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.
Capital Southwest Corporation filings document the disclosure record of an internally managed business development company focused on middle market lending. Recent Form 8-K reports cover results of operations and financial condition, including preliminary estimates of net investment income and net asset value, quarterly financial releases, investor presentation materials and Regulation FD disclosures.
The filings also record board-declared monthly and supplemental dividends, annual tax treatment of distributions, and other material-event exhibits tied to the company’s BDC structure, portfolio financing activities, capital returns and public-company reporting obligations.
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 Ratings (Moody's, Fitch) may be revised or withdrawn.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.
Jack D. Furst, a director of Capital Southwest Corporation (CSWC), received 2,193 shares of common stock on 08/12/2025 under the companys 2021 Non-Employee Director Restricted Stock Award Plan at no cash price. After the grant, Mr. Furst directly beneficially owns 47,948 shares and indirectly holds 39,000 additional shares through FMAB Partners, LP, a limited partnership he controls in part; he disclaims beneficial ownership of those 39,000 shares except to the extent of his pecuniary interest. The Form 4 was signed on 08/14/2025.
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.
Ramona L. Rogers-Windsor, a director of Capital Southwest Corporation (CSWC), was issued 2,193 shares of common stock on 08/12/2025 at a price of $0 under the Capital Southwest 2021 Non-Employee Director Restricted Stock Award Plan. The Form 4 lists the reporting person as a director and shows the grant increased her beneficial ownership to 20,828.1428 shares. The filing indicates the Form was filed by one reporting person and bears a signature date of 08/13/2025.
The report contains only a non-derivative equity grant; no options, dispositions, or cash purchases are recorded. The filing records a standard director compensation issuance rather than a market purchase.
Christine S. Battist, a director of Capital Southwest Corporation (CSWC), received a grant of restricted common stock under the company’s 2021 Non-Employee Director Restricted Stock Award Plan. The Form 4 reports an acquisition of 2,193 shares on 08/12/2025 at a reported price of $0, reflecting a grant rather than a cash purchase. Following the reported transaction, the filing shows 11,948 shares owned directly and 7,281 held indirectly by a trust established by Christine Sue Battist (Trust Agreement dated August 13, 2007). No derivative securities are reported. The filing identifies Battist as a director and provides the issuer ticker CSWC.
William R. Thomas III, a director of Capital Southwest Corporation (CSWC), acquired restricted shares under a director award plan on 08/12/2025. The Form 4 reports the issuance of 2,193 common shares under the Capital Southwest 2021 Non-Employee Director Restricted Stock Award Plan at a reported price of $0, increasing the reporting person’s direct beneficial ownership to 18,344 shares.
The filing also discloses two indirect holdings of 6,000 shares each held by the reporting person’s son and a substantial indirect position of 571,939 shares owned by Thomas Heritage Partners, Ltd., for which Mr. Thomas, as president and sole manager of Thomas Heritage Company, L.L.C., has sole voting and dispositive power.
Capital Southwest Corporation registered 1,994,153 additional common shares for issuance under its Amended and Restated 2021 Employee Restricted Stock Award Plan. The total consists of a 1,850,000 increase to the plan reserve and 144,153 forfeited shares available for reissuance; the forfeited shares were previously registered and do not increase the plan maximum. The filing incorporates prior Form S-8 disclosures by reference.