Capital Southwest Corp (CSWC) director granted 1,989-share stock award and reports large indirect stake
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.
Positive
- None.
Negative
- None.
Insider Trade Summary
Net Buyer: 1,989 shares
Net Buy
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)
- F1. Shares issued under the Capital Southwest 2021 Non-Employee Director Restricted Stock Award Plan
- 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
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.
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.
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.
