Every Form 4 that Capital Southwest (CSWC) has filed with the SEC in the last 12 months is listed below, newest first, and each one links through to the document itself with the summary and the scores our analysis gives it.
A Form 4 covers the transactions officers, directors and large holders report, so if you follow CSWC and want that one kind of document rather than the whole filing history, this is the page to keep. The company's other filings, of every form, are on the full CSWC filings page.
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.
FURST JACK D reported acquisition or exercise transactions in this Form 4 filing.
CAPITAL SOUTHWEST CORP director Jack D. Furst reported a grant of 1,989 shares of Common Stock on 2026-08-10, issued at no cash cost under the Capital Southwest 2021 Non-Employee Director Restricted Stock Award Plan. Following this award, he directly holds 49,937 shares of Common Stock.
Furst is also reported as indirectly holding 39,000 shares of Common Stock through FMAB Partners, LP, a limited partnership he controls via a 50% membership interest in its sole general partner. He disclaims beneficial ownership of these indirectly held shares except to the extent of his pecuniary interest.
CAPITAL SOUTHWEST CORP director Ramona Lynn Rogers-Windsor reported an acquisition of 1,989 shares of Common Stock on 2026-08-10. The shares were issued at $0.00 per share under the Capital Southwest 2021 Non-Employee Director Restricted Stock Award Plan, bringing her direct holdings to 25,079.6758 shares.
Brooks David R reported acquisition or exercise transactions in this Form 4 filing.
Capital Southwest Corp director David R. Brooks received a grant of 1,989 shares of Common Stock on August 10, 2026. The shares were issued at $0.00 per share under the Capital Southwest 2021 Non-Employee Director Restricted Stock Award Plan. Following this award, Brooks directly holds 42,933 shares of Capital Southwest common stock.
BATTIST CHRISTINE reported acquisition or exercise transactions in this Form 4 filing.
CAPITAL SOUTHWEST CORP director Christine Battist received a grant of 1,989 shares of common stock on 2026-08-10, issued under the Capital Southwest 2021 Non-Employee Director Restricted Stock Award Plan. Following this award, she holds 16,064 shares directly and 7,281 shares indirectly through a trust.
Capital Southwest Corp director Ramona Lynn Rogers-Windsor bought additional company stock in the open market. She purchased 210.9615 shares of Common Stock at a price of $23.7010 per share. After this transaction, she directly owns a total of 23,090.6758 shares.
CAPITAL SOUTHWEST CORP director Christine Battist reported a net open-market share purchase. On this Form 4, she bought 860 shares of Common Stock at $23.23 per share in an open-market transaction, bringing her direct holdings to 14,075 shares. A separate entry shows 7,281 shares held indirectly by a trust established under the Trust Agreement of Christine Sue Battist dated August 13, 2007.
CAPITAL SOUTHWEST CORP executive equity compensation and tax withholding transactions were reported by Senior Managing Director & CIO Joshua S. Weinstein. He received a grant of 100,000 shares of Common Stock under the 2021 Employee Restricted Stock Award Plan, reflecting stock-based compensation rather than an open-market purchase.
To cover related tax liabilities upon vesting of restricted shares, 11,349 shares at $23.28 and 9,588 shares at $23.54 were withheld and delivered back, classified as tax-withholding dispositions. After these non-market transactions, Weinstein directly holds 380,585 shares of Common Stock.
Capital Southwest Corp President and CEO Michael Scott Sarner received a grant of 140,000 shares of Common Stock under the company’s 2021 Employee Restricted Stock Award Plan. To cover tax liabilities upon vesting of restricted shares, 25,470 shares were withheld at prices around $23 per share rather than sold in the open market.
These tax-withholding dispositions were approved by the board’s Compensation Committee under Rule 16b-3 and are exempt from short-swing profit rules. After these compensation-related transactions, Sarner directly holds about 587,684 shares of Capital Southwest common stock.
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.
Capital Southwest Corp director Thomas William R III reported mixed trading in company stock. He made an open-market purchase of 5,000 common shares at a weighted average price of $23.3999 per share and an open-market sale of 4,661 shares at $23.293 per share on the same date, resulting in a small net increase of 339 directly held shares.
Following these transactions, he directly owns 18,683 common shares. He also has sole voting and dispositive power over 571,939 shares owned by Thomas Heritage Partners, Ltd. through his role as President and sole manager of its general partner, and an additional 6,000 shares are held indirectly through his son.
Capital Southwest Corp director Ramona Lynn Rogers-Windsor bought shares in the company. She made an open-market purchase of 213 shares of Common Stock at $23.42 per share. After this transaction, she directly owns 22,879.7143 Capital Southwest shares.
Capital Southwest Corp director and President/CEO Michael Scott Sarner reported an open-market purchase of company common stock. On February 27, he bought 2,694.635 shares at a price of $21.90 per share. Following this transaction, his directly held ownership increased to 473,154.339 common shares.
Capital Southwest Corp. director Christine S. Battist purchased 600 shares of common stock on February 9, 2026 at an average price of $23.1587 per share. Following this open-market purchase, she directly owns 13,215 Capital Southwest shares and indirectly holds 7,281 shares through a trust agreement dated August 13, 2007.
Ramona L. Rogers-Windsor, a director of Capital Southwest Corporation (ticker: CSWC), reported a purchase of 463 shares of the company's common stock on 10/01/2025 at a price of $21.5524 per share. The Form 4 shows the acquisition was filed as a transaction code P (purchase) and that, following the transaction, the reporting person beneficially owned 21,612.2493 shares on a direct basis.
The filing includes the reporting person’s mailing address at Capital Southwest Corporation in Dallas, Texas, and is signed by Ramona L. Rogers-Windsor on 10/01/2025. No derivative transactions or additional remarks are reported on the form.