Every Form 4 that Capital Southwest Corporation 7.75% Notes due 2028 (CSWCZ) 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 CSWCZ 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 CSWCZ filings page.
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.