[Form 4] Capital Southwest Corp Insider Trading Activity
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.
William R. Thomas III, amministratore di Capital Southwest Corporation (CSWC), ha acquisito azioni con vincolo in base a un piano di premi per amministratori il 08/12/2025. Il Modulo 4 segnala l'emissione di 2,193 azioni ordinarie nell'ambito del Capital Southwest 2021 Non-Employee Director Restricted Stock Award Plan a un prezzo dichiarato di $0, aumentando la partecipazione diretta della persona segnalante a 18,344 azioni.
La comunicazione indica inoltre due partecipazioni indirette di 6,000 azioni ciascuna detenute dal figlio della persona segnalante e una importante posizione indiretta di 571,939 azioni posseduta da Thomas Heritage Partners, Ltd., per la quale il signor Thomas, in qualit脿 di presidente e unico manager di Thomas Heritage Company, L.L.C., detiene in via esclusiva il potere di voto e di disposizione.
William R. Thomas III, director de Capital Southwest Corporation (CSWC), adquiri贸 acciones restringidas bajo un plan de asignaci贸n para directores el 08/12/2025. El Formulario 4 informa la emisi贸n de 2,193 acciones comunes en el Capital Southwest 2021 Non-Employee Director Restricted Stock Award Plan a un precio declarado de $0, aumentando la participaci贸n directa de la persona informante a 18,344 acciones.
La presentaci贸n tambi茅n revela dos participaciones indirectas de 6,000 acciones cada una, mantenidas por el hijo de la persona informante y una posici贸n indirecta sustancial de 571,939 acciones propiedad de Thomas Heritage Partners, Ltd., sobre las cuales el se帽or Thomas, como presidente y 煤nico gerente de Thomas Heritage Company, L.L.C., tiene el poder exclusivo de voto y disposici贸n.
William R. Thomas III電� Capital Southwest Corporation(CSWC)鞚� 鞚挫偓搿滌劀 2025/08/12鞐� 鞚挫偓 氤挫儊 瓿勴殟鞐� 霐半澕 鞝滍暅欤茧ゼ 旆摑頄堨姷雼堧嫟. Form 4電� Capital Southwest 2021 Non-Employee Director Restricted Stock Award Plan鞐� 霐半澕 2,193欤检潣 氤错喌欤�臧� 氇呾嫓霅� 臧�瓴� $0搿� 氚滍枆霅橃棃鞙茧┌, 氤搓碃鞚胳潣 歆侅爲 鞁れ 氤挫湢臧� 18,344欤�搿� 歃濌皜頄堧嫟瓿� 氤搓碃頃橁碃 鞛堨姷雼堧嫟.
鞁犼碃靹滌棎電� 霕愴暅 氤搓碃鞚胳潣 鞎勲摛鞚� 氤挫湢頃� 臧侁皝 6,000欤检敥鞚� 霊� 瓯挫潣 臧勳爲 氤挫湢 氚� Thomas Heritage Partners, Ltd.臧� 靻岇湢頃� 571,939欤检潣 靸侂嫻頃� 臧勳爲 歆�攵�鞚� 瓿店皽霅橃柎 鞛堨溂氅�, 頃措嫻 欤检嫕鞐� 雽�頃� Thomas Heritage Company, L.L.C.鞚� 靷灔 瓴� 鞙犾澕頃� 甏�毽瀽(歃� Mr. Thomas)臧� 雼弲 鞚橁舶甓� 氚� 觳橂秳甓岇潉 氤挫湢頃橁碃 鞛堨姷雼堧嫟.
William R. Thomas III, administrateur de Capital Southwest Corporation (CSWC), a acquis des actions restreintes dans le cadre d'un plan d'attribution aux administrateurs le 08/12/2025. Le formulaire 4 signale l'茅mission de 2,193 actions ordinaires dans le cadre du Capital Southwest 2021 Non-Employee Director Restricted Stock Award Plan 脿 un prix d茅clar茅 de $0, portant la participation directe de la personne d茅clar茅e 脿 18,344 actions.
Le d茅p么t r茅v猫le 茅galement deux participations indirectes de 6,000 actions chacune d茅tenues par le fils de la personne d茅clar茅e et une position indirecte substantielle de 571,939 actions d茅tenue par Thomas Heritage Partners, Ltd., pour lesquelles M. Thomas, en tant que pr茅sident et unique g茅rant de Thomas Heritage Company, L.L.C., dispose du pouvoir exclusif de vote et de disposition.
William R. Thomas III, ein Direktor von Capital Southwest Corporation (CSWC), erwarb am 08.12.2025 eingeschr盲nkte Aktien im Rahmen eines Direktoren-Zuteilungsplans. Das Formular 4 meldet die Ausgabe von 2,193 Stammaktien unter dem Capital Southwest 2021 Non-Employee Director Restricted Stock Award Plan zu einem angegebenen Preis von $0, wodurch die unmittelbare wirtschaftliche Beteiligung der meldenden Person auf 18,344 Aktien 补苍飞盲肠丑蝉迟.
Die Einreichung offenbart zudem zwei mittelbare Beteiligungen von jeweils 6,000 Aktien, gehalten von dem Sohn der meldenden Person, sowie eine erhebliche mittelbare Position von 571,939 Aktien, die von Thomas Heritage Partners, Ltd. gehalten wird, f眉r die Herr Thomas als Pr盲sident und alleiniger Gesch盲ftsf眉hrer der Thomas Heritage Company, L.L.C. die alleinige Stimm- und Verf眉gungsgewalt besitzt.
- Director alignment via compensation: 2,193 shares were issued under the Capital Southwest 2021 Non-Employee Director Restricted Stock Award Plan at a reported price of $0.
- Transparent disclosure of indirect holdings: The Form 4 specifies family-held shares (two entries of 6,000 shares) and describes the partnership ownership structure for the large block of 571,939 shares.
- Concentrated indirect control: The reporting person has sole voting and dispositive power over 571,939 shares owned by Thomas Heritage Partners, Ltd.
- Potential complexity in ownership mapping: Multiple indirect holdings (family and partnership) increase the complexity of insider ownership and voting influence disclosure.
Insights
TL;DR: Director received restricted stock; direct ownership modest, while a large indirect stake (571,939 shares) is controlled via an affiliated partnership.
The reported 2,193-share issuance appears to be a standard restricted stock award to a non-employee director, recorded at a $0 price consistent with compensation grants. The director鈥檚 disclosed direct stake is 18,344 shares after the grant. Material to investors is the reported 571,939-share indirect position over which Mr. Thomas has sole voting and dispositive authority through an affiliated entity, a fact that affects insider ownership tables and voting dynamics. No derivative transactions were reported.
TL;DR: The filing documents a compensation-related equity grant and highlights concentrated indirect control via a partnership where the director holds sole voting/dispositive power.
This Form 4 shows a routine director award under the 2021 Non-Employee Director Restricted Stock Award Plan and discloses related-party and partnership holdings. The disclosure that Mr. Thomas has sole voting and dispositive power over 571,939 shares owned by Thomas Heritage Partners, Ltd. is governance-relevant because it clarifies which insider exercises control over a large block of shares. The filing does not indicate open-market purchases or option exercises.
William R. Thomas III, amministratore di Capital Southwest Corporation (CSWC), ha acquisito azioni con vincolo in base a un piano di premi per amministratori il 08/12/2025. Il Modulo 4 segnala l'emissione di 2,193 azioni ordinarie nell'ambito del Capital Southwest 2021 Non-Employee Director Restricted Stock Award Plan a un prezzo dichiarato di $0, aumentando la partecipazione diretta della persona segnalante a 18,344 azioni.
La comunicazione indica inoltre due partecipazioni indirette di 6,000 azioni ciascuna detenute dal figlio della persona segnalante e una importante posizione indiretta di 571,939 azioni posseduta da Thomas Heritage Partners, Ltd., per la quale il signor Thomas, in qualit脿 di presidente e unico manager di Thomas Heritage Company, L.L.C., detiene in via esclusiva il potere di voto e di disposizione.
William R. Thomas III, director de Capital Southwest Corporation (CSWC), adquiri贸 acciones restringidas bajo un plan de asignaci贸n para directores el 08/12/2025. El Formulario 4 informa la emisi贸n de 2,193 acciones comunes en el Capital Southwest 2021 Non-Employee Director Restricted Stock Award Plan a un precio declarado de $0, aumentando la participaci贸n directa de la persona informante a 18,344 acciones.
La presentaci贸n tambi茅n revela dos participaciones indirectas de 6,000 acciones cada una, mantenidas por el hijo de la persona informante y una posici贸n indirecta sustancial de 571,939 acciones propiedad de Thomas Heritage Partners, Ltd., sobre las cuales el se帽or Thomas, como presidente y 煤nico gerente de Thomas Heritage Company, L.L.C., tiene el poder exclusivo de voto y disposici贸n.
William R. Thomas III電� Capital Southwest Corporation(CSWC)鞚� 鞚挫偓搿滌劀 2025/08/12鞐� 鞚挫偓 氤挫儊 瓿勴殟鞐� 霐半澕 鞝滍暅欤茧ゼ 旆摑頄堨姷雼堧嫟. Form 4電� Capital Southwest 2021 Non-Employee Director Restricted Stock Award Plan鞐� 霐半澕 2,193欤检潣 氤错喌欤�臧� 氇呾嫓霅� 臧�瓴� $0搿� 氚滍枆霅橃棃鞙茧┌, 氤搓碃鞚胳潣 歆侅爲 鞁れ 氤挫湢臧� 18,344欤�搿� 歃濌皜頄堧嫟瓿� 氤搓碃頃橁碃 鞛堨姷雼堧嫟.
鞁犼碃靹滌棎電� 霕愴暅 氤搓碃鞚胳潣 鞎勲摛鞚� 氤挫湢頃� 臧侁皝 6,000欤检敥鞚� 霊� 瓯挫潣 臧勳爲 氤挫湢 氚� Thomas Heritage Partners, Ltd.臧� 靻岇湢頃� 571,939欤检潣 靸侂嫻頃� 臧勳爲 歆�攵�鞚� 瓿店皽霅橃柎 鞛堨溂氅�, 頃措嫻 欤检嫕鞐� 雽�頃� Thomas Heritage Company, L.L.C.鞚� 靷灔 瓴� 鞙犾澕頃� 甏�毽瀽(歃� Mr. Thomas)臧� 雼弲 鞚橁舶甓� 氚� 觳橂秳甓岇潉 氤挫湢頃橁碃 鞛堨姷雼堧嫟.
William R. Thomas III, administrateur de Capital Southwest Corporation (CSWC), a acquis des actions restreintes dans le cadre d'un plan d'attribution aux administrateurs le 08/12/2025. Le formulaire 4 signale l'茅mission de 2,193 actions ordinaires dans le cadre du Capital Southwest 2021 Non-Employee Director Restricted Stock Award Plan 脿 un prix d茅clar茅 de $0, portant la participation directe de la personne d茅clar茅e 脿 18,344 actions.
Le d茅p么t r茅v猫le 茅galement deux participations indirectes de 6,000 actions chacune d茅tenues par le fils de la personne d茅clar茅e et une position indirecte substantielle de 571,939 actions d茅tenue par Thomas Heritage Partners, Ltd., pour lesquelles M. Thomas, en tant que pr茅sident et unique g茅rant de Thomas Heritage Company, L.L.C., dispose du pouvoir exclusif de vote et de disposition.
William R. Thomas III, ein Direktor von Capital Southwest Corporation (CSWC), erwarb am 08.12.2025 eingeschr盲nkte Aktien im Rahmen eines Direktoren-Zuteilungsplans. Das Formular 4 meldet die Ausgabe von 2,193 Stammaktien unter dem Capital Southwest 2021 Non-Employee Director Restricted Stock Award Plan zu einem angegebenen Preis von $0, wodurch die unmittelbare wirtschaftliche Beteiligung der meldenden Person auf 18,344 Aktien 补苍飞盲肠丑蝉迟.
Die Einreichung offenbart zudem zwei mittelbare Beteiligungen von jeweils 6,000 Aktien, gehalten von dem Sohn der meldenden Person, sowie eine erhebliche mittelbare Position von 571,939 Aktien, die von Thomas Heritage Partners, Ltd. gehalten wird, f眉r die Herr Thomas als Pr盲sident und alleiniger Gesch盲ftsf眉hrer der Thomas Heritage Company, L.L.C. die alleinige Stimm- und Verf眉gungsgewalt besitzt.
FAQ
Who filed the Form 4 for Capital Southwest (CSWC)?
What transaction is reported on the CSWC Form 4?
How many shares does the reporting person beneficially own after the transaction?
Are there indirect or related-party holdings disclosed in the Form 4?
Does the Form 4 report any derivative transactions (options, puts, calls)?
