Capital Southwest CFO granted 75,000 shares

Capital Southwest Corp Chief Financial Officer Chris Rehberger reported equity compensation and related tax-withholding transactions in company stock.

Rhea-AI Filing Summary

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.

Insider Trade Summary

3 transactions reported

Mixed 3 txns

Insider Rehberger Chris

Role Chief Financial Officer

Type	Security	Shares	Price	Value
Exercise Price or Tax Liability	Common Stock	3,688	$23.54	$87K
Exercise Price or Tax Liability	Common Stock	4,492	$23.28	$105K
Grant/Award	Common Stock	75,000	$0.00	$0.00

Holdings After Transaction: Common Stock — 215,971 shares (Direct)

Footnotes (2)

1. F1. Shares withheld for payment of tax liability upon vesting of restricted shares granted under the Capital Southwest Corporation 2021 Employee Restricted Stock Award Plan. This withholding transaction was approved by the Compensation Committee of Capital Southwest's Board of Directors in accordance with Rule 16b-3(d)(1) of the Securities Exchange Act of 1934 (the "Act"), and as such, the sale is exempt from section 16(b) of the Act pursuant to Rule 16b-3(e) promulgated thereunder.
2. F2. Shares issued under the Capital Southwest Corporation 2021 Employee Restricted Stock Award Plan.

Key Figures

Equity grant: 75,000 shares Tax withholding shares (June 9): 4,492 shares at $23.28 Tax withholding shares (June 10): 3,688 shares at $23.54 +4 more

7 metrics

Equity grant 75,000 shares Common Stock granted on June 9, 2026

Tax withholding shares (June 9) 4,492 shares at $23.28 Shares withheld to cover tax liability

Tax withholding shares (June 10) 3,688 shares at $23.54 Shares withheld to cover tax liability

Total tax-withheld shares 8,180 shares Sum of F-code tax-withholding dispositions

Shares held after latest transaction 215,971 shares Direct ownership following June 10, 2026 withholding

Withholding price (June 9) $23.28 per share Value used for tax-withholding shares

Withholding price (June 10) $23.54 per share Value used for tax-withholding shares

Key Terms

restricted shares, Capital Southwest Corporation 2021 Employee Restricted Stock Award Plan, Rule 16b-3(d)(1), Section 16(b), +1 more

5 terms

restricted shares financial

"Shares withheld for payment of tax liability upon vesting of restricted shares granted under the Capital Southwest Corporation 2021 Employee Restricted Stock Award Plan."

Restricted shares are company stock that cannot be sold or transferred immediately because they are subject to legal or contractual limits, such as a required holding period or performance conditions. They matter to investors because these locked-up shares can affect a company’s available stock for trading, future dilution, and insider incentives—imagine a gift that can’t be cashed until certain conditions are met, which changes when and how much supply can suddenly enter the market.

Capital Southwest Corporation 2021 Employee Restricted Stock Award Plan financial

"Shares issued under the Capital Southwest Corporation 2021 Employee Restricted Stock Award Plan."

Rule 16b-3(d)(1) regulatory

"approved by the Compensation Committee of Capital Southwest's Board of Directors in accordance with Rule 16b-3(d)(1) of the Securities Exchange Act of 1934"

Section 16(b) regulatory

"the sale is exempt from section 16(b) of the Act pursuant to Rule 16b-3(e)"

A federal rule that requires company insiders—like officers, directors and large shareholders—to return any profits made from buying and selling the company’s stock within a six-month window. It matters to investors because it discourages short-term trades that could exploit non-public information and helps protect outside shareholders by creating a simple, enforceable way to recover unfair gains, much like a rule stopping someone from flipping a limited-edition item for quick profit after getting early access.

tax liability financial

"Shares withheld for payment of tax liability upon vesting of restricted shares"

FAQ

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

What insider transactions did CAPITAL SOUTHWEST CORP (CSWC) report for its CFO?

CAPITAL SOUTHWEST CORP reported that CFO Chris Rehberger received 75,000 shares of common stock as an equity grant and had 8,180 shares withheld to cover tax liabilities upon vesting of restricted shares under the company’s 2021 Employee Restricted Stock Award Plan.

How many CAPITAL SOUTHWEST CORP (CSWC) shares were granted to the CFO?

CFO Chris Rehberger was granted 75,000 shares of Capital Southwest common stock. The award was issued at no cost under the Capital Southwest Corporation 2021 Employee Restricted Stock Award Plan as a form of equity-based compensation approved for employees.

Why were some of the CFO’s CAPITAL SOUTHWEST CORP (CSWC) shares disposed of?

The dispositions were tax-withholding events, not open-market sales. A total of 8,180 shares were withheld by the company to satisfy tax liabilities when restricted shares vested, as allowed under the 2021 Employee Restricted Stock Award Plan and approved by the Compensation Committee.

At what prices were CAPITAL SOUTHWEST CORP (CSWC) shares withheld for the CFO’s taxes?

For tax withholding, 4,492 shares of Capital Southwest common stock were valued at $23.28 per share and 3,688 shares at $23.54 per share. These values were used to cover the CFO’s tax obligations on vested restricted shares.

How many CAPITAL SOUTHWEST CORP (CSWC) shares does the CFO hold after these transactions?

After the most recent reported tax-withholding transaction, CFO Chris Rehberger directly holds 215,971 shares of Capital Southwest common stock. This figure reflects his position following the grant and subsequent share withholdings for tax obligations on vested restricted stock.

Were the CAPITAL SOUTHWEST CORP (CSWC) CFO’s tax-withholding transactions treated as exempt for Section 16(b)?

Yes. The footnotes state the tax-withholding transactions were approved by the Compensation Committee in accordance with Rule 16b-3(d)(1), making them exempt from Section 16(b) under Rule 16b-3(e) of the Securities Exchange Act of 1934.

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

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Accepted by SEC EDGAR 06/10/2026 - 04:56 PM 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^*

Rehberger Chris

(Last) (First) (Middle)

C/O 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)

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

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
06/09/2026

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	06/09/2026		F(1)		4,492	D	$23.28	144,659	D
Common Stock	06/09/2026		A(2)		75,000	A	$0	219,659	D
Common Stock	06/10/2026		F(1)		3,688	D	$23.54	215,971	D

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 withheld for payment of tax liability upon vesting of restricted shares granted under the Capital Southwest Corporation 2021 Employee Restricted Stock Award Plan. This withholding transaction was approved by the Compensation Committee of Capital Southwest's Board of Directors in accordance with Rule 16b-3(d)(1) of the Securities Exchange Act of 1934 (the "Act"), and as such, the sale is exempt from section 16(b) of the Act pursuant to Rule 16b-3(e) promulgated thereunder.

2. Shares issued under the Capital Southwest Corporation 2021 Employee Restricted Stock Award Plan.

Remarks:

	/s/ Chris Rehberger	06/10/2026
	** 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)