Capital Southwest director awarded 1,989 CSWC shares

BATTIST CHRISTINE reported acquisition or exercise transactions in this Form 4 filing.

Rhea-AI Filing Summary

BATTIST CHRISTINE reported acquisition or exercise transactions in this Form 4 filing.

CAPITAL SOUTHWEST CORP director Christine Battist received a grant of 1,989 shares of common stock on 2026-08-10, issued under the Capital Southwest 2021 Non-Employee Director Restricted Stock Award Plan. Following this award, she holds 16,064 shares directly and 7,281 shares indirectly through a trust.

Insider Trade Summary

Grant/Award: 1,989 shares

Grant/Award 2 txns

Insider BATTIST CHRISTINE

Role Director

Type	Security	Shares	Price	Value
Grant/Award	Common Stock F1	1,989	$0.00	$0.00
holding	Common Stock F2	--	--	--

Holdings After Transaction: Common Stock — 16,064 shares (Direct); Common Stock — 7,281 shares (Indirect, By Trust)

Footnotes (2)

1. F1. Shares issued under the Capital Southwest 2021 Non-Employee Director Restricted Stock Award Plan
2. F2. Shares held by Trust Agreement of Christine Sue Battist dated August 13, 2007.

Key Figures

Shares granted: 1,989 shares Direct holdings after transaction: 16,064 shares Indirect holdings via trust: 7,281 shares +1 more

4 metrics

Shares granted 1,989 shares Common stock grant on 2026-08-10 under 2021 Non-Employee Director Restricted Stock Award Plan

Direct holdings after transaction 16,064 shares Common stock directly owned by Christine Battist following the award

Indirect holdings via trust 7,281 shares Common stock held indirectly by Trust Agreement of Christine Sue Battist dated August 13, 2007

Award price per share $0.0000 Reported grant price, consistent with a non-cash stock award

Key Terms

Non-Employee Director Restricted Stock Award Plan, indirect, Trust Agreement

3 terms

Non-Employee Director Restricted Stock Award Plan financial

"Shares issued under the Capital Southwest 2021 Non-Employee Director Restricted Stock Award Plan"

indirect financial

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

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.

FAQ

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

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

Christine Battist reported a grant of 1,989 shares of CAPITAL SOUTHWEST CORP common stock, received as a director equity award, and updated her direct and indirect shareholdings accordingly.

How many CSWC shares did Christine Battist acquire in the latest transaction?

She acquired 1,989 shares of CAPITAL SOUTHWEST CORP common stock on 2026-08-10 as a grant or award under the company’s 2021 Non-Employee Director Restricted Stock Award Plan.

What are Christine Battist’s direct CSWC holdings after this Form 4 transaction?

After the award, Christine Battist directly holds 16,064 shares of CAPITAL SOUTHWEST CORP common stock, reflecting the newly granted 1,989 shares added to her existing direct position.

What indirect CSWC holdings does Christine Battist report on this Form 4?

She reports 7,281 shares of CAPITAL SOUTHWEST CORP common stock held indirectly by trust under the Trust Agreement of Christine Sue Battist dated August 13, 2007.

Was Christine Battist’s CSWC share grant under a specific equity plan?

Yes. The 1,989-share award was issued under the Capital Southwest 2021 Non-Employee Director Restricted Stock Award Plan, which provides restricted stock grants to non-employee directors.

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

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Accepted by SEC EDGAR 08/11/2026 - 04:02 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)
08/10/2026

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	08/10/2026		A(1)		1,989	A	$0	16,064	D
Common Stock								7,281	I	By Trust(2)

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 issued under the Capital Southwest 2021 Non-Employee Director Restricted Stock Award Plan

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

Remarks:

	/s/ Christine S. Battist	08/11/2026
	** 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)