Welcome to our dedicated page for Capital Southwest SEC filings (Ticker: CSWC), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
The Capital Southwest Corporation (CSWC) SEC filings page provides direct access to the company’s regulatory disclosures as a Nasdaq-listed, internally managed business development company. Capital Southwest files a range of documents with the U.S. Securities and Exchange Commission that explain its middle market lending activities, capital structure and corporate governance.
Among the most relevant filings for investors are the company’s current reports on Form 8-K, which disclose material events. Recent 8-K filings have reported quarterly and preliminary financial results, dividend declarations, entry into material definitive agreements such as underwriting agreements and supplemental indentures for its 5.950% Notes due 2030, and the creation of direct financial obligations. Other 8-Ks document annual meeting voting results, including director elections, advisory votes on executive compensation, amendments to equity incentive plans and ratification of the independent registered public accounting firm.
Capital Southwest’s filings also include information on its capital markets and financing activities. For example, 8-Ks and related exhibits describe the terms of its public notes, covenants tied to Investment Company Act asset coverage requirements, and provisions such as the Change of Control Repurchase Event that allow noteholders to require repurchase at par plus accrued interest. Filings discuss the company’s Corporate Credit Facility, SPV Credit Facility and the use of SBA-guaranteed debentures through its SBIC subsidiaries.
A Form 25 filing by Nasdaq Stock Market LLC relates specifically to the 7.75% Notes due 2028, documenting the removal of that class of notes from listing and/or registration under Section 12(b) of the Exchange Act. This filing applies to that note issue rather than to CSWC common stock. Through this page, users can review these and other SEC documents, while AI-powered tools on the platform can help summarize key terms, highlight changes in leverage and funding arrangements, and surface important details from lengthy filings such as indentures, credit agreements and shareholder meeting reports.
Capital Southwest Corporation reports results for the quarter ended September 30, 2025, showing higher net investment income and a larger balance sheet. Total investment income rose to about
Net investment income for the quarter was
Capital Southwest Corporation reported that it has furnished a press release announcing results and provided investor presentation slides. The company plans to host an analyst and investor conference call on November 4, 2025.
The materials were furnished under Item 2.02 (Results of Operations and Financial Condition) and Item 7.01 (Regulation FD). Exhibits include the press release (Ex. 99.1) and presentation slides (Ex. 99.2). The company notes these furnished materials are not deemed “filed” for liability purposes under the Exchange Act.
Capital Southwest Corporation announced it issued a press release with preliminary estimates of its financial condition and operating results for the fiscal quarter ended September 30, 2025. The press release is provided as Exhibit 99.1.
The company stated that this information is deemed “filed” under the Exchange Act and incorporated by reference into its Securities Act filings. The common stock trades on the Nasdaq Global Select Market under the symbol CSWC.
Capital Southwest Corp (CSWC) submitted a Form 25 notification reporting removal of a class of its securities from listing and/or registration on Nasdaq Stock Market LLC. The filing states the Exchange and the issuer have complied with the rules governing voluntary withdrawal and removal under the Securities Exchange Act. The notice provides the issuer's principal office address and a contact phone number but does not specify the exact class being removed or a signing date in the visible text.
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.
Capital Southwest Corporation issued and sold $350.0 million aggregate principal amount of 5.950% Notes due 2030 under a Seventh Supplemental Indenture to its base indenture. The Notes pay interest semi-annually on March 18 and September 18 beginning March 18, 2026, mature September 18, 2030, and are redeemable at the company's option prior to August 18, 2030 at par plus a make-whole premium and thereafter at par. The Notes are direct unsecured obligations, rank pari passu with the company’s unsecured, unsubordinated indebtedness, are effectively subordinated to secured debt and structurally subordinated to subsidiaries’ debt. Holders have a change-of-control repurchase right at 100% of principal plus accrued interest. The offering closed September 18, 2025, with net proceeds of approximately $343.6 million, which the company intends to use to redeem its outstanding 7.75% Notes due 2028 and 3.375% Notes due 2026 and to repay portions of indebtedness under its Corporate Credit Facility and/or SPV Credit Facility. The indenture contains covenants requiring compliance with specified provisions of the 1940 Act, subject to exemptions and limitations.
Capital Southwest Corporation entered into an underwriting agreement to issue $350.0 million aggregate principal amount of 5.950% Notes due 2030, with the offering expected to close on September 18, 2025, subject to customary closing conditions. The offering is being made under the company's effective shelf registration on Form N-2 and was accompanied by a preliminary and final prospectus supplement dated September 9, 2025.
The company also issued notices to redeem in full its 3.375% Notes due 2026, redeeming $150.0 million on October 13, 2025, and to redeem $71.9 million aggregate principal of its 7.75% Notes due 2028 on the same Redemption Date. Redemption prices equal 100% of principal plus accrued interest and any applicable make-whole premium.
Capital Southwest Corporation announced a priced offering of notes under its shelf registration. The communication warns that the notes initially will settle on a T+7 basis, so secondary-market trades before delivery require alternative settlement arrangements to avoid failed settlements. Ratings (Moody's, Fitch) may be revised or withdrawn. Investors are directed to read the preliminary prospectus supplement and accompanying prospectus available on EDGAR for complete offering details.
Capital Southwest Corporation reported that on August 27, 2025 it issued a press release announcing its dividend for the quarter ending December 31, 2025. This information is being shared through a current report to keep the market informed under Regulation FD.
The press release is included as Exhibit 99.1 and is treated as "furnished" rather than "filed" under the Securities Exchange Act of 1934, which limits certain legal liabilities. The report is signed on behalf of the company by Michael S. Sarner, its President and Chief Executive Officer.
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.