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The company

Capital Southwest Corporation

CSWC · Nasdaq

FinancialsCapital Markets & Asset ManagementSetting up

CSWC stood above a rising 150-day average in 33 of the last 52 weekly readings, and has been out of that trend for the last 2 weeks. It is 2.2% below that average now. Capital Markets & Asset Management: 27% of its 97 stocks in an uptrend (−9 points in four weeks); Financials: 46% (−11 points in four weeks).

SEC filings

Statistics

Rotation: Setting up
Weeks in an uptrend: out for 2
Industry in uptrend: 27% -9 in 4 wk
Insider buys, 12 months: $490K
Insider sales, 12 months: $217K
Officials’ trades on record: 0
Institutions holding: 181 (+22)

In the rotation

Each square a week: lit when it closed above a rising 150-day average. 33 of 52 weeks.

17 Apr – 16 Oct

Capital Markets & Asset Management: A minority of its stocks are in an uptrend and the share has fallen sharply over four weeks. Financials: About half its stocks are in an uptrend and the share has fallen sharply over four weeks.

Money in and out

1 Nov 2024 – 1 Oct 2026

Open-market buys above the line and sales below, in dollars.

Congress and officials

No member of Congress or official has disclosed a trade in it.

Insiders

Buy orders, 12 months7

Sale orders, 12 months1

Buyers · sellers4 · 1

Who	Did	Shares	Traded
William R. Thomas IIIDirector	bought	2,170at $23.04	1 Oct 2026filed 1 Oct 2026
Ramona Lynn Rogers-WindsorDirector	bought	210.962at $23.70	30 Jun 2026filed 30 Jun 2026
Christine BattistDirector	bought	860at $23.23	17 Jun 2026filed 18 Jun 2026
William R. Thomas IIIDirector	sold	4,661at $23.29	5 Jun 2026filed 5 Jun 2026
William R. Thomas IIIDirector	bought	5,000at $23.40	5 Jun 2026filed 5 Jun 2026
Ramona Lynn Rogers-WindsorDirector	bought	213at $23.42	1 Jun 2026filed 1 Jun 2026
Michael Scott SarnerPresident and CEO	bought	2,694.635at $21.90	27 Feb 2026filed 2 Mar 2026
Christine BattistDirector	bought	600at $23.16	9 Feb 2026filed 9 Feb 2026

Lines filed since 2 January 2026, newest first; every insider’s older lines are on their own page.

Institutions

Holders181+22 on the quarter

New · exited35 · 14

Reported value$402.9M

Quarter to 30 Jun 2026, against 31 Mar 2026; newest filing 31 Aug 2026.

Manager	Shares	Change
UBS Group AGadded · filed 13 Aug 2026	1,218,244$29.0M	+364,113+42.6%
TWO SIGMA INVESTMENTS, LPreduced · filed 14 Aug 2026	1,180,391$28.1M	-1,169,257−49.8%
Sound Income Strategies, LLCadded · filed 20 Jul 2026	934,321$22.2M	+30,992+3.4%
SANDERS MORRIS HARRIS LLCreduced · filed 7 Jul 2026	759,992$18.1M	-351,181−31.6%
Empowered Funds, LLCreduced · filed 17 Aug 2026	525,697$12.5M	-93,401−15.1%
Empirical Finance, LLCreduced · filed 14 Aug 2026	525,500$12.5M	-93,366−15.1%
Legal & General Group Plcadded · filed 14 Aug 2026	499,715$11.9M	+56,577+12.8%
Cetera Investment Advisersadded · filed 12 Aug 2026	490,926$11.7M	+38,228+8.4%
Muzinich & Co., Inc.added · filed 27 Jul 2026	435,909$10.4M	+9,666+2.3%
ENVESTNET ASSET MANAGEMENT INCadded · filed 3 Aug 2026	417,574$9.9M	+14,648+3.6%