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CSWC Insider Trading

Insider Ownership Percentage: 4.80%
Insider Buying (Last 12 Months): $19,529.90
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: $22.40
Price Change: Price Increase of +0.22 (0.99%)
As of 09/22/2023 11:51 AM 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
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Capital Southwest Insider Trading History

Transaction DateInsider NameTitleBuy/SellNumber of SharesAverage Share PriceTotal TransactionShares Held After TransactionDetails
2/6/2023Ramona Lynn Rogers-WindsorDirectorBuy500$19.69$9,845.007,907View SEC Filing Icon  
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  
See Full Table
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SEC Filings (Institutional Ownership Changes) for Capital Southwest (NASDAQ:CSWC)

20.58% 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
8/21/2023Osaic Holdings Inc.38,082$0.75M0.0%+60.9%0.095%Search for SEC Filing on Google Icon
8/16/2023CreativeOne Wealth LLC11,318$0.22M0.0%N/A0.028%Search for SEC Filing on Google Icon
8/16/2023Sunbelt Securities Inc.19,408$0.38M0.1%+10.1%0.049%Search for SEC Filing on Google Icon
8/15/2023Wells Fargo & Company MN44,454$0.88M0.0%+52.3%0.111%Search for SEC Filing on Google Icon
8/15/2023Raymond James Trust N.A.13,486$0.27M0.0%+12.3%0.034%Search for SEC Filing on Google Icon
8/15/2023Zuckerman Investment Group LLC644,279$12.71M1.8%-2.0%1.613%Search for SEC Filing on Google Icon
8/15/2023Quadrature Capital Ltd80,358$1.59M0.0%+202.0%0.201%Search for SEC Filing on Google Icon
8/15/2023Royal Bank of Canada90,650$1.79M0.0%+6.0%0.227%Search for SEC Filing on Google Icon
8/15/2023Stifel Financial Corp13,404$0.26M0.0%+29.9%0.034%Search for SEC Filing on Google Icon
8/14/2023Tower Research Capital LLC TRC 2,675$53K0.0%-38.8%0.007%Search for SEC Filing on Google Icon
8/11/2023BlackRock Inc.186,684$3.68M0.0%+5.3%0.467%Search for SEC Filing on Google Icon
8/11/2023Kestra Advisory Services LLC35,311$0.70M0.0%-5.4%0.088%Search for SEC Filing on Google Icon
8/10/2023Osaic Holdings Inc.38,681$0.75M0.0%+63.4%0.101%Search for SEC Filing on Google Icon
8/10/2023Great West Life Assurance Co. Can30,346$0.60M0.0%+4.9%0.080%Search for SEC Filing on Google Icon
8/10/2023Commonwealth Equity Services LLC44,788$0.88M0.0%+35.4%0.117%Search for SEC Filing on Google Icon
8/10/2023GraniteShares Advisors LLC81,912$1.62M1.5%-1.1%0.215%Search for SEC Filing on Google Icon
8/10/2023Cetera Investment Advisers37,721$0.74M0.0%+7.0%0.099%Search for SEC Filing on Google Icon
8/9/2023Mckinley Capital Management LLC126,231$2.49M0.3%+9.8%0.331%Search for SEC Filing on Google Icon
8/8/2023SMH Capital Advisors Inc.16,431$0.32M0.7%-4.6%0.043%Search for SEC Filing on Google Icon
8/4/2023Parallel Advisors LLC4,815$95K0.0%+98.0%0.013%Search for SEC Filing on Google Icon
8/4/2023Envestnet Asset Management Inc.36,928$0.73M0.0%-5.2%0.097%Search for SEC Filing on Google Icon
8/4/2023Apollon Wealth Management LLC18,979$0.37M0.0%N/A0.050%Search for SEC Filing on Google Icon
8/3/2023Atria Wealth Solutions Inc.17,108$0.34M0.0%+11.6%0.045%Search for SEC Filing on Google Icon
8/3/2023Van ECK Associates Corp592,140$11.68M0.0%+17.9%1.553%Search for SEC Filing on Google Icon
8/3/2023Oppenheimer & Co. Inc.17,105$0.34M0.0%N/A0.045%Search for SEC Filing on Google Icon
7/31/2023LPL Financial LLC118,290$2.33M0.0%+3.3%0.310%Search for SEC Filing on Google Icon
7/31/2023Sumitomo Mitsui Trust Holdings Inc.21,386$0.42M0.0%N/A0.056%Search for SEC Filing on Google Icon
7/27/2023B. Riley Wealth Advisors Inc.70,843$1.40M0.0%+10.9%0.186%Search for SEC Filing on Google Icon
7/25/2023Raymond James Financial Services Advisors Inc.61,742$1.22M0.0%N/A0.162%Search for SEC Filing on Google Icon
7/25/2023Raymond James & Associates92,976$1.83M0.0%-6.4%0.244%Search for SEC Filing on Google Icon
7/20/2023Redmont Wealth Advisors LLC45,473$0.90M1.5%N/A0.119%Search for SEC Filing on Google Icon
7/14/2023Cornerstone Wealth Management LLC29,059$0.57M0.1%+8.3%0.076%Search for SEC Filing on Google Icon
7/14/2023Tectonic Advisors LLC219,572$4.33M0.5%+13.1%0.576%Search for SEC Filing on Google Icon
7/13/2023Golden Green Inc.121,164$2.39M2.6%+23.1%0.318%Search for SEC Filing on Google Icon
7/13/2023Cambridge Investment Research Advisors Inc.27,078$0.53M0.0%+22.4%0.071%Search for SEC Filing on Google Icon
7/11/2023Good Life Advisors LLC12,275$0.24M0.0%-6.8%0.032%Search for SEC Filing on Google Icon
7/11/2023Sanders Morris Harris LLC700,099$13.81M3.1%-3.2%1.837%Search for SEC Filing on Google Icon
7/10/2023Sound Income Strategies LLC515,618$10.17M1.0%+4.5%1.353%Search for SEC Filing on Google Icon
7/3/2023Confluence Investment Management LLC96,256$1.90M0.0%+0.7%0.253%Search for SEC Filing on Google Icon
6/14/2023Atria Wealth Solutions Inc.15,324$0.27M0.0%N/A0.040%Search for SEC Filing on Google Icon
5/22/2023Putnam Investments LLC50,599$0.90M0.0%N/A0.146%Search for SEC Filing on Google Icon
5/22/2023Ameriprise Financial Inc.85,910$1.53M0.0%+3.0%0.249%Search for SEC Filing on Google Icon
5/18/2023JPMorgan Chase & Co.4,862$86K0.0%-54.2%0.014%Search for SEC Filing on Google Icon
5/17/2023B. Riley Wealth Advisors Inc.63,881$1.14M0.0%+3.8%0.185%Search for SEC Filing on Google Icon
5/17/2023Sunbelt Securities Inc.17,622$0.31M0.0%-5.1%0.051%Search for SEC Filing on Google Icon
5/16/2023SMH Capital Advisors Inc.17,217$0.31M1.9%-4.0%0.050%Search for SEC Filing on Google Icon
5/16/2023First Manhattan CO. LLC.401,307$7.14M0.0%-3.6%1.161%Search for SEC Filing on Google Icon
5/15/2023First Dallas Securities Inc.22,500$0.40M0.2%+36.4%0.065%Search for SEC Filing on Google Icon
5/15/2023Cornerstone Wealth Management LLC26,840$0.48M0.0%N/A0.078%Search for SEC Filing on Google Icon
5/15/2023Punch & Associates Investment Management Inc.851,447$15.14M1.0%+13.8%2.464%Search for SEC Filing on Google Icon
5/15/2023Two Sigma Advisers LP255,400$4.54M0.0%-35.6%0.739%Search for SEC Filing on Google Icon
5/15/2023Two Sigma Investments LP112,625$2M0.0%-62.3%0.326%Search for SEC Filing on Google Icon
5/15/2023Cetera Investment Advisers35,239$0.63M0.0%+64.6%0.102%Search for SEC Filing on Google Icon
5/12/2023Stifel Financial Corp10,316$0.18M0.0%N/A0.030%Search for SEC Filing on Google Icon
5/12/2023Great West Life Assurance Co. Can28,941$0.52M0.0%-10.0%0.084%Search for SEC Filing on Google Icon
5/12/2023Advisors Asset Management Inc.192,365$3.42M0.1%+5.6%0.557%Search for SEC Filing on Google Icon
5/12/2023BlackRock Inc.177,232$3.15M0.0%-15.2%0.513%Search for SEC Filing on Google Icon
5/12/2023Bank of America Corp DE19,352$0.34M0.0%+215.0%0.056%Search for SEC Filing on Google Icon
5/12/2023Zuckerman Investment Group LLC657,576$11.69M1.8%+4.0%1.903%Search for SEC Filing on Google Icon
5/12/2023UBS Group AG36,144$0.64M0.0%+23.4%0.105%Search for SEC Filing on Google Icon
5/11/2023Cambridge Investment Research Advisors Inc.22,127$0.39M0.0%-3.7%0.064%Search for SEC Filing on Google Icon
5/11/2023Envestnet Asset Management Inc.38,936$0.69M0.0%+25.9%0.113%Search for SEC Filing on Google Icon
5/11/2023Golden Green Inc.98,413$1.75M2.1%N/A0.285%Search for SEC Filing on Google Icon
5/11/2023Commonwealth Equity Services LLC33,074$0.59M0.0%+8.2%0.096%Search for SEC Filing on Google Icon
5/10/2023Legacy Capital Wealth Partners LLC67,130$1.19M0.3%+7.6%0.194%Search for SEC Filing on Google Icon
5/10/2023LPL Financial LLC114,510$2.04M0.0%+9.9%0.331%Search for SEC Filing on Google Icon
5/9/2023Tower Research Capital LLC TRC 4,372$78K0.0%N/A0.013%Search for SEC Filing on Google Icon
5/4/2023Emerald Mutual Fund Advisers Trust40,470$0.72M0.0%N/A0.117%Search for SEC Filing on Google Icon
5/3/2023Raymond James Trust N.A.12,007$0.21M0.0%N/A0.035%Search for SEC Filing on Google Icon
5/3/2023Van ECK Associates Corp502,208$8.93M0.0%+14.3%1.453%Search for SEC Filing on Google Icon
4/26/2023Tectonic Advisors LLC194,120$3.45M0.5%+29.7%0.562%Search for SEC Filing on Google Icon
4/24/2023GraniteShares Advisors LLC82,783$1.47M1.3%+132.0%0.240%Search for SEC Filing on Google Icon
4/20/2023Hennion & Walsh Asset Management Inc.154,657$2.75M0.2%+11.1%0.448%Search for SEC Filing on Google Icon
4/20/2023Mraz Amerine & Associates Inc.51,069$0.91M0.2%+16.3%0.148%Search for SEC Filing on Google Icon
4/17/2023All Season Financial Advisors Inc.27,888$0.50M0.4%+61.1%0.081%Search for SEC Filing on Google Icon
4/14/2023Raymond James & Associates99,378$1.77M0.0%-41.8%0.288%Search for SEC Filing on Google Icon
4/10/2023Sound Income Strategies LLC493,526$8.78M1.0%+5.6%1.428%Search for SEC Filing on Google Icon
4/7/2023Sanders Morris Harris LLC723,089$12.86M4.5%+0.7%2.092%Search for SEC Filing on Google Icon
4/4/2023Confluence Investment Management LLC95,563$1.70M0.0%-15.1%0.277%Search for SEC Filing on Google Icon
3/15/2023B. Riley Wealth Advisors Inc.61,545$1.05M0.0%+4.9%0.178%Search for SEC Filing on Google Icon
2/21/2023B. Riley Wealth Advisors Inc.61,545$1.05M0.0%+4.9%0.178%Search for SEC Filing on Google Icon
2/15/2023CI Private Wealth LLC25,580$0.44M0.0%N/A0.074%Search for SEC Filing on Google Icon
2/15/2023Zuckerman Investment Group LLC632,520$10.82M1.7%+1.6%1.830%Search for SEC Filing on Google Icon
2/15/2023SMH Capital Advisors Inc.17,935$0.31M0.4%N/A0.052%Search for SEC Filing on Google Icon
2/15/2023Susquehanna Fundamental Investments LLC16,977$0.29M0.0%-38.0%0.049%Search for SEC Filing on Google Icon
2/15/2023Schonfeld Strategic Advisors LLC27,400$0.47M0.0%+128.3%0.079%Search for SEC Filing on Google Icon
2/15/2023Legal & General Group Plc181,800$3.11M0.0%+11.6%0.526%Search for SEC Filing on Google Icon
2/15/2023Millennium Management LLC875,326$14.97M0.0%+23.3%2.533%Search for SEC Filing on Google Icon
2/15/2023Morgan Stanley48,817$0.84M0.0%+105.6%0.141%Search for SEC Filing on Google Icon
2/15/2023First Manhattan Co.416,340$7.12M0.0%-1.8%1.205%Search for SEC Filing on Google Icon
2/14/2023Cetera Investment Advisers21,403$0.37M0.0%+8.3%0.062%Search for SEC Filing on Google Icon
2/14/2023Marshall Wace LLP191,577$3.28M0.0%-25.0%0.554%Search for SEC Filing on Google Icon
2/14/2023Two Sigma Investments LP298,617$5.11M0.0%+75.7%0.864%Search for SEC Filing on Google Icon
2/13/2023Advisors Asset Management Inc.182,163$3.12M0.1%-6.7%0.527%Search for SEC Filing on Google Icon
2/13/2023Core Wealth Partners LLC11,520$0.20M0.2%N/A0.033%Search for SEC Filing on Google Icon
2/13/2023Wells Fargo & Company MN4,936$84K0.0%-12.2%0.014%Search for SEC Filing on Google Icon
2/13/2023GSA Capital Partners LLP32,777$0.56M0.1%N/A0.095%Search for SEC Filing on Google Icon
2/13/2023Advisory Research Inc.36,466$0.62M0.1%+1.4%0.106%Search for SEC Filing on Google Icon
2/13/2023JPMorgan Chase & Co.10,624$0.18M0.0%-50.3%0.031%Search for SEC Filing on Google Icon
2/10/2023Good Life Advisors LLC12,903$0.22M0.0%+4.4%0.037%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: $22.40
Low: $22.20
High: $22.41

50 Day Range

MA: $21.77
Low: $20.79
High: $22.70

52 Week Range

Now: $22.40
Low: $16.28
High: $22.92

Volume

71,112 shs

Average Volume

312,349 shs

Market Capitalization

$894.88 million

P/E Ratio

13.66

Dividend Yield

9.91%

Beta

1.2

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

Capital Southwest's top insider investors include:
  1. Ramona Lynn Rogers-Windsor (Director)
  2. Christine Battist (Director)
  3. 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 — 1.84%
  2. Zuckerman Investment Group LLC — 1.61%
  3. Van ECK Associates Corp — 1.55%
  4. Sound Income Strategies LLC — 1.35%
  5. Tectonic Advisors LLC — 0.58%
  6. BlackRock Inc. — 0.47%
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. Citadel Advisors LLC
  2. Sanders Morris Harris LLC
  3. Simplex Trading LLC
  4. Zuckerman Investment Group LLC
  5. Raymond James & Associates
  6. Kestra Advisory Services LLC
  7. Envestnet Asset Management Inc.
  8. Tower Research Capital LLC TRC

Which major investors are buying Capital Southwest stock?

In the previous quarter, CSWC stock was bought by institutional investors including:
  1. Van ECK Associates Corp
  2. Raymond James Financial Services Advisors Inc.
  3. Quadrature Capital Ltd
  4. Redmont Wealth Advisors LLC
  5. Tectonic Advisors LLC
  6. PEAK6 Investments LLC
  7. Golden Green Inc.
  8. Sound Income Strategies LLC
In the last year, these company insiders have bought Capital Southwest stock:
  1. Ramona Lynn Rogers-Windsor (Director)
  2. Christine Battist (Director)
  3. Michael Scott Sarner (CFO)
Learn More investors buying Capital Southwest stock.
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