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Capital Southwest (CSWC) Form 4: Director Adds 667 Shares

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

Rhea-AI Filing Summary

Christine Battist, a director of Capital Southwest Corp (CSWC), reported a purchase of common stock on 08/20/2025. The Form 4 shows a reported transaction code "P" for 667 shares purchased at a price of $22.447 per share, increasing her direct beneficial ownership to 12,615 shares. The filing also discloses indirect ownership of 7,281 shares held by a trust dated August 13, 2007. The Form 4 was signed on 08/21/2025 and includes an explanation that the indirect holdings are through the named trust.

Positive

  • Insider purchase disclosed: 667 shares acquired on 08/20/2025 at $22.447, indicating additional direct ownership.
  • Clear indirect ownership disclosure: 7,281 shares held via a trust agreement dated August 13, 2007.

Negative

  • None.

Insights

TL;DR: Director purchased 667 shares at $22.447, modestly increasing direct stake; 7,281 shares held indirectly via trust.

The filing documents a single non-derivative purchase by a reporting director on 08/20/2025. The transaction is recorded under code "P" for 667 shares at $22.447, resulting in 12,615 shares directly owned and 7,281 indirectly owned by a trust. For investors, this is a routine insider purchase disclosure showing modest additional insider alignment with equity but not a material shift in ownership. All analysis here is strictly limited to the transaction details disclosed in the Form 4.

TL;DR: Routine insider purchase by a director; indirect holdings held in a dated trust are disclosed.

The Form 4 provides clear disclosure of both direct and indirect beneficial ownership. The indirect position is attributed to a trust agreement dated August 13, 2007, as noted in the explanation. The report is timely (transaction 08/20/2025; signature 08/21/2025) and complies with Section 16 reporting requirements based on the information presented.

Insider BATTIST CHRISTINE
Role Director
Bought 667 shs ($15K)
Type Security Shares Price Value
Purchase Common Stock 667 $22.447 $15K
holding Common Stock -- -- --
Holdings After Transaction: Common Stock — 12,615 shares (Direct); Common Stock — 7,281 shares (Indirect, By Trust)
Footnotes (1)
  1. [object Object]
Form 4 Insider Transactions: What Each Field Means →
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 TX 75225
(City) (State) (Zip)
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)
3. Date of Earliest Transaction (Month/Day/Year)
08/20/2025
4. If Amendment, Date of Original Filed (Month/Day/Year)
 6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
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 08/20/2025 P 667 A $22.447 12,615 D
Common Stock 7,281 I By Trust(1)
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 held by Trust Agreement of Christine Sue Battist dated August 13, 2007.
Remarks:
/s/ Christine S. Battist 08/21/2025
** 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.

Source: View Original Filing on SEC EDGAR

FAQ

What did Christine Battist report on Form 4 for CSWC?

She reported a purchase of 667 shares of Capital Southwest Corp common stock on 08/20/2025 at $22.447 per share, increasing direct ownership to 12,615 shares.

When was the transaction and when was the Form 4 signed?

Transaction date: 08/20/2025. Form signed: 08/21/2025.

Does the filing show any indirect holdings for the reporting person?

Yes. The filing discloses 7,281 shares held indirectly by a trust (Christine Sue Battist Trust dated August 13, 2007).

What price was paid for the reported shares?

The reported price was $22.447 per share for the 667 shares acquired.

Is there any derivative or option activity reported in this Form 4?

No. Table II for derivative securities contains no entries; only non-derivative common stock purchase is reported in Table I.