Capital Southwest Corp (CSWC)

FINANCE: CORPORATE FINANCE
SIC:

5400 LYNDON B. JOHNSON FREEWAY DALLAS, TX 75240

Capital Southwest is a venture capital investment company. Co.'s portfolio is a composite of companies, consisting of companies in which it has controlling interests, developing companies and marketable securities of publicly traded companies. Co.'s investment interests are focused on growth capital, management-led buyouts, and acquisition in a range of industry segments. Co. also provides managerial assistance to the companies in which it invests.

Data as of 2021-01-23
Market Cap340.992 Million Shares Outstanding18.623 Million Avg 30-day Volume148.219 Thousand
P/E Ratio-46.6 Dividend Yield8.957 EPS-0.4
Price/Sales13.01 Price cash flow ratio1.6 Price free cash flow ratio-3.5
Book Value15.36 Price to Tangible Book1.2 Alpha0.0
Short Interest Ratio % Short Interest to Float R-squared0.429797
BETA1.12921 52-week High/Low21.71 / 7.39 Stddev0.075792
View SEC Filings from CSWC instead.
Q3 2020 All 13F Filers Prior Change Hedge Funds 1 Prior Change
In top 10: 1 1 0.0% 0 (0.0%) 0 (0.0%)
Funds Holding: 59 67 -11.94% 18 (1.18%) 19 (1.23%) -5.26%
13F shares: 5.748 Million 6.166 Million -6.77% 2.696 Million 2.99 Million -9.86%
% Ownership 30.9242 33.1713 -6.77% 14.5015 16.087 -9.86%
New Positions: 4 12 -66.67% 1 3 -66.67%
Increased Positions 16 20 -20.0% 2 6 -66.67%
Closed Positions 11 8 37.5% 2
Reduced Positions 25 18 38.89% 10 6 66.67%
Total Calls 24.103 Thousand 20.402 Thousand 18.14%
Total Puts 6 35.3 Thousand -99.98%
PUT/CALL Ratio 0.0 1.73 -100.0% -100.0%
1 hedge funds and active managers as identified by whalewisdom.com through public filings.

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Funds Holding CSWC (via 13F filings)

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*Please note that if a filer hasn't submitted a 13F filing for a quarter then the filer's shares will be listed as "Sold All"

Mutual Funds Holding CSWC BETA

Active Schedule 13D and 13G filings

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Open Market Buys/Sells Last 60 Days

Open Market Buys (P)

none

Open Market Sells (S)

none

Exercise Derivative Conversion (M)

none

Current/Former Insiders

Insider Name Type Last Reported Shares Held Last Reported Date Filings in past year

DIEHL BOWEN S PRESIDENT AND CEO

  • Officer
  • Director
 469,930 2020-06-10 2

SARNER MICHAEL SCOTT CHIEF FINANCIAL OFFICER

  • Officer
 248,563 2020-06-10 3

BROOKS DAVID R

  • Director
 28,500 2020-03-18 1

FURST JACK D

  • Director
 78,004 2020-03-18 1

BATTIST CHRISTINE

  • Director
 5,191 2020-03-17 3

WILSON JOHN H

  • Director
 20,000 2018-03-23 0

MORGAN THOMAS DUANE

  • Director
 19,332 2018-02-08 0

ASHBAUGH WILLIAM M SR. VP, MANAGING DIRECTOR

  • Officer
 No longer subject to file 2018-01-24 0

KELLEY DOUGLAS M. SR. VP, MANAGING DIRECTOR

  • Officer
 No longer subject to file 2018-01-24 0

MOAB PARTNERS LP

MOAB CAPITAL PARTNERS LLC

MOAB GP LLC

ROTHENBERG MICHAEL

  • 10% Owner
 No longer subject to file 2017-08-25 0

ARMES JOSEPH B

  • Director
 31,000 2017-07-31 0

GOLDEN MATTHEW BAILEY VICE PRESIDENT

  • Officer
 3,959 2015-06-05 0

THOMAS WILLIAM R III

  • Director
 591,838 2015-05-29 0

LIGON SAMUEL B

  • Director
 12,900 2015-03-02 0

MUDD CHRISTOPHER J SR. VP OF OPERATIONS

  • Officer
 0 2015-01-06 0

SCHWERTNER RAY D. VICE PRESIDENT

  • Officer
 8,600 2014-09-18 0

TACKE KELLY SVP AND CFO

  • Officer
 47,000 2014-08-28 0

NEBLETT GLENN M. VICE PRESIDENT

  • Officer
 No longer subject to file 2014-03-03 0

MARTIN GARY L

  • Director
 445,292 2014-02-19 0

MORRIS TRACY L. CFO

  • Officer
 200 2013-03-05 0

GOHLKE HENRY JAMES VICE PRESIDENT

  • Officer
 2,500 2013-01-22 0

SHEDD CHRISTOPHER SCOTT VICE PRESIDENT

  • Officer
 750 2013-01-22 0

STRUP RICHARD F.

  • Director
 500 2012-10-31 0

PETERSON JEFFREY G VICE PRESIDENT

  • Officer
 0 2012-06-22 0

BELA MARQUEZ D VICE PRESIDENT

  • Officer
 0 2012-05-21 0

BURTON DONALD W

  • Director
 141,323 2011-12-30 0

HENDERSON GRAEME W

  • Director
 12,000 2009-09-23 0

Insider Transactions Last 60 Days

Reporting Owners Filing Date Trans Date Trans Code Shares Share Price Acquired
Disposed		 Shares Owned after D/I 10b5 Perf 1d* Perf 5d* Perf 1m* Max Gain Max Gain Days Max Loss Max Loss Days
No current insider transactions

* -

Transaction Code Definitions
Code Definition
A Grant, award or other acquisition pursuant to Rule 16b-3(d)
C Conversion of derivative security
D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e)
E Expiration of short derivative position
F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3
G Bona fide gift
H Expiration (or cancellation) of long derivative position with value received
I Discretionary transaction in accordance with Rule 16b-3(f) resulting in acquisition or disposition of issuer securities
J Other acquisition or disposition
L Small acquisition under Rule 16a-6
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3
O Exercise of out-of-the-money derivative security
P Open market or private purchase of non-derivative or derivative security
S Open market or private sale of non-derivative or derivative security
U Disposition pursuant to a tender of shares in a change of control transaction
W Acquisition or disposition by will or the laws of descent and distribution
X Exercise of in-the-money or at-the-money derivative security
Z Deposit into or withdrawal from voting trust

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