Welcome to our dedicated page for Capital Southwest Corporation SEC filings (Ticker: CSWCZ), 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 regulatory disclosures for an internally managed business development company focused on financing middle market businesses. Recent Form 8-K reports cover results of operations and financial condition, Regulation FD disclosures, dividend declarations, dividend tax treatment and investor presentation materials.
The filing record also documents capital-structure activity, including supplemental indentures, medium-term note issuance, unsecured debt terms, note redemption plans and borrowings under corporate and special purpose vehicle credit facilities. These disclosures describe how the company reports distributions, financing arrangements and material events for its public securities.
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 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 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 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.
Company submitted a Form 144 notice indicating proposed sales of restricted common stock tied to prior vesting under a registered plan. The excerpt lists 08/10/2024 for 2,240 shares and 08/10/2023 for 2,421 shares, each described as "Restricted Stock Vesting Under a Registered Plan."
Company submitted a Form 144 notice indicating proposed sales of restricted common stock tied to prior vesting under a registered plan. The excerpt lists 08/10/2024 for 2,240 shares and 08/10/2023 for 2,421 shares, each described as "Restricted Stock Vesting Under a Registered Plan."
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 13,683 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 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 13,683 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 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 Corporation announced cash dividends totaling $0.64 per share for the quarter ending September 30, 2026. The Board declared a regular quarterly dividend of $0.58 per share, to be paid in three equal monthly installments of $0.1934 per share on July 31, August 31, and September 30, 2026.
The Board also declared a supplemental dividend of $0.06 per share, payable on September 30, 2026, bringing total dividends for the quarter to $0.64 per share. The company maintains a dividend reinvestment plan allowing registered stockholders who opt in by the record date to reinvest dividends into additional common shares.
Capital Southwest is an internally managed business development company with approximately $2.1 billion in investments at fair value as of March 31, 2026, focused on providing financing to middle market businesses.
Capital Southwest Corporation announced cash dividends totaling $0.64 per share for the quarter ending September 30, 2026. The Board declared a regular quarterly dividend of $0.58 per share, to be paid in three equal monthly installments of $0.1934 per share on July 31, August 31, and September 30, 2026.
The Board also declared a supplemental dividend of $0.06 per share, payable on September 30, 2026, bringing total dividends for the quarter to $0.64 per share. The company maintains a dividend reinvestment plan allowing registered stockholders who opt in by the record date to reinvest dividends into additional common shares.
Capital Southwest is an internally managed business development company with approximately $2.1 billion in investments at fair value as of March 31, 2026, focused on providing financing to middle market businesses.
Capital Southwest Corporation is asking shareholders to vote at a virtual annual meeting on July 22, 2026. Investors will elect six directors for one-year terms, hold an advisory vote on executive pay, and choose how often future advisory pay votes occur, with the board recommending "one year." Shareholders are also asked to approve a Charter Amendment to increase authorized common shares, ratify RSM US LLP as auditor for the year ending March 31, 2027, and allow a potential adjournment if more proxies are needed for the Charter Amendment. Shareholders of record on May 26, 2026, when 62,140,726 common shares were outstanding, can vote online, by phone, by mail, or during the live webcast. The proxy highlights majority-vote director elections, director and executive stock ownership requirements, a compensation recoupment policy, and independent board committees overseeing audit, compensation, and governance.
Capital Southwest Corporation is asking shareholders to vote at a virtual annual meeting on July 22, 2026. Investors will elect six directors for one-year terms, hold an advisory vote on executive pay, and choose how often future advisory pay votes occur, with the board recommending "one year." Shareholders are also asked to approve a Charter Amendment to increase authorized common shares, ratify RSM US LLP as auditor for the year ending March 31, 2027, and allow a potential adjournment if more proxies are needed for the Charter Amendment. Shareholders of record on May 26, 2026, when 62,140,726 common shares were outstanding, can vote online, by phone, by mail, or during the live webcast. The proxy highlights majority-vote director elections, director and executive stock ownership requirements, a compensation recoupment policy, and independent board committees overseeing audit, compensation, and governance.
Capital Southwest Corporation expanded its at-the-market stock offering program, increasing the maximum aggregate amount of common shares that may be sold from $1.0 billion to $2.0 billion. These shares may be issued from time to time through Jefferies, Raymond James, Citizens Capital Markets, and B. Riley as sales agents or principals.
After giving effect to the new amendments, approximately $1.1 billion in aggregate amount of common stock remains available for sale under the program. The shares, if issued, will be offered under an existing shelf registration statement on Form N-2 and related prospectus materials.
Capital Southwest Corporation expanded its at-the-market stock offering program, increasing the maximum aggregate amount of common shares that may be sold from $1.0 billion to $2.0 billion. These shares may be issued from time to time through Jefferies, Raymond James, Citizens Capital Markets, and B. Riley as sales agents or principals.
After giving effect to the new amendments, approximately $1.1 billion in aggregate amount of common stock remains available for sale under the program. The shares, if issued, will be offered under an existing shelf registration statement on Form N-2 and related prospectus materials.
Capital Southwest Corporation is an internally managed business development company that focuses on providing first lien debt and selective equity to lower middle market companies across diverse U.S. industries. The company does not pay an external management fee and instead bears its own operating costs.
As a BDC, it generally must keep at least 70% of assets in qualifying private or thinly traded U.S. investments and, since April 2019, may borrow so long as asset coverage under the 1940 Act is at least 150%. Its board has further limited leverage so asset coverage will not fall below 166%. Capital Southwest has elected regulated investment company tax status, aiming to distribute at least 90% of investment company taxable income to avoid most federal income tax. As of September 30, 2025, voting stock held by non‑affiliates had an aggregate market value of $1,208,032,692, and 62,140,726 common shares were outstanding as of May 15, 2026.
Capital Southwest Corporation is an internally managed business development company that focuses on providing first lien debt and selective equity to lower middle market companies across diverse U.S. industries. The company does not pay an external management fee and instead bears its own operating costs.
As a BDC, it generally must keep at least 70% of assets in qualifying private or thinly traded U.S. investments and, since April 2019, may borrow so long as asset coverage under the 1940 Act is at least 150%. Its board has further limited leverage so asset coverage will not fall below 166%. Capital Southwest has elected regulated investment company tax status, aiming to distribute at least 90% of investment company taxable income to avoid most federal income tax. As of September 30, 2025, voting stock held by non‑affiliates had an aggregate market value of $1,208,032,692, and 62,140,726 common shares were outstanding as of May 15, 2026.