Christine Battist report on this Form 4?

Director Christine Battist reported an open-market purchase of CAPITAL SOUTHWEST CORP common stock. She acquired 860 shares, increasing her direct ownership to 14,075 shares, and also reported 7,281 shares held indirectly through a trust arrangement.

How many CSWC shares did Christine Battist buy and at what price?

Christine Battist bought 860 shares of CAPITAL SOUTHWEST CORP common stock. The purchase was an open-market transaction at a price of $23.23 per share, as disclosed in the non-derivative transaction section of the Form 4 filing.

What are Christine Battist’s direct CSWC holdings after this transaction?

After the reported open-market purchase, Christine Battist directly holds 14,075 shares of CAPITAL SOUTHWEST CORP common stock. This total reflects the 860 shares acquired in the transaction plus her previously held direct shares, as shown in the Form 4 totals column.

Does Christine Battist hold additional CSWC shares indirectly through a trust?

Yes. The Form 4 shows 7,281 CAPITAL SOUTHWEST CORP shares held indirectly “By Trust.” A footnote explains these shares are held by the Trust Agreement of Christine Sue Battist dated August 13, 2007, indicating a separate trust ownership structure.

Were any derivative securities reported in Christine Battist’s CSWC Form 4 filing?

No derivative securities were reported in this Form 4. The derivativeSummary section is empty, and all disclosed holdings and transactions relate to CAPITAL SOUTHWEST CORP common stock, both directly owned and indirectly held through a trust.

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Accepted by SEC EDGAR 06/18/2026 - 04:01 PM EDT Learn about SEC filing dates

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

BATTIST CHRISTINE

(Last) (First) (Middle)

C/O CAPITAL SOUTHWEST CORPORATION

8333 DOUGLAS AVE, SUITE 1100

(Street)

DALLAS TEXAS 75225

(City) (State) (Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
CAPITAL SOUTHWEST CORP [ CSWC ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director		10% Owner
	Officer (give title below)		Other (specify below)

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
06/17/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Common Stock	06/17/2026		P		860	A	$23.23	14,075	D
Common Stock								7,281	I	By Trust(1)

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

1. Shares held by Trust Agreement of Christine Sue Battist dated August 13, 2007.

Remarks:

	/s/ Christine S. Battist	06/18/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)