Capital Southwest director awarded 1,989 CSWC shares

Thomas William R III reported acquisition or exercise transactions in this Form 4 filing.

Rhea-AI Filing Summary

Thomas William R III reported acquisition or exercise transactions in this Form 4 filing.

Capital Southwest Corp director Thomas William R III reported a grant of 1,989 shares of common stock on August 10, 2026, issued at no cash cost under the Capital Southwest 2021 Non-Employee Director Restricted Stock Award Plan. Following this grant, he holds 20,672 shares directly, 6,000 shares indirectly through his son, and is deemed the beneficial owner of 571,939 additional shares held by Thomas Heritage Partners, Ltd. through entities he controls.

Insider Trade Summary

Grant/Award: 1,989 shares

Grant/Award 3 txns

Insider Thomas William R III

Role Director

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

Holdings After Transaction: Common Stock — 20,672 shares (Direct); Common Stock — 6,000 shares (Indirect, Held by the reporting person's son); Common Stock — 571,939 shares (Indirect, See Footnote)

Footnotes (2)

1. F1. Shares issued under the Capital Southwest 2021 Non-Employee Director Restricted Stock Award Plan
2. F2. Mr. Thomas is President and sole manager of Thomas Heritage Company, L.L.C., the sole general partner of Thomas Heritage Partners, Ltd. (the "Partnership"). In such capacity, Mr. Thomas has sole voting and dispositive power with respect to 571,939 shares owned by the Partnership. Although Mr. Thomas's pecuniary interest in the shares of common stock held by the Partnership is limited to his limited partnership interest in the Partnership and his membership interest in the general partner of the Partnership, in accordance with Rule 13d-3(d)(1)(i) of the Securities Exchange Act of 1934, as amended, Mr. Thomas is deemed to be the beneficial owner of all of such shares of common stock.

Key Figures

Shares granted: 1,989 shares Direct holdings after grant: 20,672 shares Indirect holdings via son: 6,000 shares +2 more

5 metrics

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

Direct holdings after grant 20,672 shares Direct common stock ownership following August 10, 2026 grant

Indirect holdings via son 6,000 shares Indirect common stock holdings reported as held by the reporting person’s son

Indirect holdings via Partnership 571,939 shares Shares owned by Thomas Heritage Partners, Ltd. over which he has sole voting and dispositive power

Grant price per share $0.00 Reported transaction price per share for the 1,989-share stock award

Key Terms

Restricted Stock Award Plan, beneficial owner, pecuniary interest, voting and dispositive power

4 terms

Restricted Stock Award Plan financial

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

beneficial owner regulatory

"Mr. Thomas is deemed to be the beneficial owner of all of such shares of common stock."

A beneficial owner is the person who ultimately owns or controls a financial asset or property, even if their name isn't directly on official documents. Think of it like someone who secretly holds the keys to a safe deposit box—others may appear to have access, but the true owner is the one who benefits from what's inside. Identifying beneficial owners helps ensure transparency and prevent illegal activities like money laundering or fraud.

pecuniary interest financial

"Mr. Thomas's pecuniary interest in the shares of common stock held by the Partnership is limited"

voting and dispositive power regulatory

"Mr. Thomas has sole voting and dispositive power with respect to 571,939 shares owned"

FAQ

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

What did Capital Southwest (CSWC) director Thomas William R III report in this Form 4?

He reported a grant of 1,989 shares of Capital Southwest common stock on August 10, 2026, received at $0.00 per share under a non-employee director restricted stock award plan.

How many CSWC shares does Thomas William R III own directly after this transaction?

After the August 10, 2026 grant, he directly owns 20,672 shares of Capital Southwest common stock, as shown by the post-transaction direct holding figure in the Form 4.

What indirect holdings in CSWC are reported for Thomas William R III?

The Form 4 shows 6,000 shares held indirectly through his son and 571,939 shares held indirectly through Thomas Heritage Partners, Ltd., where he has sole voting and dispositive power via related entities.

Under which plan were the 1,989 CSWC shares granted to Thomas William R III?

The 1,989-share grant was issued under the Capital Southwest 2021 Non-Employee Director Restricted Stock Award Plan, as described in the transaction footnote attached to the award.

Does Thomas William R III receive full economic benefit from all indirectly held CSWC shares?

The filing notes his pecuniary interest in the 571,939 Partnership shares is limited to his partnership and membership interests, though he is deemed the beneficial owner of all such shares under SEC rules.

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

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Available on EDGAR 08/12/2026 - 04:04 PM Accepted by SEC EDGAR 08/12/2026 - 04:03 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^*

Thomas William R III

(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	20,672	D
Common Stock								6,000	I	Held by the reporting person's son
Common Stock								571,939	I	See Footnote(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. Mr. Thomas is President and sole manager of Thomas Heritage Company, L.L.C., the sole general partner of Thomas Heritage Partners, Ltd. (the "Partnership"). In such capacity, Mr. Thomas has sole voting and dispositive power with respect to 571,939 shares owned by the Partnership. Although Mr. Thomas's pecuniary interest in the shares of common stock held by the Partnership is limited to his limited partnership interest in the Partnership and his membership interest in the general partner of the Partnership, in accordance with Rule 13d-3(d)(1)(i) of the Securities Exchange Act of 1934, as amended, Mr. Thomas is deemed to be the beneficial owner of all of such shares of common stock.

Remarks:

	/s/ William R. Thomas	08/12/2026
	** 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)