SEC Form 4 · Updated Daily
CSWC
— CAPITAL SOUTHWEST CORPORATION OwnershipInsider and institutional ownership derived from SEC Form 4 filings. Click any owner to see their holdings across every company they’ve filed on, and how their position has changed over time.
Current Reporting Owners
| Owner | Role | Shares Owned | As Of | Last Activity |
|---|---|---|---|---|
| Moab Partners LP | 10%+ Owner | 1,477,833 | 2017-08-25 | S |
| Moab Capital Partners LLC | 10%+ Owner | 1,477,833 | 2017-08-25 | S |
| Moab GP LLC | 10%+ Owner | 1,477,833 | 2017-08-25 | S |
| Rothenberg Michael | 10%+ Owner | 1,477,833 | 2017-08-25 | S |
| Sarner Michael Scott | Director · Officer | 599,389.339 | 2026-06-09 | A |
| MARTIN GARY L | Director | 445,292 | 2014-02-19 | M |
| Weinstein Joshua S. | Officer | 390,173 | 2026-06-09 | A |
| THOMAS WILLIAM R | 10%+ Owner · Director | 341,975 | 2007-08-17 | P |
| DIEHL BOWEN S | Director · Officer | 303,943 | 2024-06-10 | A |
| Rehberger Chris | Officer | 219,659 | 2026-06-09 | A |
| BURTON DONALD W | Director | 106,190 | 2011-11-30 | A |
| KELLEY DOUGLAS M. | Officer | 84,767 | 2017-11-15 | F |
| FURST JACK D | Director | 49,937 | 2026-08-10 | A |
| ASHBAUGH WILLIAM M | Officer | 48,068 | 2017-11-15 | F |
| TACKE KELLY | Officer | 47,000 | 2014-08-28 | A |
| Brooks David R | Director | 42,933 | 2026-08-10 | A |
| Armes Joseph B | Director · Officer | 31,000 | 2017-07-31 | S |
| Rogers-Windsor Ramona Lynn | Director | 25,079.676 | 2026-08-10 | A |
| Thomas William R III | Director | 22,842 | 2026-10-01 | P |
| WILSON JOHN H | Director | 20,000 | 2018-03-23 | P |
| BATTIST CHRISTINE | Director | 16,064 | 2026-08-10 | A |
| NEBLETT GLENN M. | Officer | 15,988 | 2014-03-03 | M |
| LIGON SAMUEL B | Director | 12,900 | 2015-03-02 | P |
| HENDERSON GRAEME W | Director | 12,000 | 2009-09-23 | P |
| HAMNER PATRICK F | Officer | 10,259 | 2006-11-01 | A |
| SCHWERTNER RAY D. | Officer | 8,600 | 2014-09-18 | M |
| Morgan Thomas Duane | Director | 4,776 | 2021-08-31 | P |
| PETERSON JEFFREY G | Officer | 4,150 | 2012-06-22 | S |
| Gohlke Henry James | Officer | 2,500 | 2013-01-22 | A |
| Golden Matthew Bailey | Officer | 1,800 | 2015-06-05 | S |
| Morris Tracy L. | Officer | 1,420 | 2013-03-05 | M |
| HODGSON SUSAN K | Officer | 1,098 | 2007-11-02 | A |
| BELA MARQUEZ D | Officer | 1,000 | 2012-05-21 | M |
| Shedd Christopher Scott | Officer | 750 | 2013-01-22 | A |
| Strup Richard F. | Director | 500 | 2012-10-31 | P |
| MUDD CHRISTOPHER J | Officer | 0 | 2015-01-06 | — |
Recent Filings
| Date | Owner | Activity | Shares | Price | Owned After |
|---|---|---|---|---|---|
| 2026-10-01 | Thomas William R III | Open-market buy | 2,170 | $23.04 | 22,842 |
| 2026-08-10 | BATTIST CHRISTINE | Grant / award | 1,989 | $0.00 | 16,064 |
| 2026-08-10 | Brooks David R | Grant / award | 1,989 | $0.00 | 42,933 |
| 2026-08-10 | Rogers-Windsor Ramona Lynn | Grant / award | 1,989 | $0.00 | 25,079.676 |
| 2026-08-10 | FURST JACK D | Grant / award | 1,989 | $0.00 | 49,937 |
| 2026-08-10 | Thomas William R III | Grant / award | 1,989 | $0.00 | 20,672 |
| 2026-06-30 | Rogers-Windsor Ramona Lynn | Open-market buy | 210.962 | $23.70 | 23,090.676 |
| 2026-06-17 | BATTIST CHRISTINE | Open-market buy | 860 | $23.23 | 14,075 |
| 2026-06-10 | Rehberger Chris | Tax withholding | 3,688 | $23.54 | 215,971 |
| 2026-06-10 | Sarner Michael Scott | Tax withholding | 11,705 | $23.54 | 587,684.339 |
| 2026-06-10 | Weinstein Joshua S. | Tax withholding | 9,588 | $23.54 | 380,585 |
| 2026-06-09 | Rehberger Chris | Grant / award | 75,000 | $0.00 | 219,659 |
| 2026-06-09 | Rehberger Chris | Tax withholding | 4,492 | $23.28 | 144,659 |
| 2026-06-09 | Sarner Michael Scott | Grant / award | 140,000 | $0.00 | 599,389.339 |
| 2026-06-09 | Sarner Michael Scott | Tax withholding | 13,765 | $23.28 | 459,389.339 |
| 2026-06-09 | Weinstein Joshua S. | Grant / award | 100,000 | $0.00 | 390,173 |
| 2026-06-09 | Weinstein Joshua S. | Tax withholding | 11,349 | $23.28 | 290,173 |
| 2026-06-05 | Thomas William R III | Open-market buy | 5,000 | $23.40 | 18,683 |
| 2026-06-05 | Thomas William R III | Open-market sale | 4,661 | $23.29 | 13,683 |
| 2026-06-01 | Rogers-Windsor Ramona Lynn | Open-market buy | 213 | $23.42 | 22,879.714 |
| 2026-02-27 | Sarner Michael Scott | Open-market buy | 2,694.635 | $21.90 | 473,154.339 |
| 2026-02-09 | BATTIST CHRISTINE | Open-market buy | 600 | $23.16 | 13,215 |
| 2025-10-01 | Rogers-Windsor Ramona Lynn | Open-market buy | 463 | $21.55 | 21,612.249 |
| 2025-08-20 | BATTIST CHRISTINE | Open-market buy | 667 | $22.45 | 12,615 |
| 2025-08-12 | Thomas William R III | Grant / award | 2,193 | $0.00 | 18,344 |
| 2025-08-12 | BATTIST CHRISTINE | Grant / award | 2,193 | $0.00 | 11,948 |
| 2025-08-12 | Rogers-Windsor Ramona Lynn | Grant / award | 2,193 | $0.00 | 20,828.143 |
| 2025-08-12 | Brooks David R | Grant / award | 2,193 | $0.00 | 40,944 |
| 2025-08-12 | FURST JACK D | Grant / award | 2,193 | $0.00 | 47,948 |
| 2025-06-23 | Rogers-Windsor Ramona Lynn | Open-market buy | 471 | $21.19 | 18,091.515 |
| 2025-06-10 | Rehberger Chris | Tax withholding | 3,041 | $21.35 | 149,151 |
| 2025-06-10 | Sarner Michael Scott | Tax withholding | 15,319 | $21.35 | 470,459.704 |
| 2025-06-10 | Weinstein Joshua S. | Tax withholding | 12,041 | $21.35 | 301,522 |
| 2025-06-09 | Rehberger Chris | Grant / award | 45,000 | $0.00 | 152,192 |
| 2025-06-09 | Rehberger Chris | Tax withholding | 1,126 | $21.06 | 107,192 |
| 2025-06-09 | Sarner Michael Scott | Grant / award | 80,000 | $0.00 | 485,778.704 |
| 2025-06-09 | Sarner Michael Scott | Tax withholding | 3,648 | $21.06 | 405,778.704 |
| 2025-06-09 | Weinstein Joshua S. | Grant / award | 65,000 | $0.00 | 313,563 |
| 2025-06-09 | Weinstein Joshua S. | Tax withholding | 3,127 | $21.06 | 248,563 |
| 2025-05-27 | BATTIST CHRISTINE | Open-market buy | 476 | $20.87 | 9,755 |
Source: SEC EDGAR Form 4 filings. For informational purposes only — not investment advice.