CAPITAL SOUTHWEST CORP
CIK 17313 · View on SEC EDGAR ↗
Insider
First SEC filing: Sept. 14, 2015 · Latest: Sept. 14, 2015
On this page
Insider at
Insider transactions
0 buys (P)
0 sells (S)
Net:
$0
+ 6 non-open-market transactions below
last 12 months, based on the transactions shown below
Price change vs current quote, split-adjusted for corporate actions since the filing — not benchmarked, not annualized, not size-weighted
6 other filings hidden
| Date | Ticker | Code | Shares | Price | Value | Owned after | Δ own | A/D | vs now |
|---|---|---|---|---|---|---|---|---|---|
| Nov. 12, 2014 | ALG | S | 1,551,970 | $40.96 | $63,568,691 | 258,340 Indirect | -85.73% | Disposed | 299.7% (price as of 2026-08-21) |
| Nov. 12, 2014 | ALG | S | 170,300 | $40.96 | $6,975,488 | 2,704 Direct | -98.44% | Disposed | 299.7% (price as of 2026-08-21) |
| May 14, 2012 | CSWC | S | 2,774,250 | $24.02 | $66,637,485 | 0 Indirect | -100.00% | Disposed | 1022.7% (price as of 2026-08-21) |
P = Open-market purchase · S = Sale · A = Grant/award · M = Option exercise · G = Gift · F = Tax withholding
Insider transactions are not a recommendation; sales are often driven by liquidity or tax reasons.
Derivative holdings (Form 4 Table II)
Options, RSUs and convertible securities reported on Form 4 Table II.
| Date | Ticker | Security | Underlying | Exercise price | Expiration | Shares | A/D |
|---|---|---|---|---|---|---|---|
| May 6, 2013 | ALG | Stock Grant [F1] | Common Stock (704) | $0.00 | — | 704 | Acquired |
| April 27, 2009 | CSWC | Common Stock Warrant (right to buy) | Common Stock (286,625) | $3.14 | April 24, 2019 | 286,625 | Acquired |
Exercise/conversion price is blank when not applicable (e.g. RSUs).
Initial ownership (Form 3) 1 holding
Securities held when first becoming an insider, per SEC Form 3.
| Date | Ticker | Security | Shares | Ownership |
|---|---|---|---|---|
| Sept. 14, 2015 | CSWC | Common Stock | 100 | Direct |