CSWCNasdaqFiscal year ends March 31
CAPITAL SOUTHWEST CORP
Financials through Q1 FY2027, quarter ended Jun 30, 2026Last filing: 10-Q on Aug 3, 2026
$22.52−0.56 (-2.43%)
Close on Oct 19, 2026
- Market cap
- $1.59B
- P/E (TTM)
- 12.8
- Dividend yield
- –
Ownership
Institutional holdings as of Jun 30, 2026, from 13F filings
Held by institutions
27.3%
17M of 64M shares
Institutional holders
190
35 new, 11 sold out
Net institutional buying
1M
In Q2 2026
Insider trades, 12 months
6 buys · 1 sales
Net bought $111.32K
Shares held by institutions
Top institutional holders
13F holdings as of Jun 30, 2026
| Holder | Shares | % of CSWC | Value | Change | % of portfolio |
|---|---|---|---|---|---|
| Van Eck Associates Corp | 1,526,667 | 2.40% | $36.29M | +399,106 | 0.02% |
| UBS Group AG | 1,218,244 | 1.91% | $28.96M | +364,113 | 0.00% |
| Two Sigma Investments, LP | 1,180,391 | 1.85% | $28.06M | −1,169,257 | 0.02% |
| Sound Income Strategies, LLC | 934,321 | 1.47% | $22.21M | +30,992 | 1.00% |
| Sanders Morris Harris LLC | 759,992 | 1.19% | $18.07M | −351,181 | 10.48% |
| Empowered Funds, LLC | 525,697 | 0.82% | $12.50M | −93,401 | 0.07% |
| Empirical Finance, LLC | 525,500 | 0.82% | $12.49M | −93,366 | 0.52% |
| Legal & General Group Plc | 499,715 | 0.78% | $11.89M | +56,577 | 0.00% |
| Cetera Investment Advisers | 490,926 | 0.77% | $11.67M | +38,228 | 0.01% |
| Muzinich & Co., Inc. | 435,909 | 0.68% | $10.36M | +9,666 | 3.54% |
| Envestnet Asset Management Inc | 417,574 | 0.66% | $9.93M | +14,648 | 0.00% |
| LPL Financial LLC | 402,585 | 0.63% | $9.57M | +170,872 | 0.00% |
| Franklin Resources Inc | 379,686 | 0.60% | $9.03M | +50,565 | 0.00% |
| Melia Wealth LLC | 377,760 | 0.59% | $8.98M | −137,718 | 5.17% |
| Columbus Macro, LLC | 374,871 | 0.59% | $8.91M | +17,090 | 0.87% |
| Tectonic Advisors LLC | 355,370 | 0.56% | $8.45M | New | 0.41% |
| BlackRock, Inc. | 300,377 | 0.47% | $7.14M | +23,887 | 0.00% |
| Epiq Partners, LLC | 294,003 | 0.46% | $6.99M | −18,323 | 2.96% |
| Sumitomo Mitsui Trust Holdings, Inc. | 291,778 | 0.46% | $6.94M | +7,000 | 0.00% |
| Raymond James Financial Inc | 269,532 | 0.42% | $6.41M | +4,873 | 0.00% |
Institutional buying and selling by quarter
Positions opened, added to, reduced and closed by 13F filers
| Quarter | Holders | Shares held | % of shares | New / added | Reduced / closed | Shares bought | Shares sold |
|---|---|---|---|---|---|---|---|
| Q2 2026 | 190 | 17M | 27.3% | 35 / 72 | 54 / 11 | 3M | 2M |
| Q1 2026 | 168 | 17M | 26.3% | 32 / 54 | 47 / 22 | 5M | 3M |
| Q4 2025 | 162 | 15M | 23.5% | 26 / 46 | 60 / 25 | 2M | 4M |
| Q3 2025 | 164 | 17M | 26.3% | 23 / 70 | 43 / 33 | 2M | 3M |
| Q2 2025 | 177 | 18M | 28.2% | 30 / 69 | 49 / 27 | 4M | 3M |
| Q1 2025 | 175 | 17M | 27.1% | 36 / 65 | 43 / 19 | 4M | 1M |
| Q4 2024 | 160 | 15M | 23.2% | 35 / 60 | 41 / 20 | 4M | 1M |
| Q3 2024 | 149 | 11M | 18.0% | 23 / 54 | 44 / 15 | 1M | 1M |
| Q2 2024 | 145 | 11M | 17.4% | 26 / 52 | 41 / 21 | 2M | 2M |
| Q1 2024 | 140 | 11M | 17.0% | 29 / 55 | 33 / 24 | 2M | 2M |
| Q4 2023 | 136 | 10M | 16.1% | 38 / 49 | 29 / 12 | 3M | 1M |
| Q3 2023 | 114 | 9M | 13.4% | 18 / 46 | 25 / 13 | 1M | 0M |
Top mutual fund and ETF holders
Latest monthly portfolio reports (Form N-PORT)
| Fund | Shares | % of CSWC | Value | % of fund | As of |
|---|---|---|---|---|---|
| VanEck BDC Income ETF | 1,256,729 | 1.97% | $29.87M | 1.83% | Jun 30, 2026 |
| Militia Long/Short Equity ETF | 554,984 | 0.87% | $12.89M | 3.51% | May 29, 2026 |
| Putnam BDC Income ETF | 383,554 | 0.60% | $9.05M | 3.20% | Jul 31, 2026 |
| GraniteShares HIPS U.S. High Income ETF | 126,444 | 0.20% | $3.01M | 2.73% | Jun 30, 2026 |
| FT Confluence BDC & Specialty Finance Income ETF | 67,014 | 0.11% | $1.56M | 4.54% | May 31, 2026 |
| Catalyst/SMH Total Return Income Fund | 49,000 | 0.08% | $1.16M | 5.58% | Jun 30, 2026 |
| Invesco Global Listed Private Equity ETF | 23,801 | 0.04% | $561.47K | 0.24% | Jul 31, 2026 |
| Virtus Private Credit Strategy ETF | 16,171 | 0.03% | $381.47K | 1.26% | Jul 31, 2026 |
| ProShares Global Listed Private Equity ETF | 11,321 | 0.02% | $262.87K | 2.36% | May 31, 2026 |
| Fidelity Nasdaq Composite Index Fund | 11,251 | 0.02% | $261.25K | 0.00% | May 31, 2026 |
| Small Cap Core Fund | 4,954 | 0.01% | $117.76K | 0.03% | Jun 30, 2026 |
| WHITEWOLF Publicly Listed Private Equity ETF | 197 | 0.00% | $4.65K | 0.07% | Jul 31, 2026 |
Officers, directors and major owners
People who filed Forms 3, 4 or 5 in the last two years
| Name | Role | Shares owned | % of shares | Latest filing |
|---|---|---|---|---|
| Michael Scott Sarner | President and CEO, Director | 587,684 | 0.92% | Jun 10, 2026 |
| Joshua S. Weinstein | Senior Managing Director & CIO | 382,135 | 0.60% | Jun 10, 2026 |
| Chris Rehberger | Chief Financial Officer | 215,971 | 0.34% | Jun 10, 2026 |
| William R. Thomas III | Director | 598,611 | 0.94% | Aug 12, 2026 |
| David R. Brooks | Director | 42,933 | 0.07% | Aug 11, 2026 |
| Jack D. Furst | Director | 88,937 | 0.14% | Aug 11, 2026 |
| Christine Battist | Director | 23,345 | 0.04% | Aug 11, 2026 |
| Ramona Lynn Rogers-Windsor | Director | 25,080 | 0.04% | Aug 11, 2026 |
Insider trades
Common stock transactions reported on Form 4, newest first
| Insider | Date | Transaction | Shares | Price | Value | Shares after |
|---|---|---|---|---|---|---|
| William R. Thomas III Director | Aug 10, 2026 | Award | +1,989 | – | – | 20,672 |
| David R. Brooks Director | Aug 10, 2026 | Award | +1,989 | – | – | 42,933 |
| Ramona Lynn Rogers-Windsor Director | Aug 10, 2026 | Award | +1,989 | – | – | 25,080 |
| Christine Battist Director | Aug 10, 2026 | Award | +1,989 | – | – | 16,064 |
| Jack D. Furst Director | Aug 10, 2026 | Award | +1,989 | – | – | 49,937 |
| Ramona Lynn Rogers-Windsor Director | Jun 30, 2026 | Buy | +210.96 | $23.70 | $5.00K | 23,091 |
| Christine Battist Director | Jun 17, 2026 | Buy | +860 | $23.23 | $19.98K | 14,075 |
| Michael Scott Sarner President and CEO, Director | Jun 10, 2026 | Tax withholding | −11,705 | $23.54 | $275.54K | 587,684 |
| Joshua S. Weinstein Senior Managing Director & CIO | Jun 10, 2026 | Tax withholding | −9,588 | $23.54 | $225.70K | 380,585 |
| Chris Rehberger Chief Financial Officer | Jun 10, 2026 | Tax withholding | −3,688 | $23.54 | $86.82K | 215,971 |
| Michael Scott Sarner President and CEO, Director | Jun 9, 2026 | Award | +140,000 | – | – | 599,389 |
| Michael Scott Sarner President and CEO, Director | Jun 9, 2026 | Tax withholding | −13,765 | $23.28 | $320.45K | 459,389 |
| Joshua S. Weinstein Senior Managing Director & CIO | Jun 9, 2026 | Award | +100,000 | – | – | 390,173 |
| Joshua S. Weinstein Senior Managing Director & CIO | Jun 9, 2026 | Tax withholding | −11,349 | $23.28 | $264.20K | 290,173 |
| Chris Rehberger Chief Financial Officer | Jun 9, 2026 | Award | +75,000 | – | – | 219,659 |
| Chris Rehberger Chief Financial Officer | Jun 9, 2026 | Tax withholding | −4,492 | $23.28 | $104.57K | 144,659 |
| William R. Thomas III Director | Jun 5, 2026 | Sale | −4,661 | $23.29 | $108.55K | 13,683 |
| William R. Thomas III Director | Jun 5, 2026 | Buy | +5,000 | $23.40 | $117.00K | 18,683 |
| Ramona Lynn Rogers-Windsor Director | Jun 1, 2026 | Buy | +213 | $23.42 | $4.99K | 22,880 |
| Michael Scott Sarner President and CEO, Director | Feb 27, 2026 | Buy | +2,694.64 | $21.90 | $59.01K | 473,154 |
| Christine Battist Director | Feb 9, 2026 | Buy | +600 | $23.16 | $13.90K | 13,215 |
| Ramona Lynn Rogers-Windsor Director | Oct 1, 2025 | Buy | +463 | $21.55 | $9.98K | 21,612 |
| Christine Battist Director | Aug 20, 2025 | Buy | +667 | $22.45 | $14.97K | 12,615 |
| Jack D. Furst Director | Aug 12, 2025 | Award | +2,193 | – | – | 47,948 |
| William R. Thomas III Director | Aug 12, 2025 | Award | +2,193 | – | – | 18,344 |
| Christine Battist Director | Aug 12, 2025 | Award | +2,193 | – | – | 11,948 |
| David R. Brooks Director | Aug 12, 2025 | Award | +2,193 | – | – | 40,944 |
| Ramona Lynn Rogers-Windsor Director | Aug 12, 2025 | Award | +2,193 | – | – | 20,828 |
| Ramona Lynn Rogers-Windsor Director | Jun 23, 2025 | Buy | +471 | $21.19 | $9.98K | 18,092 |
| Joshua S. Weinstein Senior Managing Director & CIO | Jun 10, 2025 | Tax withholding | −12,041 | $21.35 | $257.08K | 301,522 |
| Chris Rehberger Chief Financial Officer | Jun 10, 2025 | Tax withholding | −3,041 | $21.35 | $64.93K | 149,151 |
| Michael Scott Sarner President and CEO, Director | Jun 10, 2025 | Tax withholding | −15,319 | $21.35 | $327.06K | 470,460 |
| Joshua S. Weinstein Senior Managing Director & CIO | Jun 9, 2025 | Award | +65,000 | – | – | 313,563 |
| Joshua S. Weinstein Senior Managing Director & CIO | Jun 9, 2025 | Tax withholding | −3,127 | $21.06 | $65.85K | 248,563 |
| Chris Rehberger Chief Financial Officer | Jun 9, 2025 | Award | +45,000 | – | – | 152,192 |
| Chris Rehberger Chief Financial Officer | Jun 9, 2025 | Tax withholding | −1,126 | $21.06 | $23.71K | 107,192 |
| Michael Scott Sarner President and CEO, Director | Jun 9, 2025 | Award | +80,000 | – | – | 485,779 |
| Michael Scott Sarner President and CEO, Director | Jun 9, 2025 | Tax withholding | −3,648 | $21.06 | $76.83K | 405,779 |
| Christine Battist Director | May 27, 2025 | Buy | +476 | $20.87 | $9.93K | 9,755 |
| Ramona Lynn Rogers-Windsor Director | Mar 26, 2025 | Buy | +450 | $22.52 | $10.13K | 17,238 |
| Ramona Lynn Rogers-Windsor Director | Dec 12, 2024 | Buy | +250 | $22.67 | $5.67K | 16,407 |
| Christine Battist Director | Nov 8, 2024 | Buy | +256 | $23.13 | $5.92K | 9,279 |
| Ramona Lynn Rogers-Windsor Director | Nov 7, 2024 | Buy | +500 | $23.07 | $11.54K | 16,157 |
| Ramona Lynn Rogers-Windsor Director | Sep 16, 2024 | Buy | +250 | $25.03 | $6.26K | 15,363 |
| Ramona Lynn Rogers-Windsor Director | Aug 9, 2024 | Award | +2,090 | – | – | 15,113 |
| William R. Thomas III Director | Aug 9, 2024 | Award | +2,090 | – | – | 16,151 |
| Jack D. Furst Director | Aug 9, 2024 | Award | +2,090 | – | – | 45,755 |
| Christine Battist Director | Aug 9, 2024 | Award | +2,090 | – | – | 7,281 |
| David R. Brooks Director | Aug 9, 2024 | Award | +2,090 | – | – | 38,751 |
| Christine Battist Director | Aug 9, 2024 | Buy | +406 | $23.94 | $9.72K | 9,023 |
| Ramona Lynn Rogers-Windsor Director | Jun 28, 2024 | Buy | +200 | $26.13 | $5.23K | 12,798 |
| Christine Battist Director | Jun 21, 2024 | Buy | +197 | $24.96 | $4.92K | 8,617 |
| Michael Scott Sarner Chief Financial Officer | Jun 10, 2024 | Award | +75,000 | – | – | 409,427 |
| Michael Scott Sarner Chief Financial Officer | Jun 10, 2024 | Tax withholding | −13,607 | $26.13 | $355.55K | 334,427 |
| Joshua S. Weinstein Senior Managing Director | Jun 10, 2024 | Award | +60,000 | – | – | 251,690 |
| Joshua S. Weinstein Senior Managing Director | Jun 10, 2024 | Tax withholding | −10,117 | $26.13 | $264.36K | 191,690 |
| Bowen S. Diehl President and CEO, Director | Jun 10, 2024 | Award | +95,000 | – | – | 303,943 |
| Bowen S. Diehl President and CEO, Director | Jun 10, 2024 | Tax withholding | −17,282 | $26.13 | $451.58K | 208,943 |
| Michael Scott Sarner Chief Financial Officer | Jun 9, 2024 | Tax withholding | −4,723 | $26.13 | $123.41K | 348,034 |
| Joshua S. Weinstein Senior Managing Director | Jun 9, 2024 | Tax withholding | −3,560 | $26.13 | $93.02K | 201,807 |
Awards, option exercises, tax withholding and gifts are shown alongside open-market buys and sales. Each name links to the filing on SEC EDGAR.
Planned insider sales
Notices of proposed sale filed on Form 144 before shares are sold
| Seller | Filed | Shares | Market value | Planned sale | Acquired through |
|---|---|---|---|---|---|
| R. Thomas William Director | Jun 5, 2026 | 4,661 | $108.57K | Jun 5, 2026 | Restricted Stock Vesting Under a Registered Plan |