[Form 4] Capital Southwest Corp Insider Trading Activity
This Form 4 reports that Capital Southwest Corp director David R. Brooks was issued 2,193 shares of common stock on 08/12/2025 under the Capital Southwest 2021 Non-Employee Director Restricted Stock Award Plan at a reported price of $0. The award is recorded as a non-derivative acquisition and, following the issuance, Mr. Brooks beneficially owns 40,944 shares, held directly.
The disclosure reflects director compensation delivered as restricted stock, which increases Mr. Brooks’ direct stake in the company and documents the grant for SEC transparency. The filing does not provide any change in total outstanding shares, percentage ownership, or other transactions beyond the restricted stock award.
Questo Modulo 4 segnala che il direttore di Capital Southwest Corp, David R. Brooks, ha ricevuto 2,193 azioni ordinarie il 08/12/2025 nell'ambito del Capital Southwest 2021 Non-Employee Director Restricted Stock Award Plan a un prezzo dichiarato di $0. L'assegnazione è registrata come acquisizione non derivativa e, dopo l'emissione, il Sig. Brooks detiene beneficiariamente 40,944 azioni, possedute direttamente.
La comunicazione riflette la compensazione del direttore erogata in azioni vincolate, che aumenta la partecipazione diretta del Sig. Brooks nella società e documenta la concessione per la trasparenza verso la SEC. La dichiarazione non indica alcuna variazione nel totale delle azioni in circolazione, nella percentuale di possesso o altre operazioni oltre all'assegnazione di azioni vincolate.
Este Formulario 4 informa que el director de Capital Southwest Corp, David R. Brooks, recibió 2,193 acciones ordinarias el 08/12/2025 bajo el Capital Southwest 2021 Non-Employee Director Restricted Stock Award Plan a un precio declarado de $0. La adjudicación se registra como una adquisición no derivativa y, tras la emisión, el Sr. Brooks posee beneficiariamente 40,944 acciones, en propiedad directa.
La divulgación refleja la compensación del director entregada en acciones restringidas, lo que incrementa la participación directa del Sr. Brooks en la compañía y documenta la concesión para la transparencia ante la SEC. La presentación no indica ningún cambio en el total de acciones en circulación, en el porcentaje de participación ni otras transacciones aparte de la adjudicación de acciones restringidas.
이 양식 4는 Capital Southwest Corp 이사인 David R. Brooks가 08/12/2025에 Capital Southwest 2021 Non-Employee Director Restricted Stock Award Plan에 따라 보통주 2,193주를 신고된 가격 $0로 부여받았음을 보고합니다. 이 수여는 비파생 취득으로 기록되며, 발행 후 Brooks 씨는 실질적으로 40,944주를 직접 보유하고 있습니다.
공시는 이사 보수를 제한주식으로 지급한 내용을 반영하며, 이는 Brooks 씨의 회사에 대한 직접 지분을 증가시키고 SEC 투명성을 위해 수여 사실을 문서화합니다. 제출 서류에는 유통 주식 총수, 소유 비율 또는 제한주 수여 외 다른 거래에 대한 변경 사항은 포함되어 있지 않습니다.
Ce formulaire 4 indique que l'administrateur de Capital Southwest Corp, David R. Brooks, s'est vu attribuer 2,193 actions ordinaires le 08/12/2025 dans le cadre du Capital Southwest 2021 Non-Employee Director Restricted Stock Award Plan à un prix déclaré de $0. L'attribution est enregistrée comme une acquisition non dérivative et, après l'émission, M. Brooks détient à titre bénéficiaire 40,944 actions, détenues directement.
La divulgation reflète la rémunération de l'administrateur versée sous forme d'actions restreintes, ce qui augmente la participation directe de M. Brooks dans la société et documente l'attribution pour assurer la transparence envers la SEC. Le dépôt ne signale aucun changement du nombre total d'actions en circulation, du pourcentage de détention ni d'autres opérations en dehors de l'attribution d'actions restreintes.
Dieses Formular 4 meldet, dass der Direktor von Capital Southwest Corp, David R. Brooks, am 08/12/2025 2,193 Stammaktien im Rahmen des Capital Southwest 2021 Non-Employee Director Restricted Stock Award Plan zu einem angegebenen Preis von $0 erhalten hat. Die Zuteilung ist als nicht-derivativer Erwerb verbucht und nach der Ausgabe besitzt Herr Brooks wirtschaftlich 40,944 Aktien, gehalten direkt.
Die Offenlegung betrifft die an den Direktor gezahlte Vergütung in Form von Restricted Stock, die den direkten Anteil von Herrn Brooks am Unternehmen erhöht und die Zuteilung zur Transparenz gegenüber der SEC dokumentiert. Die Einreichung verzeichnet keine Änderung der insgesamt ausstehenden Aktien, der prozentualen Beteiligung oder anderer Transaktionen über die Restricted-Stock-Zuteilung hinaus.
- Director alignment: 2,193 restricted shares granted aligns the reporting director's interests with shareholders
- Transparent reporting: Form 4 discloses the grant amount and resulting direct beneficial ownership of 40,944 shares
- None.
Insights
TL;DR: Director awarded 2,193 restricted shares, raising direct holdings to 40,944; compensation grant is alignment-focused with limited market impact.
The Form 4 shows a routine non-derivative issuance of restricted shares to a director as part of the company’s non-employee director compensation program. The reported $0 price indicates these were granted rather than purchased. For investors, this is primarily a governance/compensation event: it modestly increases the director’s direct ownership but does not on its face change capital structure or signal a market transaction.
TL;DR: Grant to align director incentives; disclosure meets Section 16 reporting for insider compensation but is not a material corporate event.
The filing documents issuance under the company’s 2021 Non-Employee Director Restricted Stock Award Plan, which is a standard mechanism to align outside directors with shareholders. The entry records the grant amount and resulting direct ownership of 40,944 shares. The disclosure is transparent about the award but does not include vesting terms or changes to total share count, limiting assessment of longer-term governance impact.
Questo Modulo 4 segnala che il direttore di Capital Southwest Corp, David R. Brooks, ha ricevuto 2,193 azioni ordinarie il 08/12/2025 nell'ambito del Capital Southwest 2021 Non-Employee Director Restricted Stock Award Plan a un prezzo dichiarato di $0. L'assegnazione è registrata come acquisizione non derivativa e, dopo l'emissione, il Sig. Brooks detiene beneficiariamente 40,944 azioni, possedute direttamente.
La comunicazione riflette la compensazione del direttore erogata in azioni vincolate, che aumenta la partecipazione diretta del Sig. Brooks nella società e documenta la concessione per la trasparenza verso la SEC. La dichiarazione non indica alcuna variazione nel totale delle azioni in circolazione, nella percentuale di possesso o altre operazioni oltre all'assegnazione di azioni vincolate.
Este Formulario 4 informa que el director de Capital Southwest Corp, David R. Brooks, recibió 2,193 acciones ordinarias el 08/12/2025 bajo el Capital Southwest 2021 Non-Employee Director Restricted Stock Award Plan a un precio declarado de $0. La adjudicación se registra como una adquisición no derivativa y, tras la emisión, el Sr. Brooks posee beneficiariamente 40,944 acciones, en propiedad directa.
La divulgación refleja la compensación del director entregada en acciones restringidas, lo que incrementa la participación directa del Sr. Brooks en la compañía y documenta la concesión para la transparencia ante la SEC. La presentación no indica ningún cambio en el total de acciones en circulación, en el porcentaje de participación ni otras transacciones aparte de la adjudicación de acciones restringidas.
이 양식 4는 Capital Southwest Corp 이사인 David R. Brooks가 08/12/2025에 Capital Southwest 2021 Non-Employee Director Restricted Stock Award Plan에 따라 보통주 2,193주를 신고된 가격 $0로 부여받았음을 보고합니다. 이 수여는 비파생 취득으로 기록되며, 발행 후 Brooks 씨는 실질적으로 40,944주를 직접 보유하고 있습니다.
공시는 이사 보수를 제한주식으로 지급한 내용을 반영하며, 이는 Brooks 씨의 회사에 대한 직접 지분을 증가시키고 SEC 투명성을 위해 수여 사실을 문서화합니다. 제출 서류에는 유통 주식 총수, 소유 비율 또는 제한주 수여 외 다른 거래에 대한 변경 사항은 포함되어 있지 않습니다.
Ce formulaire 4 indique que l'administrateur de Capital Southwest Corp, David R. Brooks, s'est vu attribuer 2,193 actions ordinaires le 08/12/2025 dans le cadre du Capital Southwest 2021 Non-Employee Director Restricted Stock Award Plan à un prix déclaré de $0. L'attribution est enregistrée comme une acquisition non dérivative et, après l'émission, M. Brooks détient à titre bénéficiaire 40,944 actions, détenues directement.
La divulgation reflète la rémunération de l'administrateur versée sous forme d'actions restreintes, ce qui augmente la participation directe de M. Brooks dans la société et documente l'attribution pour assurer la transparence envers la SEC. Le dépôt ne signale aucun changement du nombre total d'actions en circulation, du pourcentage de détention ni d'autres opérations en dehors de l'attribution d'actions restreintes.
Dieses Formular 4 meldet, dass der Direktor von Capital Southwest Corp, David R. Brooks, am 08/12/2025 2,193 Stammaktien im Rahmen des Capital Southwest 2021 Non-Employee Director Restricted Stock Award Plan zu einem angegebenen Preis von $0 erhalten hat. Die Zuteilung ist als nicht-derivativer Erwerb verbucht und nach der Ausgabe besitzt Herr Brooks wirtschaftlich 40,944 Aktien, gehalten direkt.
Die Offenlegung betrifft die an den Direktor gezahlte Vergütung in Form von Restricted Stock, die den direkten Anteil von Herrn Brooks am Unternehmen erhöht und die Zuteilung zur Transparenz gegenüber der SEC dokumentiert. Die Einreichung verzeichnet keine Änderung der insgesamt ausstehenden Aktien, der prozentualen Beteiligung oder anderer Transaktionen über die Restricted-Stock-Zuteilung hinaus.
FAQ
What transaction did David R. Brooks report on Form 4 for CSWC?
How many CSWC shares does David R. Brooks own after the reported transaction?
At what price were the CSWC shares issued to the director?
Under which plan were the CSWC shares issued to David Brooks?
Does the Form 4 disclose vesting terms or percentage ownership of CSWC?
