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 (NASDAQ:CSWC) filed a Form 4 disclosing that director Ramona L. Rogers-Windsor purchased 471 shares of common stock on June 23 2025 at $21.19 per share.
After the transaction, her direct beneficial ownership rose to 18,091.5147 shares. The filing lists the transaction code “P,” indicating an open-market purchase, and shows no derivative activity or 10b5-1 plan references. No other changes in ownership were reported.