Last 12 months
Inside the activity.
7 purchase rows · 1 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 0 |
| Dec 2025 | 0 | 0 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 2 | 0 |
| Mar 2026 | 0 | 0 |
| Apr 2026 | 0 | 0 |
| May 2026 | 0 | 0 |
| Jun 2026 | 4 | 1 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 0 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 1 | 0 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| August 09, 2024 Filed Aug 13, 2024 20:11 UTC |
Thomas William R IIIDirector
|
GrantCommon Stock | 2,090 | $0.00 | $0.00 |
DisclosureSEC source: 0000017313-24-000073 · wk-form4_1723579815.xml · nonDerivative · entry 1 Thomas William R III · CIK 0001369011 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 16,151 F1 · kind: Shares issued under the Capital Southwest 2021 Non-Employee Director Restricted Stock Award Plan Read SEC document |
| June 28, 2024 Filed Jun 28, 2024 20:03 UTC |
Rogers-Windsor Ramona LynnDirector
|
PurchaseCommon Stock | 200 | $26.13 | $5,226.00 |
DisclosureSEC source: 0000017313-24-000047 · wk-form4_1719604994.xml · nonDerivative · entry 1 Rogers-Windsor Ramona Lynn · CIK 0001850860 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 12,798.2401 Read SEC document |
| June 21, 2024 Filed Jun 24, 2024 20:24 UTC |
BATTIST CHRISTINEDirector
|
PurchaseCommon Stock | 197 | $24.96 | $4,916.37 |
DisclosureSEC source: 0000017313-24-000045 · wk-form4_1719260642.xml · nonDerivative · entry 1 BATTIST CHRISTINE · CIK 0001563284 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 8,617 Read SEC document |
| June 10, 2024 Filed Jun 11, 2024 20:06 UTC |
DIEHL BOWEN SDirector · President and CEO
|
GrantCommon Stock | 95,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000017313-24-000043 · wk-form4_1718136380.xml · nonDerivative · entry 3 DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 303,943 F2 · kind: Shares issued under the Capital Southwest Corporation 2021 Employee Restricted Stock Award Plan. Read SEC document |
| June 10, 2024 Filed Jun 11, 2024 20:06 UTC |
DIEHL BOWEN SDirector · President and CEO
|
Tax withholdingCommon Stock | 17,282 | $26.13 | $451,578.66 |
DisclosureSEC source: 0000017313-24-000043 · wk-form4_1718136380.xml · nonDerivative · entry 2 DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 208,943 F1 · kind: Shares withheld for payment of tax liability upon vesting of restricted shares granted under the Capital Southwest Corporation 2010 Restricted Stock Award Plan and the Capital Southwest Corporation 2021 Employee Restricted Stock Award Plan. This withholding transaction was approved by the Compensation Committee of Capital Southwest's Board of Directors in accordance with Rule 16b-3(d)(1) of the Securities Exchange Act of 1934 (the "Act"), and as such, the sale is exempt from section 16(b) of the Act pursuant to Rule 16b-3(e) promulgated thereunder. Read SEC document |
| June 10, 2024 Filed Jun 11, 2024 20:04 UTC |
Sarner Michael ScottChief Financial Officer
|
GrantCommon Stock | 75,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000017313-24-000041 · wk-form4_1718136284.xml · nonDerivative · entry 3 Sarner Michael Scott · CIK 0001648742 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 409,426.704 F2 · kind: Shares issued under the Capital Southwest Corporation 2021 Employee Restricted Stock Award Plan. Read SEC document |
| June 10, 2024 Filed Jun 11, 2024 20:04 UTC |
Sarner Michael ScottChief Financial Officer
|
Tax withholdingCommon Stock | 13,607 | $26.13 | $355,550.91 |
DisclosureSEC source: 0000017313-24-000041 · wk-form4_1718136284.xml · nonDerivative · entry 2 Sarner Michael Scott · CIK 0001648742 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 334,426.704 F1 · kind: Shares withheld for payment of tax liability upon vesting of restricted shares granted under the Capital Southwest Corporation 2010 Restricted Stock Award Plan and the Capital Southwest Corporation 2021 Employee Restricted Stock Award Plan. This withholding transaction was approved by the Compensation Committee of Capital Southwest's Board of Directors in accordance with Rule 16b-3(d)(1) of the Securities Exchange Act of 1934 (the "Act"), and as such, the sale is exempt from section 16(b) of the Act pursuant to Rule 16b-3(e) promulgated thereunder. Read SEC document |
| June 10, 2024 Filed Jun 11, 2024 20:03 UTC |
Weinstein Joshua S.Senior Managing Director
|
GrantCommon Stock | 60,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000017313-24-000039 · wk-form4_1718136173.xml · nonDerivative · entry 3 Weinstein Joshua S. · CIK 0001858765 · Senior Managing Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 251,690 F2 · kind: Shares issued under the Capital Southwest Corporation 2021 Employee Restricted Stock Award Plan. Read SEC document |
| June 10, 2024 Filed Jun 11, 2024 20:03 UTC |
Weinstein Joshua S.Senior Managing Director
|
Tax withholdingCommon Stock | 10,117 | $26.13 | $264,357.21 |
DisclosureSEC source: 0000017313-24-000039 · wk-form4_1718136173.xml · nonDerivative · entry 2 Weinstein Joshua S. · CIK 0001858765 · Senior Managing Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 191,690 F1 · kind: Shares withheld for payment of tax liability upon vesting of restricted shares granted under the Capital Southwest Corporation 2010 Restricted Stock Award Plan and the Capital Southwest Corporation 2021 Employee Restricted Stock Award Plan. This withholding transaction was approved by the Compensation Committee of Capital Southwest's Board of Directors in accordance with Rule 16b-3(d)(1) of the Securities Exchange Act of 1934 (the "Act"), and as such, the sale is exempt from section 16(b) of the Act pursuant to Rule 16b-3(e) promulgated thereunder. Read SEC document |
| June 09, 2024 Filed Jun 11, 2024 20:06 UTC |
DIEHL BOWEN SDirector · President and CEO
|
Tax withholdingCommon Stock | 8,422 | $26.13 | $220,066.86 |
DisclosureSEC source: 0000017313-24-000043 · wk-form4_1718136380.xml · nonDerivative · entry 1 DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 226,225 F1 · kind: Shares withheld for payment of tax liability upon vesting of restricted shares granted under the Capital Southwest Corporation 2010 Restricted Stock Award Plan and the Capital Southwest Corporation 2021 Employee Restricted Stock Award Plan. This withholding transaction was approved by the Compensation Committee of Capital Southwest's Board of Directors in accordance with Rule 16b-3(d)(1) of the Securities Exchange Act of 1934 (the "Act"), and as such, the sale is exempt from section 16(b) of the Act pursuant to Rule 16b-3(e) promulgated thereunder. Read SEC document |
| June 09, 2024 Filed Jun 11, 2024 20:04 UTC |
Sarner Michael ScottChief Financial Officer
|
Tax withholdingCommon Stock | 4,723 | $26.13 | $123,411.99 |
DisclosureSEC source: 0000017313-24-000041 · wk-form4_1718136284.xml · nonDerivative · entry 1 Sarner Michael Scott · CIK 0001648742 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 348,033.704 F1 · kind: Shares withheld for payment of tax liability upon vesting of restricted shares granted under the Capital Southwest Corporation 2010 Restricted Stock Award Plan and the Capital Southwest Corporation 2021 Employee Restricted Stock Award Plan. This withholding transaction was approved by the Compensation Committee of Capital Southwest's Board of Directors in accordance with Rule 16b-3(d)(1) of the Securities Exchange Act of 1934 (the "Act"), and as such, the sale is exempt from section 16(b) of the Act pursuant to Rule 16b-3(e) promulgated thereunder. Read SEC document |
| June 09, 2024 Filed Jun 11, 2024 20:03 UTC |
Weinstein Joshua S.Senior Managing Director
|
Tax withholdingCommon Stock | 3,560 | $26.13 | $93,022.80 |
DisclosureSEC source: 0000017313-24-000039 · wk-form4_1718136173.xml · nonDerivative · entry 1 Weinstein Joshua S. · CIK 0001858765 · Senior Managing Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 201,807 F1 · kind: Shares withheld for payment of tax liability upon vesting of restricted shares granted under the Capital Southwest Corporation 2010 Restricted Stock Award Plan and the Capital Southwest Corporation 2021 Employee Restricted Stock Award Plan. This withholding transaction was approved by the Compensation Committee of Capital Southwest's Board of Directors in accordance with Rule 16b-3(d)(1) of the Securities Exchange Act of 1934 (the "Act"), and as such, the sale is exempt from section 16(b) of the Act pursuant to Rule 16b-3(e) promulgated thereunder. Read SEC document |
| June 03, 2024 Filed Jun 4, 2024 20:54 UTC |
Thomas William R IIIDirector
|
PurchaseCommon Stock | 9,400 | $25.87 | $243,139.46 |
DisclosureSEC source: 0000017313-24-000037 · wk-form4_1717534465.xml · nonDerivative · entry 2 Thomas William R III · CIK 0001369011 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 14,061 F1 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $25.8462 to $25.90, inclusive. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| June 03, 2024 Filed Jun 4, 2024 20:54 UTC |
Thomas William R IIIDirector
|
GiftCommon Stock | 8,217 | $0.00 | $0.00 |
DisclosureSEC source: 0000017313-24-000037 · wk-form4_1717534465.xml · nonDerivative · entry 1 Thomas William R III · CIK 0001369011 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 4,661 Read SEC document |
| May 29, 2024 Filed May 30, 2024 20:33 UTC |
BATTIST CHRISTINEDirector
|
PurchaseCommon Stock | 192 | $25.25 | $4,848.00 |
DisclosureSEC source: 0000017313-24-000029 · wk-form4_1717101213.xml · nonDerivative · entry 1 BATTIST CHRISTINE · CIK 0001563284 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 8,420 Read SEC document |
| May 23, 2024 Filed May 23, 2024 20:16 UTC |
Rogers-Windsor Ramona LynnDirector
|
PurchaseCommon Stock | 500 | $25.65 | $12,825.00 |
DisclosureSEC source: 0000017313-24-000026 · wk-form4_1716495372.xml · nonDerivative · entry 1 Rogers-Windsor Ramona Lynn · CIK 0001850860 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 12,598.2401 Read SEC document |
| December 21, 2023 Filed Dec 21, 2023 21:03 UTC |
Rogers-Windsor Ramona LynnDirector
|
PurchaseCommon Stock | 500 | $23.29 | $11,645.00 |
DisclosureSEC source: 0000017313-23-000147 · wk-form4_1703192608.xml · nonDerivative · entry 1 Rogers-Windsor Ramona Lynn · CIK 0001850860 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 11,663.9609 Read SEC document |
| November 15, 2023 Filed Nov 16, 2023 21:10 UTC |
DIEHL BOWEN SDirector · President and CEO
|
Tax withholdingCommon Stock | 2,213 | $22.17 | $49,062.21 |
DisclosureSEC source: 0000017313-23-000139 · wk-form4_1700168993.xml · nonDerivative · entry 1 DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 234,639 F1 · kind: Shares withheld for payment of tax liability upon vesting of restricted shares granted under the Capital Southwest Corporation 2010 Restricted Stock Award Plan. This withholding transaction was approved by the Compensation Committee of Capital Southwest's Board of Directors in accordance with Rule 16b-3(d)(1) of the Securities Exchange Act of 1934 (the "Act"), and as such, the sale is exempt from section 16(b) of the Act pursuant to Rule 16b-3(e) promulgated thereunder. Read SEC document |
| November 15, 2023 Filed Nov 16, 2023 21:08 UTC |
Sarner Michael ScottChief Financial Officer
|
Tax withholdingCommon Stock | 1,869 | $22.17 | $41,435.73 |
DisclosureSEC source: 0000017313-23-000137 · wk-form4_1700168915.xml · nonDerivative · entry 1 Sarner Michael Scott · CIK 0001648742 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 352,756.704 F1 · kind: Shares withheld for payment of tax liability upon vesting of restricted shares granted under the Capital Southwest Corporation 2010 Restricted Stock Award Plan. This withholding transaction was approved by the Compensation Committee of Capital Southwest's Board of Directors in accordance with Rule 16b-3(d)(1) of the Securities Exchange Act of 1934 (the "Act"), and as such, the sale is exempt from section 16(b) of the Act pursuant to Rule 16b-3(e) promulgated thereunder. Read SEC document |
| November 15, 2023 Filed Nov 16, 2023 21:07 UTC |
Weinstein Joshua S.Senior Managing Director
|
Tax withholdingCommon Stock | 1,131 | $22.17 | $25,074.27 |
DisclosureSEC source: 0000017313-23-000135 · wk-form4_1700168821.xml · nonDerivative · entry 1 Weinstein Joshua S. · CIK 0001858765 · Senior Managing Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 216,167 F1 · kind: Shares withheld for payment of tax liability upon vesting of restricted shares granted under the Capital Southwest Corporation 2010 Restricted Stock Award Plan. This withholding transaction was approved by the Compensation Committee of Capital Southwest's Board of Directors in accordance with Rule 16b-3(d)(1) of the Securities Exchange Act of 1934 (the "Act"), and as such, the sale is exempt from section 16(b) of the Act pursuant to Rule 16b-3(e) promulgated thereunder. Read SEC document |
| November 02, 2023 Filed Nov 2, 2023 20:37 UTC |
Rogers-Windsor Ramona LynnDirector
|
PurchaseCommon Stock | 500 | $21.67 | $10,835.00 |
DisclosureSEC source: 0000017313-23-000128 · wk-form4_1698957433.xml · nonDerivative · entry 1 Rogers-Windsor Ramona Lynn · CIK 0001850860 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 11,163.9609 Read SEC document |
| August 10, 2023 Filed Aug 11, 2023 21:06 UTC |
Brooks David RDirector
|
GrantCommon Stock | 2,240 | $0.00 | $0.00 |
DisclosureSEC source: 0000017313-23-000091 · wf-form4_169178797393369.xml · nonDerivative · entry 1 Brooks David R · CIK 0001573461 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 36,661 F1 · kind: Shares issued under the Capital Southwest 2021 Non-Employee Director Restricted Stock Award Plan Read SEC document |
| August 10, 2023 Filed Aug 11, 2023 20:57 UTC |
BATTIST CHRISTINEDirector
|
GrantCommon Stock | 2,240 | $0.00 | $0.00 |
DisclosureSEC source: 0000017313-23-000084 · wf-form4_169178742251204.xml · nonDerivative · entry 1 BATTIST CHRISTINE · CIK 0001563284 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By Trust Disclosed balance after: 5,171 F1 · kind: Shares issued under the Capital Southwest 2021 Non-Employee Director Restricted Stock Award Plan F2 · ownership.nature: Shares held by Trust Agreement of Christine Sue Battist dated August 13, 2007. Read SEC document |
| August 10, 2023 Filed Aug 11, 2023 20:58 UTC |
Thomas William R IIIDirector
|
GrantCommon Stock | 2,240 | $0.00 | $0.00 |
DisclosureSEC source: 0000017313-23-000086 · wf-form4_169178751946300.xml · nonDerivative · entry 1 Thomas William R III · CIK 0001369011 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 12,878 F1 · kind: Shares issued under the Capital Southwest 2021 Non-Employee Director Restricted Stock Award Plan Read SEC document |
| August 10, 2023 Filed Aug 14, 2023 20:10 UTC |
FURST JACK DDirector
|
GrantCommon Stock | 2,240 | $0.00 | $0.00 |
DisclosureSEC source: 0000017313-23-000099 · wf-form4_169204378749517.xml · nonDerivative · entry 1 FURST JACK D · CIK 0001062103 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 43,665 F1 · kind: Shares issued under the Capital Southwest 2021 Non-Employee Director Restricted Stock Award Plan Read SEC document |
| August 10, 2023 Filed Aug 14, 2023 20:07 UTC |
Rogers-Windsor Ramona LynnDirector
|
GrantCommon Stock | 2,240 | $0.00 | $0.00 |
DisclosureSEC source: 0000017313-23-000097 · wf-form4_169204363452715.xml · nonDerivative · entry 1 Rogers-Windsor Ramona Lynn · CIK 0001850860 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 10,462.131 F1 · kind: Shares issued under the Capital Southwest 2021 Non-Employee Director Restricted Stock Award Plan Read SEC document |
| June 10, 2023 Filed Jun 13, 2023 22:45 UTC |
DIEHL BOWEN SDirector · President and CEO
|
Tax withholdingCommon Stock | 17,282 | $19.86 | $343,220.52 |
DisclosureSEC source: 0000017313-23-000061 · wf-form4_168669630130983.xml · nonDerivative · entry 2 DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 236,852 F2 · kind: Shares withheld for payment of tax liability upon vesting of restricted shares granted under the Capital Southwest Corporation 2010 Restricted Stock Award Plan and the Capital Southwest Corporation 2021 Employee Restricted Stock Award Plan. This withholding transaction was approved by the Compensation Committee of Capital Southwest's Board of Directors in accordance with Rule 16b-3(d)(1) of the Securities Exchange Act of 1934 (the "Act"), and as such, the sale is exempt from section 16(b) of the Act pursuant to Rule 16b-3(e) promulgated thereunder. Read SEC document |
| June 10, 2023 Filed Jun 13, 2023 22:43 UTC |
Sarner Michael ScottChief Financial Officer
|
Tax withholdingCommon Stock | 12,527 | $19.86 | $248,786.22 |
DisclosureSEC source: 0000017313-23-000060 · wf-form4_168669622205554.xml · nonDerivative · entry 2 Sarner Michael Scott · CIK 0001648742 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 354,625.704 F2 · kind: Shares withheld for payment of tax liability upon vesting of restricted shares granted under the Capital Southwest Corporation 2010 Restricted Stock Award Plan and the Capital Southwest Corporation 2021 Employee Restricted Stock Award Plan. This withholding transaction was approved by the Compensation Committee of Capital Southwest's Board of Directors in accordance with Rule 16b-3(d)(1) of the Securities Exchange Act of 1934 (the "Act"), and as such, the sale is exempt from section 16(b) of the Act pursuant to Rule 16b-3(e) promulgated thereunder. Read SEC document |
| June 10, 2023 Filed Jun 13, 2023 22:43 UTC |
Weinstein Joshua S.Senior Managing Director
|
Tax withholdingCommon Stock | 8,084 | $19.86 | $160,548.24 |
DisclosureSEC source: 0000017313-23-000059 · wf-form4_168669618880479.xml · nonDerivative · entry 2 Weinstein Joshua S. · CIK 0001858765 · Senior Managing Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 217,298 F2 · kind: Shares withheld for payment of tax liability upon vesting of restricted shares granted under the Capital Southwest Corporation 2010 Restricted Stock Award Plan and the Capital Southwest Corporation 2021 Employee Restricted Stock Award Plan. This withholding transaction was approved by the Compensation Committee of Capital Southwest's Board of Directors in accordance with Rule 16b-3(d)(1) of the Securities Exchange Act of 1934 (the "Act"), and as such, the sale is exempt from section 16(b) of the Act pursuant to Rule 16b-3(e) promulgated thereunder. Read SEC document |
| June 09, 2023 Filed Jun 13, 2023 22:45 UTC |
DIEHL BOWEN SDirector · President and CEO
|
GrantCommon Stock | 85,612 | $0.00 | $0.00 |
DisclosureSEC source: 0000017313-23-000061 · wf-form4_168669630130983.xml · nonDerivative · entry 1 DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 254,134 F1 · kind: Shares issued under the Capital Southwest Corporation 2021 Employee Restricted Stock Award Plan. Read SEC document |
| June 09, 2023 Filed Jun 13, 2023 22:43 UTC |
Sarner Michael ScottChief Financial Officer
|
GrantCommon Stock | 59,928 | $0.00 | $0.00 |
DisclosureSEC source: 0000017313-23-000060 · wf-form4_168669622205554.xml · nonDerivative · entry 1 Sarner Michael Scott · CIK 0001648742 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 367,152.704 F1 · kind: Shares issued under the Capital Southwest Corporation 2021 Employee Restricted Stock Award Plan. Read SEC document |
| June 09, 2023 Filed Jun 13, 2023 22:43 UTC |
Weinstein Joshua S.Senior Managing Director
|
GrantCommon Stock | 51,367 | $0.00 | $0.00 |
DisclosureSEC source: 0000017313-23-000059 · wf-form4_168669618880479.xml · nonDerivative · entry 1 Weinstein Joshua S. · CIK 0001858765 · Senior Managing Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 225,382 F1 · kind: Shares issued under the Capital Southwest Corporation 2021 Employee Restricted Stock Award Plan. Read SEC document |
| February 06, 2023 Filed Feb 6, 2023 21:11 UTC |
Rogers-Windsor Ramona LynnDirector
|
PurchaseCommon Stock | 500 | $19.69 | $9,842.60 |
DisclosureSEC source: 0000017313-23-000011 · wf-form4_167571788868976.xml · nonDerivative · entry 1 Rogers-Windsor Ramona Lynn · CIK 0001850860 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,907.0289 F1 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $19.65 to $19.70, inclusive. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| November 15, 2022 Filed Nov 16, 2022 21:12 UTC |
DIEHL BOWEN SDirector · President and CEO
|
Tax withholdingCommon Stock | 7,230 | $19.09 | $138,020.70 |
DisclosureSEC source: 0000017313-22-000122 · wf-form4_166863313659969.xml · nonDerivative · entry 1 DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 168,520 F1 · kind: Shares withheld for payment of tax liability upon vesting of restricted shares granted under the Capital Southwest Corporation 2010 Restricted Stock Award Plan. This withholding transaction was approved by the Compensation Committee of Capital Southwest's Board of Directors in accordance with Rule 16b-3(d)(1) of the Securities Exchange Act of 1934 (the "Act"), and as such, the sale is exempt from section 16(b) of the Act pursuant to Rule 16b-3(e) promulgated thereunder. Read SEC document |
| November 15, 2022 Filed Nov 16, 2022 21:11 UTC |
Weinstein Joshua S.Senior Managing Director
|
Tax withholdingCommon Stock | 3,688 | $19.09 | $70,403.92 |
DisclosureSEC source: 0000017313-22-000121 · wf-form4_166863308298556.xml · nonDerivative · entry 1 Weinstein Joshua S. · CIK 0001858765 · Senior Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 174,015 F1 · kind: Shares withheld for payment of tax liability upon vesting of restricted shares granted under the Capital Southwest Corporation 2010 Restricted Stock Award Plan. This withholding transaction was approved by the Compensation Committee of Capital Southwest's Board of Directors in accordance with Rule 16b-3(d)(1) of the Securities Exchange Act of 1934 (the "Act"), and as such, the sale is exempt from section 16(b) of the Act pursuant to Rule 16b-3(e) promulgated thereunder. Read SEC document |
| November 15, 2022 Filed Nov 16, 2022 21:09 UTC |
Sarner Michael ScottChief Financial Officer
|
Tax withholdingCommon Stock | 6,138 | $19.09 | $117,174.42 |
DisclosureSEC source: 0000017313-22-000120 · wf-form4_166863294982215.xml · nonDerivative · entry 1 Sarner Michael Scott · CIK 0001648742 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 307,224.704 F1 · kind: Shares withheld for payment of tax liability upon vesting of restricted shares granted under the Capital Southwest Corporation 2010 Restricted Stock Award Plan. This withholding transaction was approved by the Compensation Committee of Capital Southwest's Board of Directors in accordance with Rule 16b-3(d)(1) of the Securities Exchange Act of 1934 (the "Act"), and as such, the sale is exempt from section 16(b) of the Act pursuant to Rule 16b-3(e) promulgated thereunder. Read SEC document |
| November 04, 2022 Filed Nov 4, 2022 20:05 UTC |
Rogers-Windsor Ramona LynnDirector
|
PurchaseCommon Stock | 500 | $18.97 | $9,485.00 |
DisclosureSEC source: 0000017313-22-000102 · wf-form4_166759229432402.xml · nonDerivative · entry 1 Rogers-Windsor Ramona Lynn · CIK 0001850860 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,262.0842 Read SEC document |
| November 03, 2022 Filed Nov 3, 2022 21:23 UTC |
BATTIST CHRISTINEDirector
|
PurchaseCommon Stock | 510 | $18.99 | $9,684.85 |
DisclosureSEC source: 0000017313-22-000100 · wf-form4_166751060553048.xml · nonDerivative · entry 1 BATTIST CHRISTINE · CIK 0001563284 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 2,931 F1 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $18.965 to $19.01, inclusive. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected. F2 · ownership.nature: Shares held by Trust Agreement of Christine Sue Battist dated August 13, 2007. Read SEC document |
| August 10, 2022 Filed Aug 12, 2022 20:13 UTC |
Brooks David RDirector
|
GrantCommon Stock | 2,421 | $0.00 | $0.00 |
DisclosureSEC source: 0000017313-22-000082 · wf-form4_166033516451838.xml · nonDerivative · entry 1 Brooks David R · CIK 0001573461 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,421 F1 · kind: Shares issued under the Capital Southwest 2021 Non-Employee Director Restricted Stock Award Plan. Read SEC document |
| August 10, 2022 Filed Aug 12, 2022 20:14 UTC |
FURST JACK DDirector
|
GrantCommon Stock | 2,421 | $0.00 | $0.00 |
DisclosureSEC source: 0000017313-22-000083 · wf-form4_166033522726999.xml · nonDerivative · entry 1 FURST JACK D · CIK 0001062103 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,425 F1 · kind: Shares issued under the Capital Southwest 2021 Non-Employee Director Restricted Stock Award Plan. Read SEC document |
| August 10, 2022 Filed Aug 12, 2022 20:12 UTC |
BATTIST CHRISTINEDirector
|
GrantCommon Stock | 2,421 | $0.00 | $0.00 |
DisclosureSEC source: 0000017313-22-000081 · wf-form4_166033510985615.xml · nonDerivative · entry 1 BATTIST CHRISTINE · CIK 0001563284 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 2,421 F1 · kind: Shares issued under the Capital Southwest 2021 Non-Employee Director Restricted Stock Award Plan. F2 · ownership.nature: Shares held by Trust Agreement of Christine Sue Battist dated August 13, 2007. Read SEC document |
| August 10, 2022 Filed Aug 12, 2022 20:11 UTC |
Rogers-Windsor Ramona LynnDirector
|
GrantCommon Stock | 2,421 | $0.00 | $0.00 |
DisclosureSEC source: 0000017313-22-000080 · wf-form4_166033504339500.xml · nonDerivative · entry 1 Rogers-Windsor Ramona Lynn · CIK 0001850860 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,636.007 F1 · kind: Shares issued under the Capital Southwest 2021 Non-Employee Director Restricted Stock Award Plan. Read SEC document |
| August 10, 2022 Filed Aug 12, 2022 20:10 UTC |
Thomas William R IIIDirector
|
GrantCommon Stock | 2,421 | $0.00 | $0.00 |
DisclosureSEC source: 0000017313-22-000079 · wf-form4_166033498763438.xml · nonDerivative · entry 1 Thomas William R III · CIK 0001369011 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,638 F1 · kind: Shares issued under the Capital Southwest 2021 Non-Employee Director Restricted Stock Award Plan. Read SEC document |
| June 22, 2022 Filed Jun 22, 2022 21:44 UTC |
Rogers-Windsor Ramona LynnDirector
|
PurchaseCommon Stock | 850 | $18.57 | $15,784.42 |
DisclosureSEC source: 0000017313-22-000057 · wf-form4_165593423322093.xml · nonDerivative · entry 1 Rogers-Windsor Ramona Lynn · CIK 0001850860 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,129.6508 Read SEC document |
| June 10, 2022 Filed Jun 10, 2022 22:33 UTC |
DIEHL BOWEN SDirector · President and CEO
|
Tax withholdingCommon Stock | 11,046 | $21.62 | $238,814.52 |
DisclosureSEC source: 0000017313-22-000055 · wf-form4_165490039806467.xml · nonDerivative · entry 2 DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 190,258 F2 · kind: Shares withheld for payment of tax liability upon vesting of restricted shares granted under the Capital Southwest Corporation 2010 Restricted Stock Award Plan. This withholding transaction was approved by the Compensation Committee of Capital Southwest's Board of Directors in accordance with Rule 16b-3(d)(1) of the Securities Exchange Act of 1934 (the "Act"), and as such, the sale is exempt from section 16(b) of the Act pursuant to Rule 16b-3(e) promulgated thereunder. Read SEC document |
| June 10, 2022 Filed Jun 10, 2022 22:33 UTC |
DIEHL BOWEN SDirector · President and CEO
|
GrantCommon Stock | 63,397 | $0.00 | $0.00 |
DisclosureSEC source: 0000017313-22-000055 · wf-form4_165490039806467.xml · nonDerivative · entry 1 DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 201,304 F1 · kind: Shares issued under the Capital Southwest Corporation 2021 Employee Restricted Stock Award Plan. Read SEC document |
| June 10, 2022 Filed Jun 10, 2022 22:30 UTC |
Weinstein Joshua S.Senior Managing Director
|
Tax withholdingCommon Stock | 4,335 | $21.62 | $93,722.70 |
DisclosureSEC source: 0000017313-22-000051 · wf-form4_165490018722204.xml · nonDerivative · entry 2 Weinstein Joshua S. · CIK 0001858765 · Senior Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 177,703 F2 · kind: Shares withheld for payment of tax liability upon vesting of restricted shares granted under the Capital Southwest Corporation 2010 Restricted Stock Award Plan. This withholding transaction was approved by the Compensation Committee of Capital Southwest's Board of Directors in accordance with Rule 16b-3(d)(1) of the Securities Exchange Act of 1934 (the "Act"), and as such, the sale is exempt from section 16(b) of the Act pursuant to Rule 16b-3(e) promulgated thereunder. Read SEC document |
| June 10, 2022 Filed Jun 10, 2022 22:30 UTC |
Weinstein Joshua S.Senior Managing Director
|
GrantCommon Stock | 37,473 | $0.00 | $0.00 |
DisclosureSEC source: 0000017313-22-000051 · wf-form4_165490018722204.xml · nonDerivative · entry 1 Weinstein Joshua S. · CIK 0001858765 · Senior Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 182,038 F1 · kind: Shares issued under the Capital Southwest Corporation 2021 Employee Restricted Stock Award Plan. Read SEC document |
| June 10, 2022 Filed Jun 10, 2022 22:31 UTC |
Sarner Michael ScottChief Financial Officer
|
Tax withholdingCommon Stock | 7,945 | $21.62 | $171,770.90 |
DisclosureSEC source: 0000017313-22-000053 · wf-form4_165490028465996.xml · nonDerivative · entry 2 Sarner Michael Scott · CIK 0001648742 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 313,362.704 F2 · kind: Shares withheld for payment of tax liability upon vesting of restricted shares granted under the Capital Southwest Corporation 2010 Restricted Stock Award Plan. This withholding transaction was approved by the Compensation Committee of Capital Southwest's Board of Directors in accordance with Rule 16b-3(d)(1) of the Securities Exchange Act of 1934 (the "Act"), and as such, the sale is exempt from section 16(b) of the Act pursuant to Rule 16b-3(e) promulgated thereunder. Read SEC document |
| June 10, 2022 Filed Jun 10, 2022 22:31 UTC |
Sarner Michael ScottChief Financial Officer
|
GrantCommon Stock | 43,990 | $0.00 | $0.00 |
DisclosureSEC source: 0000017313-22-000053 · wf-form4_165490028465996.xml · nonDerivative · entry 1 Sarner Michael Scott · CIK 0001648742 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 321,307.704 F1 · kind: Shares issued under the Capital Southwest Corporation 2021 Employee Restricted Stock Award Plan. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.