STOCK TITAN
  1. Home
  2. Sec-filings
  3. CSWC
  4. [Form 4] CAPITAL SOUTHWEST CORP Insider Trading Activity

Capital Southwest (CSWC) director David R. Brooks receives 1,989-share stock award

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

Brooks David R reported acquisition or exercise transactions in this Form 4 filing.

Capital Southwest Corp director David R. Brooks received a grant of 1,989 shares of Common Stock on August 10, 2026. The shares were issued at $0.00 per share under the Capital Southwest 2021 Non-Employee Director Restricted Stock Award Plan. Following this award, Brooks directly holds 42,933 shares of Capital Southwest common stock.

Positive

  • None.

Negative

  • None.
Insider Brooks David R
Role Director
Type Security Shares Price Value
Grant/Award Common Stock F1 1,989 $0.00 $0.00
Holdings After Transaction: Common Stock — 42,933 shares (Direct)
Footnotes (1)
  1. F1. Shares issued under the Capital Southwest 2021 Non-Employee Director Restricted Stock Award Plan
Shares granted 1,989 shares of Common Stock Grant/award acquisition on August 10, 2026
Grant price $0.00 per share Reported transaction price for the 1,989-share award
Holdings after transaction 42,933 shares Total direct ownership following the August 10, 2026 award
Award plan year 2021 Capital Southwest 2021 Non-Employee Director Restricted Stock Award Plan
Restricted Stock Award financial
"Shares issued under the Capital Southwest 2021 Non-Employee Director Restricted Stock Award Plan"
A restricted stock award is company shares given to an employee or executive that cannot be sold or fully owned until certain conditions—like staying with the company for a set time or hitting performance targets—are met. Think of it as a gift that only becomes yours after you fulfill specific obligations; for investors, these awards matter because they can increase the total shares outstanding when they vest, reveal how management is being paid and motivated, and create potential selling pressure when restrictions lift.
Non-Employee Director financial
"Capital Southwest 2021 Non-Employee Director Restricted Stock Award Plan"
Common Stock financial
"Shares issued under the Capital Southwest 2021 Non-Employee Director Restricted Stock Award Plan"
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.

FAQ

What transaction did Capital Southwest (CSWC) director David R. Brooks report?
David R. Brooks reported an acquisition of 1,989 shares of Capital Southwest common stock on August 10, 2026, received as a grant under the company’s 2021 Non-Employee Director Restricted Stock Award Plan.

How many Capital Southwest (CSWC) shares does David R. Brooks hold after this grant?
After the reported grant, David R. Brooks directly holds 42,933 shares of Capital Southwest common stock. This reflects his updated ownership position following the 1,989-share restricted stock award.

Was cash paid for the 1,989 CSWC shares granted to David R. Brooks?
No cash was paid for this grant. The 1,989 shares of Capital Southwest common stock were issued at a reported price of $0.00 per share as a restricted stock award to the director.

What plan was used for David R. Brooks’ new CSWC share grant?
The 1,989-share award to David R. Brooks was issued under the Capital Southwest 2021 Non-Employee Director Restricted Stock Award Plan, which provides stock-based compensation to non-employee directors.

Does the Form 4 for CSWC indicate any stock sales by David R. Brooks?
No sales are reported. The Form 4 shows a single grant of 1,989 shares of Capital Southwest common stock to David R. Brooks, increasing his direct holdings to 42,933 shares with no dispositions disclosed.

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

See more from StockTitan in Google Search and AI answers. Adds StockTitan as a preferred source · opens Google
Add on Google
Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4UNITED 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*
Brooks David R
(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)
XDirector10% Owner
Officer (give title below)Other (specify below)
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
08/10/2026		6. Individual or Joint/Group Filing (Check Applicable Line)
XForm 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)
CodeVAmount(A) or (D)Price
Common Stock08/10/2026A(1)1,989A$042,933D
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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Explanation of Responses:
1. Shares issued under the Capital Southwest 2021 Non-Employee Director Restricted Stock Award Plan
Remarks:
/s/ David R. Brooks08/11/2026
** Signature of Reporting PersonDate
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)

Source: View Original Filing on SEC EDGAR