Welcome to our dedicated page for Capital Southwest SEC filings (Ticker: CSWC), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
SEC filings for Capital Southwest Corporation (CSWC) can feel like wading through hundreds of pages of credit metrics, fair-value marks, and portfolio company details. If you鈥檙e trying to spot how a new unitranche loan shifts risk or when executives file Form 4s, it鈥檚 easy to miss critical data.
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This Form 4 reports that Capital Southwest Corp director David R. Brooks was issued 2,193 shares of common stock on 08/12/2025 under the Capital Southwest 2021 Non-Employee Director Restricted Stock Award Plan at a reported price of $0. The award is recorded as a non-derivative acquisition and, following the issuance, Mr. Brooks beneficially owns 40,944 shares, held directly.
The disclosure reflects director compensation delivered as restricted stock, which increases Mr. Brooks鈥� direct stake in the company and documents the grant for SEC transparency. The filing does not provide any change in total outstanding shares, percentage ownership, or other transactions beyond the restricted stock award.
Ramona L. Rogers-Windsor, a director of Capital Southwest Corporation (CSWC), was issued 2,193 shares of common stock on 08/12/2025 at a price of $0 under the Capital Southwest 2021 Non-Employee Director Restricted Stock Award Plan. The Form 4 lists the reporting person as a director and shows the grant increased her beneficial ownership to 20,828.1428 shares. The filing indicates the Form was filed by one reporting person and bears a signature date of 08/13/2025.
The report contains only a non-derivative equity grant; no options, dispositions, or cash purchases are recorded. The filing records a standard director compensation issuance rather than a market purchase.
Christine S. Battist, a director of Capital Southwest Corporation (CSWC), received a grant of restricted common stock under the company鈥檚 2021 Non-Employee Director Restricted Stock Award Plan. The Form 4 reports an acquisition of 2,193 shares on 08/12/2025 at a reported price of $0, reflecting a grant rather than a cash purchase. Following the reported transaction, the filing shows 11,948 shares owned directly and 7,281 held indirectly by a trust established by Christine Sue Battist (Trust Agreement dated August 13, 2007). No derivative securities are reported. The filing identifies Battist as a director and provides the issuer ticker CSWC.
William R. Thomas III, a director of Capital Southwest Corporation (CSWC), acquired restricted shares under a director award plan on 08/12/2025. The Form 4 reports the issuance of 2,193 common shares under the Capital Southwest 2021 Non-Employee Director Restricted Stock Award Plan at a reported price of $0, increasing the reporting person鈥檚 direct beneficial ownership to 18,344 shares.
The filing also discloses two indirect holdings of 6,000 shares each held by the reporting person鈥檚 son and a substantial indirect position of 571,939 shares owned by Thomas Heritage Partners, Ltd., for which Mr. Thomas, as president and sole manager of Thomas Heritage Company, L.L.C., has sole voting and dispositive power.
Capital Southwest Corporation registered 1,994,153 additional common shares for issuance under its Amended and Restated 2021 Employee Restricted Stock Award Plan. The total consists of a 1,850,000 increase to the plan reserve and 144,153 forfeited shares available for reissuance; the forfeited shares were previously registered and do not increase the plan maximum. The filing incorporates prior Form S-8 disclosures by reference.
Capital Southwest (NASDAQ:CSWC) filed a Form 4 disclosing that director Ramona L. Rogers-Windsor purchased 471 shares of common stock on June 23 2025 at $21.19 per share.
After the transaction, her direct beneficial ownership rose to 18,091.5147 shares. The filing lists the transaction code 鈥淧,鈥� indicating an open-market purchase, and shows no derivative activity or 10b5-1 plan references. No other changes in ownership were reported.
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