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CSWC Insider Trading

Insider Ownership Percentage: 6.50%
Insider Buying (Last 12 Months): $62,791.90
Insider Selling (Last 12 Months): $0.00

Capital Southwest Insider Trading History Chart

This chart shows the insider buying and selling history at Capital Southwest by year and by quarter.

Skip ChartChart Data in Insider Trading History Table

Capital Southwest Share Price & Price History

Current Price: $18.21
Price Change: Price Increase of +0.06 (0.33%)
As of 12/2/2022 10:00 PM ET

This chart shows the closing price history over time for CSWC up to the past year.

Skip Chart and Table DataPrice Data in Insider Trading History Table
Days: 30 | 90 | 365

Capital Southwest Insider Trading History

Transaction DateInsider NameTitleBuy/SellNumber of SharesAverage Share PriceTotal TransactionShares Held After TransactionDetails
11/3/2022Christine BattistDirectorBuy510$18.99$9,684.902,931View SEC Filing Icon  
6/22/2022Ramona Lynn Rogers-WindsorDirectorBuy850$18.57$15,784.504,130View SEC Filing Icon  
3/30/2022Ramona Lynn Rogers-WindsorDirectorBuy750$23.81$17,857.50View SEC Filing Icon  
2/17/2022Christine BattistDirectorBuy389$25.00$9,725.00View SEC Filing Icon  
12/20/2021Christine BattistDirectorBuy400$24.35$9,740.00View SEC Filing Icon  
11/9/2021Michael Scott SarnerCFOBuy3,355$26.83$90,014.65View SEC Filing Icon  
9/28/2021Christine BattistDirectorBuy700$25.40$17,780.00View SEC Filing Icon  
9/9/2021William R. Thomas, IIIDirectorBuy4,000$27.72$110,880.006,759View SEC Filing Icon  
8/31/2021Thomas Duane MorganDirectorBuy381$26.39$10,054.594,776View SEC Filing Icon  
3/19/2021Christine BattistDirectorBuy1,000$21.45$21,450.006,191View SEC Filing Icon  
2/11/2021David R BrooksDirectorBuy1,500$20.57$30,855.0030,000View SEC Filing Icon  
3/20/2020Bowen S DiehlCEOBuy20,000$9.46$189,200.0094,942View SEC Filing Icon  
3/20/2020Michael Scott SarnerCFOBuy21,500$9.31$200,165.00
3/17/2020Christine BattistDirectorBuy950$10.33$9,813.505,191View SEC Filing Icon  
3/2/2020Christine BattistDirectorBuy537$18.61$9,993.574,241View SEC Filing Icon  
2/28/2020Michael Scott SarnerCFOBuy4,150$18.23$75,654.50
2/24/2020Christine BattistDirectorBuy1,000$20.39$20,390.003,704View SEC Filing Icon  
See Full Table

SEC Filings (Institutional Ownership Changes) for Capital Southwest (NASDAQ:CSWC)

27.83% of Capital Southwest stock is owned by institutions. Institutional ownership can be a sign of analyst confidence in the fundamentals of the stock.

Institutional Buying and Selling by Quarter

This chart shows the instiutional buying and selling at CSWC by year and by quarter.

Skip Institutional Buying and Selling Chart and Table DataRead Chart Data in Institutional Trading History Table

Capital Southwest Institutional Trading History

Reporting DateHedge FundShares HeldMarket Value% of PortfolioQuarterly Change in SharesOwnership in CompanyDetails
11/22/2022B. Riley Wealth Advisors Inc.58,676$0.99M0.0%+13.4%0.199%Search for SEC Filing on Google Icon
11/21/2022Sunbelt Securities Inc.16,236$0.28M0.1%+47.8%0.055%Search for SEC Filing on Google Icon
11/16/2022Advisory Research Inc.35,946$0.61M0.1%+33.2%0.122%Search for SEC Filing on Google Icon
11/15/2022Alliancebernstein L.P.24,296$0.41M0.0%N/A0.082%Search for SEC Filing on Google Icon
11/15/2022Two Sigma Advisers LP230,700$3.91M0.0%-21.7%0.782%Search for SEC Filing on Google Icon
11/15/2022Two Sigma Investments LP169,947$2.88M0.0%-34.7%0.576%Search for SEC Filing on Google Icon
11/15/2022Trexquant Investment LP23,763$0.40M0.0%-17.0%0.080%Search for SEC Filing on Google Icon
11/15/2022Marshall Wace LLP255,583$4.33M0.0%-19.0%0.866%Search for SEC Filing on Google Icon
11/15/2022First Manhattan Co.424,116$7.18M0.0%-2.4%1.437%Search for SEC Filing on Google Icon
11/15/2022BlackRock Inc.205,292$3.48M0.0%+29.4%0.695%Search for SEC Filing on Google Icon
11/15/2022Commonwealth Equity Services LLC23,129$0.39M0.0%+17.2%0.078%Search for SEC Filing on Google Icon
11/14/2022Royal Bank of Canada86,267$1.46M0.0%+4.2%0.292%Search for SEC Filing on Google Icon
11/14/2022Virtus ETF Advisers LLC21,461$0.36M0.1%-4.2%0.073%Search for SEC Filing on Google Icon
11/14/2022Legacy Capital Wealth Partners LLC52,897$0.90M0.5%+4.1%0.179%Search for SEC Filing on Google Icon
11/14/2022Hennion & Walsh Asset Management Inc.137,645$2.33M0.2%+1.2%0.466%Search for SEC Filing on Google Icon
11/10/2022Envestnet Asset Management Inc.29,779$0.50M0.0%+21.7%0.101%Search for SEC Filing on Google Icon
11/10/2022UBS Group AG22,327$0.38M0.0%-34.3%0.076%Search for SEC Filing on Google Icon
11/8/2022Advisors Asset Management Inc.195,185$3.31M0.1%+4.4%0.661%Search for SEC Filing on Google Icon
11/8/2022Tectonic Advisors LLC106,722$1.81M0.3%+32.4%0.362%Search for SEC Filing on Google Icon
11/7/2022Zuckerman Investment Group LLC622,269$10.54M2.0%-4.0%2.108%Search for SEC Filing on Google Icon
11/1/2022Kestra Advisory Services LLC37,139$0.63M0.0%+10.4%0.135%Search for SEC Filing on Google Icon
11/1/2022Great West Life Assurance Co. Can31,450$0.53M0.0%+27.5%0.114%Search for SEC Filing on Google Icon
10/27/2022US Bancorp DE14,926$0.25M0.0%+7.9%0.054%Search for SEC Filing on Google Icon
10/27/2022Van ECK Associates Corp363,768$6.16M0.0%-1.1%1.321%Search for SEC Filing on Google Icon
10/26/2022Grace & White Inc. NY169,471$2.87M0.6%+30.9%0.616%Search for SEC Filing on Google Icon
10/25/2022Mraz Amerine & Associates Inc.21,548$0.37M0.1%N/A0.078%Search for SEC Filing on Google Icon
10/25/2022Raymond James & Associates35,955$0.61M0.0%-1.9%0.131%Search for SEC Filing on Google Icon
10/21/2022All Season Financial Advisors Inc.16,820$0.29M0.3%+4.7%0.061%Search for SEC Filing on Google Icon
10/18/2022Sound Income Strategies LLC400,649$6.79M1.0%+4.8%1.455%Search for SEC Filing on Google Icon
10/17/2022Cambridge Investment Research Advisors Inc.25,051$0.42M0.0%-9.7%0.091%Search for SEC Filing on Google Icon
10/14/2022Cornerstone Wealth Management LLC16,378$0.28M0.0%+10.1%0.059%Search for SEC Filing on Google Icon
10/7/2022Sanders Morris Harris LLC716,139$12.13M3.0%+0.1%2.601%Search for SEC Filing on Google Icon
10/4/2022Csenge Advisory Group23,556$0.40M0.0%+8.0%0.086%Search for SEC Filing on Google Icon
10/3/2022Confluence Investment Management LLC106,768$1.81M0.0%-1.3%0.388%Search for SEC Filing on Google Icon
8/22/2022Legal & General Group Plc140,274$2.58M0.0%+9.6%0.510%Search for SEC Filing on Google Icon
8/18/2022Goldman Sachs Group Inc.94,665$1.74M0.0%N/A0.344%Search for SEC Filing on Google Icon
8/17/2022Advisory Research Inc.26,985$0.50M0.0%+9.5%0.098%Search for SEC Filing on Google Icon
8/16/2022Jane Street Group LLC22,716$0.42M0.0%N/A0.083%Search for SEC Filing on Google Icon
8/15/2022Cubist Systematic Strategies LLC14,341$0.26M0.0%N/A0.052%Search for SEC Filing on Google Icon
8/15/2022Millennium Management LLC755,686$13.92M0.0%+420.5%2.745%Search for SEC Filing on Google Icon
8/13/2022Quantbot Technologies LP11,954$0.22M0.0%+147.0%0.043%Search for SEC Filing on Google Icon
8/13/2022Virtu Financial LLC13,653$0.25M0.0%N/A0.050%Search for SEC Filing on Google Icon
8/12/2022Virtus ETF Advisers LLC22,401$0.41M0.2%+11.3%0.081%Search for SEC Filing on Google Icon
8/12/2022LPL Financial LLC85,384$1.57M0.0%+58.8%0.310%Search for SEC Filing on Google Icon
8/12/2022Capital Analysts LLC2,615$48K0.0%N/A0.009%Search for SEC Filing on Google Icon
8/12/2022BNP Paribas Arbitrage SA11,500$0.21M0.0%+666.7%0.042%Search for SEC Filing on Google Icon
8/11/2022Cetera Investment Advisers14,812$0.27M0.0%+54.5%0.054%Search for SEC Filing on Google Icon
8/11/2022Trexquant Investment LP28,632$0.53M0.0%+173.9%0.104%Search for SEC Filing on Google Icon
8/11/2022Bard Associates Inc.17,385$0.32M0.1%-11.7%0.063%Search for SEC Filing on Google Icon
8/11/2022UBS Group AG33,994$0.63M0.0%-13.8%0.123%Search for SEC Filing on Google Icon
8/11/2022Bank of Montreal Can32,265$0.62M0.0%+72.5%0.117%Search for SEC Filing on Google Icon
8/11/2022Tectonic Advisors LLC80,577$1.48M0.3%+38.1%0.293%Search for SEC Filing on Google Icon
8/11/2022JPMorgan Chase & Co.19,100$0.35M0.0%N/A0.069%Search for SEC Filing on Google Icon
8/8/2022Advisors Asset Management Inc.187,034$3.45M0.1%-4.8%0.679%Search for SEC Filing on Google Icon
8/8/2022Banque Pictet & Cie SA20,000$0.37M0.0%N/A0.073%Search for SEC Filing on Google Icon
8/5/2022Mckinley Capital Management LLC Delaware121,777$2.24M0.3%+1.0%0.488%Search for SEC Filing on Google Icon
8/5/2022Pictet North America Advisors SA20,000$0.37M0.0%N/A0.073%Search for SEC Filing on Google Icon
8/4/2022Cornerstone Wealth Management LLC14,879$0.27M0.0%N/A0.060%Search for SEC Filing on Google Icon
8/3/2022Envestnet Asset Management Inc.24,463$0.45M0.0%+29.4%0.098%Search for SEC Filing on Google Icon
8/3/2022Van ECK Associates Corp367,869$6.78M0.0%-38.0%1.474%Search for SEC Filing on Google Icon
7/27/2022Csenge Advisory Group21,817$0.40M0.0%-10.9%0.087%Search for SEC Filing on Google Icon
7/27/2022SMH Capital Advisors Inc.24,102$0.32M0.5%N/A0.097%Search for SEC Filing on Google Icon
7/25/2022Washington Trust Advisors Inc.4,174$77K0.0%+23.9%0.017%Search for SEC Filing on Google Icon
7/22/2022Grace & White Inc. NY129,471$2.39M0.5%+7.4%0.519%Search for SEC Filing on Google Icon
7/19/2022Commonwealth Equity Services LLC19,733$0.36M0.0%+19.3%0.079%Search for SEC Filing on Google Icon
7/19/2022Hennion & Walsh Asset Management Inc.136,029$2.51M0.2%+12.6%0.545%Search for SEC Filing on Google Icon
7/13/2022Cambridge Investment Research Advisors Inc.27,729$0.51M0.0%+7.4%0.111%Search for SEC Filing on Google Icon
7/11/2022Sound Income Strategies LLC382,212$7.04M0.9%+2.2%1.531%Search for SEC Filing on Google Icon
7/11/2022Sanders Morris Harris LLC715,239$13.17M2.9%-3.0%2.866%Search for SEC Filing on Google Icon
7/6/2022Confluence Investment Management LLC108,185$1.99M0.0%+0.6%0.433%Search for SEC Filing on Google Icon
6/7/2022Bank of America Corp DE6,419$0.15M0.0%-86.4%0.026%Search for SEC Filing on Google Icon
5/18/2022BNP Paribas Arbitrage SA1,500$36K0.0%-57.1%0.006%Search for SEC Filing on Google Icon
5/17/2022Advisors Asset Management Inc.196,419$4.66M0.1%+5.7%0.821%Search for SEC Filing on Google Icon
5/17/2022Quantbot Technologies LP4,840$0.11M0.0%+4,740.0%0.020%Search for SEC Filing on Google Icon
5/17/2022Royal Bank of Canada70,186$1.67M0.0%+9.2%0.293%Search for SEC Filing on Google Icon
5/17/2022First Republic Investment Management Inc.45,990$1.09M0.0%N/A0.192%Search for SEC Filing on Google Icon
5/17/2022Guggenheim Capital LLC9,338$0.22M0.0%+12.1%0.039%Search for SEC Filing on Google Icon
5/16/2022Zuckerman Investment Group LLC602,115$14.29M2.3%-0.9%2.517%Search for SEC Filing on Google Icon
5/16/2022UBS Group AG39,453$0.94M0.0%+10.2%0.165%Search for SEC Filing on Google Icon
5/13/2022Cetera Investment Advisers9,589$0.23M0.0%N/A0.040%Search for SEC Filing on Google Icon
5/12/2022Great West Life Assurance Co. Can7,765$0.20M0.0%+10.3%0.032%Search for SEC Filing on Google Icon
5/12/2022BlackRock Inc.137,341$3.26M0.0%-14.5%0.574%Search for SEC Filing on Google Icon
5/12/2022Healthcare of Ontario Pension Plan Trust Fund132,900$3.15M0.0%N/A0.555%Search for SEC Filing on Google Icon
5/12/2022Bank of Montreal Can18,700$0.45M0.0%N/A0.078%Search for SEC Filing on Google Icon
5/12/2022PNC Financial Services Group Inc.20,583$0.49M0.0%+3.1%0.086%Search for SEC Filing on Google Icon
5/12/2022Cambridge Investment Research Advisors Inc.25,826$0.61M0.0%+3.1%0.108%Search for SEC Filing on Google Icon
5/11/2022Raymond James Financial Services Advisors Inc.10,736$0.26M0.0%-5.9%0.045%Search for SEC Filing on Google Icon
5/11/2022Raymond James & Associates35,257$0.84M0.0%+5.2%0.147%Search for SEC Filing on Google Icon
5/10/2022Van ECK Associates Corp592,968$14.07M0.0%+56.4%2.478%Search for SEC Filing on Google Icon
5/9/2022Csenge Advisory Group24,482$0.58M0.0%+31.7%0.102%Search for SEC Filing on Google Icon
5/9/2022Tectonic Advisors LLC58,365$1.39M0.2%+17.2%0.244%Search for SEC Filing on Google Icon
5/5/2022Washington Trust Advisors Inc.3,368$80K0.0%-40.7%0.014%Search for SEC Filing on Google Icon
5/4/2022Advisor Group Holdings Inc.22,558$0.48M0.0%-8.1%0.094%Search for SEC Filing on Google Icon
5/4/2022Commonwealth Equity Services LLC16,538$0.39M0.0%+15.1%0.069%Search for SEC Filing on Google Icon
5/4/2022Envestnet Asset Management Inc.18,904$0.45M0.0%+80.6%0.079%Search for SEC Filing on Google Icon
5/4/2022IFG Advisory LLC11,488$0.27M0.0%N/A0.048%Search for SEC Filing on Google Icon
4/29/2022Mckinley Capital Management LLC Delaware120,564$2.86M0.3%+21.9%0.504%Search for SEC Filing on Google Icon
4/29/2022All Season Financial Advisors Inc.15,902$0.38M0.3%-36.2%0.066%Search for SEC Filing on Google Icon
4/26/2022Good Life Advisors LLC12,847$0.31M0.0%N/A0.054%Search for SEC Filing on Google Icon
4/26/2022Kestra Advisory Services LLC31,733$0.75M0.0%-2.3%0.133%Search for SEC Filing on Google Icon
Data available starting January 2016

See Full Table
Capital Southwest logo
Capital Southwest Corporation is a business development company specializing in credit and private equity and venture capital investments in middle market companies, mezzanine, later stage, mature, late venture, emerging growth, buyouts, recapitalizations and growth capital investments. It does not invest in startups, publicly traded companies, real estate developments, project finance opportunities, oil and gas exploration businesses, troubled companies, turnarounds, and companies in which significant senior management is departing. In lower middle market, the firm typically invests in growth financing, bolt-on acquisitions, new platform acquisitions, refinancing, dividend recapitalizations, sponsor-led buyouts, and management buyouts situations. The investment structures are Unitranche debt, subordinated debt, senior debt, first and second lien debt, and preferred and common equity. The firm makes equity co-investments alongside debt investments, up to 20% of total check and only makes non-control investments. It prefers to invest in Industrial manufacturing and services, value-added distribution, healthcare products and services, business services, specialty chemicals, food and beverage, tech-enabled services and SaaS models. The firm seeks to invest in energy services and products, industrial technologies, and specialty chemicals and products. Within energy services and products, the firm seeks to invest in each segment of the industry, including upstream, midstream and downstream, excluding exploration and production with a focus on differentiated products and services, equipment and tool rental, consumable products, and drilling and completion chemicals. Within industrial technologies, it seeks to invest in automation and process controls, handling and packaging equipment, industrial filtration and fluid handling, measurement, monitoring and testing, professional tools, and sensors and instrumentation. Within and specialty chemicals and products, the firm seeks to invest in businesses that develop and manufacture highly differentiated chemicals and products including adhesives, coatings and sealants, catalysts and absorbents, cosmeceuticals, fine chemicals, flavors and fragrances, performance lubricants, polymers, plastics and composites, chemical dispensing and filtration equipment, professional and industrial trade consumables and tools, engineered solutions for HVAC, plumbing, and electrical installations, specified high performance materials for fire protection and oilfield applications. It may also invest in exceptional opportunities in building products. The firm seeks to invest in the United States. The firm seeks to make investments ranging from $5 to $25 million in securities. It seeks to make equity investments ranging from $5 million to $50 million and debt investments between $5 million and $20 million and co-invest in transaction size up to $40 million. It prefers to invest in companies with revenues approaching above $10 million, profitable operations, historical growth rate of at least 15 percent per year. Within the lower middle market, it seeks to invest in with less than $15 million in EBITDA and also opportunistically invests in the upper middle market, generally defined as companies with EBITDA in excess of $50 million. In addition to making direct investments, the firm allocates capital to syndicated first and second lien term loans in the upper middle market. Criteria for Upper Middle Market Syndicated 1st Lien is EBITDA Size more than $30 million, Closing Leverage greater than 4 times, investment hold size between $5 million and $7 million, investment yield greater than 6.5%. Criteria for Upper Middle Market Syndicated 2nd Lien is EBITDA Size more than $50 million, Closing Leverage greater than 6 times, investment hold size between $5 million and $7 million, investment yield greater than 9%. It prefers to take a majority and minority stake. The firm has the flexibility to hold investments for very long period in its portfolio companies. It may also invest through warrants. The firm prefers to take Board participation in its portfolio companies. Capital Southwest Corporation was founded on April 19, 1961 and is based in Dallas, Texas.
Read More on Capital Southwest

Today's Range

Now: $18.21
Low: $17.98
High: $18.29

50 Day Range

MA: $17.95
Low: $16.73
High: $19.60

52 Week Range

Now: $18.21
Low: $16.28
High: $27.46

Volume

281,200 shs

Average Volume

184,328 shs

Market Capitalization

$537.56 million

P/E Ratio

10.01

Dividend Yield

10.98%

Beta

1.13

Who are the company insiders with the largest holdings of Capital Southwest?

Capital Southwest's top insider investors include:
  1. David R Brooks (Director)
  2. William R Thomas III (Director)
  3. Christine Battist (Director)
  4. Thomas Duane Morgan (Director)
  5. Ramona Lynn Rogers-Windsor (Director)
  6. Michael Scott Sarner (CFO)
Learn More about top insider investors at Capital Southwest.

Who are the major institutional investors of Capital Southwest?

Capital Southwest's top institutional investors include:
  1. Sanders Morris Harris LLC — 2.60%
  2. Zuckerman Investment Group LLC — 2.11%
  3. First Manhattan Co. — 1.44%
  4. Sound Income Strategies LLC — 1.46%
  5. Van ECK Associates Corp — 1.32%
  6. Marshall Wace LLP — 0.87%
Learn More about top institutional investors of Capital Southwest stock.

Which major investors are selling Capital Southwest stock?

During the previous quarter, CSWC stock was sold by these institutional investors:
  1. Two Sigma Investments LP
  2. Two Sigma Advisers LP
  3. Marshall Wace LLP
  4. Zuckerman Investment Group LLC
  5. UBS Group AG
  6. First Manhattan Co.
  7. Trexquant Investment LP
  8. Van ECK Associates Corp

Which major investors are buying Capital Southwest stock?

In the previous quarter, CSWC stock was bought by institutional investors including:
  1. BlackRock Inc.
  2. Grace & White Inc. NY
  3. Tectonic Advisors LLC
  4. Alliancebernstein L.P.
  5. Mraz Amerine & Associates Inc.
  6. Sound Income Strategies LLC
  7. Advisory Research Inc.
  8. Advisors Asset Management Inc.
In the last year, these company insiders have bought Capital Southwest stock:
  1. David R Brooks (Director)
  2. William R Thomas III (Director)
  3. Christine Battist (Director)
  4. Thomas Duane Morgan (Director)
  5. Ramona Lynn Rogers-Windsor (Director)
  6. Michael Scott Sarner (CFO)
Learn More investors buying Capital Southwest stock.
🚨 [Strong Buy Alert] Is this laser stock in your portfolio?
There are very few opportunities like this in today's bear market...

But our analysts identified a tiny defense company landing billions of dollars in contracts every year.
Get the name of the company here >>>