What SEC filings does Capital Southwest Corporation submit to the SEC?

Capital Southwest Corporation (CSWC) submits several types of SEC filings including Form 4 (insider transactions), Form 144 (proposed insider sales), 8-K reports (material events such as earnings releases, acquisitions, leadership changes), and periodic reports — the 10-Q (quarterly) and 10-K (annual). All filings are publicly available through SEC EDGAR.

What does a Form 4 filing tell me about CSWC?

A Form 4 for CSWC discloses a transaction by a company insider — typically a director, officer, or 10%+ shareholder. It shows the source-reported date, number of shares, price, and updated ownership. These facts do not establish motive or predict future returns.

How do I interpret an 8-K filing from Capital Southwest Corporation?

An 8-K signals a material event requiring prompt disclosure. Common triggers include earnings pre-announcements, acquisitions, leadership appointments or departures, credit changes, or regulatory actions. Read the item codes inside the filing to understand exactly what was disclosed before drawing conclusions.

What is the difference between a 10-K and 10-Q for CSWC?

The 10-K is Capital Southwest Corporation's annual report with fully audited financial statements, comprehensive MD&A, and complete risk factor disclosures — filed 60–90 days after fiscal year-end. The 10-Q is a lighter quarterly report with unaudited financials filed for the first three quarters. Together they provide a continuous financial picture of the company.

Where can I see all CSWC SEC filings directly on EDGAR?

You can view all historical Capital Southwest Corporation filings on the SEC EDGAR company page for CSWC. Each filing card on this page links directly to the original SEC document.

How often does Capital Southwest Corporation file with the SEC?

Capital Southwest Corporation files one 10-K per year and up to three 10-Qs per year. Form 4 insider transactions must be reported within two business days of each trade, so the frequency depends on how often insiders are buying or selling CSWC shares. 8-K filings occur whenever a material event happens — which can be several times per quarter for an active company.

CSWC SEC Filing News — Capital Southwest Corporation

Latest SEC filings for Capital Southwest Corporation (CSWC) explained in plain English. Covers insider buying and selling (Form 4), proposed insider sales (Form 144), material company events (8-K), and quarterly & annual reports (10-Q / 10-K). StrongBuyAnalytics provides navigation and brief excerpts or summaries; original filings remain at the SEC/source links and were authored by their filers, not StrongBuyAnalytics. Filing dates shown are source dates. Coverage and detection can be delayed or incomplete because of SEC availability, amendments, parsing, caching, or outages. Latest source filing date shown: 2026-10-15.

Capital Southwest Corporation is a business development company. The firm specializes in credit and private equity and venture capital investments in lower middle market companies, mezzanine, later stage, mature, late venture, emerging growth, buyouts, industry consolidation, recapitalizations and growth capital investments. The firm does not invest in startups, publicly traded companies, real estate developments, project finance opportunities, oil and gas exploration businesses, troubled compan…

Sector: Financial Services Industry: Asset Management Market Cap: $1.4B CIK: 17313

Total Filings

Bullish Classifications

Bearish Classifications

Insider Transactions

Material Events (8-K)

Periodic Reports

Rule-based classifications for CSWC currently lean bullish. Of the 20 displayed SEC filing records, 3 carry bullish classifications versus 0 bearish classifications. These labels summarize filing attributes; they are not recommendations, probabilities, or evidence of future price direction. There were 10 insider transactions (Form 4) in this period.

CSWC Filing Activity Snapshot 2026-06-10 — 2026-10-15

Insider Transactions (Form 4)

3 buys vs 0 sells

Net insider buying in this period — more purchases than sales reported.

Largest Form 144 Filing

$50.0K

Thomas William R III (Director) · 2026-10-01

2,170 shares · Form 4

Insider Transactions 10 · Forms 3, 4 and 5

A Form 4 is filed within two business days of a company insider — an officer, a director, or a holder of more than ten percent of the stock — changing their position in the shares. All 10 filings in this group are Form 4s for Capital Southwest Corporation.

The difficulty with reading these filings as a group is that a single form type covers transactions that mean entirely different things. An executive spending their own money to buy stock and an executive having shares withheld to pay tax on a vesting grant both appear as a Form 4. Every filing below is therefore tagged with the nature of the underlying transaction, taken from the transaction code reported on the form itself.

Across the 10 insider filings shown, the breakdown is 7 compensation award and 3 open-market purchase. 3 of them involved a discretionary open-market trade; the rest are compensation and administrative mechanics.

What each transaction type means

Compensation award ×7: Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.
Open-market purchase ×3: The insider bought shares on the open market with their own money. This is the only Form 4 category that requires a discretionary cash outlay at the prevailing price.

Form 4 Open-market purchase Insider Buying 2026-10-01

CSWC insider Thomas William R III (Director) bought 2,170 shares (~$50.0K)

Thomas William R III, listed as Director at CAPITAL SOUTHWEST CORP, reported an open-market purchase of 2,170 CSWC shares in a Form 4 filing. Insider buying is often treated as a bullish signal because company insiders are committing their own capital.

The insider bought shares on the open market with their own money. This is the only Form 4 category that requires a discretionary cash outlay at the prevailing price.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`P`	Open-market purchase	2,170	$23.04	$50.0K

Filing: Form 4 (Insider Transaction) Insider: Thomas William R III (Director) Shares: 2,170 Est. Value: $50.0K

View on SEC EDGAR → Open Filing Document →

Form 4 Compensation award Tax / Compensation Filing 2026-08-12

CSWC insider Form 4 filed for equity award, exercise, or tax withholding

Thomas William R III (Director) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`A`	Compensation award	1,989	—	—

Filing: Form 4 (Insider Transaction) Insider: Thomas William R III (Director) Shares: 1,989

View on SEC EDGAR → Open Filing Document →

Form 4 Compensation award Tax / Compensation Filing 2026-08-11

CSWC insider Form 4 filed for equity award, exercise, or tax withholding

FURST JACK D (Director) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`A`	Compensation award	1,989	—	—

Filing: Form 4 (Insider Transaction) Insider: FURST JACK D (Director) Shares: 1,989

View on SEC EDGAR → Open Filing Document →

Form 4 Compensation award Tax / Compensation Filing 2026-08-11

CSWC insider Form 4 filed for equity award, exercise, or tax withholding

Rogers-Windsor Ramona Lynn (Director) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`A`	Compensation award	1,989	—	—

Filing: Form 4 (Insider Transaction) Insider: Rogers-Windsor Ramona Lynn (Director) Shares: 1,989

View on SEC EDGAR → Open Filing Document →

Form 4 Compensation award Tax / Compensation Filing 2026-08-11

CSWC insider Form 4 filed for equity award, exercise, or tax withholding

Brooks David R (Director) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`A`	Compensation award	1,989	—	—

Filing: Form 4 (Insider Transaction) Insider: Brooks David R (Director) Shares: 1,989

View on SEC EDGAR → Open Filing Document →

Form 4 Compensation award Tax / Compensation Filing 2026-08-11

CSWC insider Form 4 filed for equity award, exercise, or tax withholding

BATTIST CHRISTINE (Director) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`A`	Compensation award	1,989	—	—

Filing: Form 4 (Insider Transaction) Insider: BATTIST CHRISTINE (Director) Shares: 1,989

View on SEC EDGAR → Open Filing Document →

Form 4 Open-market purchase Insider Buying 2026-06-30

CSWC insider Rogers-Windsor Ramona Lynn (Director) bought 210 shares (~$5.0K)

Rogers-Windsor Ramona Lynn, listed as Director at CAPITAL SOUTHWEST CORP, reported an open-market purchase of 210 CSWC shares in a Form 4 filing. Insider buying is often treated as a bullish signal because company insiders are committing their own capital.

The insider bought shares on the open market with their own money. This is the only Form 4 category that requires a discretionary cash outlay at the prevailing price.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`P`	Open-market purchase	210	$23.70	$5.0K

Filing: Form 4 (Insider Transaction) Insider: Rogers-Windsor Ramona Lynn (Director) Shares: 210 Est. Value: $5.0K

View on SEC EDGAR → Open Filing Document →

Form 4 Open-market purchase Insider Buying 2026-06-18

CSWC insider BATTIST CHRISTINE (Director) bought 860 shares (~$20.0K)

BATTIST CHRISTINE, listed as Director at CAPITAL SOUTHWEST CORP, reported an open-market purchase of 860 CSWC shares in a Form 4 filing. Insider buying is often treated as a bullish signal because company insiders are committing their own capital.

The insider bought shares on the open market with their own money. This is the only Form 4 category that requires a discretionary cash outlay at the prevailing price.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`P`	Open-market purchase	860	$23.23	$20.0K

Filing: Form 4 (Insider Transaction) Insider: BATTIST CHRISTINE (Director) Shares: 860 Est. Value: $20.0K

View on SEC EDGAR → Open Filing Document →

Form 4 Compensation award Tax / Compensation Filing 2026-06-10

CSWC insider Form 4 filed for equity award, exercise, or tax withholding

Weinstein Joshua S. (Senior Managing Director & CIO) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`F`	Tax withholding on vested shares	11,349	$23.28	$264.2K
`A`	Compensation award	100,000	—	—
`F`	Tax withholding on vested shares	9,588	$23.54	$225.7K

Filing: Form 4 (Insider Transaction) Insider: Weinstein Joshua S. (Senior Managing Director & CIO) Shares: 120,937

View on SEC EDGAR → Open Filing Document →

Form 4 Compensation award Tax / Compensation Filing 2026-06-10

CSWC insider Form 4 filed for equity award, exercise, or tax withholding

Sarner Michael Scott (Director, President and CEO) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`F`	Tax withholding on vested shares	13,765	$23.28	$320.4K
`A`	Compensation award	140,000	—	—
`F`	Tax withholding on vested shares	11,705	$23.54	$275.5K

Filing: Form 4 (Insider Transaction) Insider: Sarner Michael Scott (Director, President and CEO) Shares: 165,470

View on SEC EDGAR → Open Filing Document →

Material Events 9 · Form 8-K

An 8-K reports a material event in the window between scheduled reports. There are 9 in this period for Capital Southwest Corporation. Each 8-K names the item number it is filed under, and that number is the fastest way to tell a routine disclosure from a consequential one.

Item 2.02 is an earnings release, Item 5.02 is a change of directors or officers, and Item 1.01 or 2.01 covers a material agreement or a completed acquisition. Item 7.01 and Item 8.01 are the general-purpose disclosure items and carry no fixed meaning on their own.

Form 8-K Material Company Update 2026-10-15