SEC Form 4
Capital Southwest Corp (CSWC) insider trading
In the 12 months to Oct 26, 2026, one CSWC insider reported open-market sales of $108.6K across 1 filing; 4 insiders bought $269.9K.
Latest filing · Last 12 months · Source: SEC EDGAR · How we count
- Open-market sales
- $108.6K
- 1 filing · 1 insider
- Open-market purchases
- $269.9K
- 7 filings
Who traded CSWC, and when
- Purchase
- Sale
CSWC daily close from Oct 27, 2025 to Oct 26, 2026, between $19.97 and $25.57, last $22.41. 1 sale and 7 purchase filings by 4 insiders, marked at their filing dates. William R. Thomas III, Director: sold $108.6K and bought $167.0K across 3 filings, first filed Jun 5, 2026, last Oct 1, 2026. Michael Scott Sarner, President and CEO: bought $59.0K across 1 filing, first filed Mar 2, 2026, last Mar 2, 2026. Christine Battist, Director: bought $33.9K across 2 filings, first filed Feb 9, 2026, last Jun 18, 2026. Ramona Lynn Rogers-Windsor, Director: bought $10.0K across 2 filings, first filed Jun 1, 2026, last Jun 30, 2026.
Largest mark · tap a row for others
William R. Thomas III · Director
Purchase $117,000
5,000 shares at $23.40 avg
Filed Jun 5, 2026
Close on filing date $23.21
William R. Thomas III · Director
Director
$108.6K sold$167.0K boughtMichael Scott Sarner · President and CEO
President and CEO
$59.0K boughtChristine Battist · Director
Director
$33.9K boughtRamona Lynn Rogers-Windsor · Director
Director
$10.0K boughtOpen-market trades
8 filings in the last 12 months| Insider | Role | Sold | Bought | Filings | Pre-arranged (10b5-1) | Last filed |
|---|---|---|---|---|---|---|
| William R. Thomas III | Director | $108.6K | $167.0K | 3 | — | |
| Michael Scott Sarner | President and CEO | — | $59.0K | 1 | — | |
| Christine Battist | Director | — | $33.9K | 2 | — | |
| Ramona Lynn Rogers-Windsor | Director | — | $10.0K | 2 | — |
| Filed | Insider | Type | Shares | Avg price | Value | Held after | Source |
|---|---|---|---|---|---|---|---|
traded | William R. Thomas III Director | Purchase | 2,170 | $23.04 | $50.0K | 22,842 | |
traded | Ramona Lynn Rogers-Windsor Director | Purchase | 211 | $23.70 | $5.0K | 23,091 | |
traded | Christine Battist Director | Purchase | 860 | $23.23 | $20.0K | 14,075 | |
traded | William R. Thomas III Director | Purchase | 5,000 | $23.40 | $117.0K | 18,683 | |
traded | William R. Thomas III Director | Sale | 4,661 | $23.29 | $108.6K | 13,683 | |
traded | Ramona Lynn Rogers-Windsor Director | Purchase | 213 | $23.42 | $5.0K | 22,880 | |
traded | Michael Scott Sarner President and CEO | Purchase | 2,695 | $21.90 | $59.0K | 473,154 | |
traded | Christine Battist Director | Purchase | 600 | $23.16 | $13.9K | 13,215 |
GET /stocks/filings/vX/form-4?tickers=CSWC&filing_date.gte=2025-10-26&sort=filing_date.desc&limit=500{
"status": "OK",
"results": [
{
"tickers": [
"CSWC"
],
"issuer_cik": "0000017313",
"owner_cik": "0001369011",
"accession_number": "0000017313-26-000159",
"form_type": "4",
"filing_date": "2026-10-01",
"period_of_report": "2026-10-01",
"issuer_name": "CAPITAL SOUTHWEST CORP",
"issuer_trading_symbol": "CSWC",
"owner_name": "Thomas William R III",
"is_director": true,
"is_officer": false,
"is_ten_percent_owner": false,
"is_other": false,
"security_type": "non_derivative",
"record_type": "transaction",
"security_title": "Common Stock",
"transaction_timeliness": "O",
"aff_10b5_one": false,
"transaction_date": "2026-10-01",
"transaction_code": "P",
"equity_swap_involved": false,
"transaction_shares": 2170,
"transaction_price_per_share": 23.044,
"transaction_acquired_disposed": "A",
"shares_owned_following_transaction": 22842,
"transaction_value": 50005.48,
"not_subject_to_section_16": false,
"direct_or_indirect": "D",
"footnotes": [
{
"id": "F1",
"description": "The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $23.04 to $23.06, inclusive. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected."
}
]
},
{
"tickers": [
"CSWC"
],
"issuer_cik": "0000017313",
"owner_cik": "0001850860",
"accession_number": "0000017313-26-000073",
"form_type": "4",
"filing_date": "2026-06-30",
"period_of_report": "2026-06-30",
"issuer_name": "CAPITAL SOUTHWEST CORP",
"issuer_trading_symbol": "CSWC",
"owner_name": "Rogers-Windsor Ramona Lynn",
"is_director": true,
"is_officer": false,
"is_ten_percent_owner": false,
"is_other": false,
"security_type": "non_derivative",
"record_type": "transaction",
"security_title": "Common Stock",
"transaction_timeliness": "O",
"aff_10b5_one": false,
"transaction_date": "2026-06-30",
"transaction_code": "P",
"equity_swap_involved": false,
"transaction_shares": 210.9615,
"transaction_price_per_share": 23.701,
"transaction_acquired_disposed": "A",
"shares_owned_following_transaction": 23090.6758,
"transaction_value": 4999.9985115,
"not_subject_to_section_16": false,
"direct_or_indirect": "D"
}
]
}
// trimmed to 2 resultsThe response includes every Form 4 record; this page keeps open-market purchases and sales on common stock and removes duplicate joint-filer rows.
Other insider activity (not market trades) · 14 records
- Tax withholding6 records
- Grants and awards8 records
Reported on Form 4 but not purchases or sales in the market, so not counted in the totals above.
How to read this page
- Open-market purchase or sale
- A buy or sell of the company's stock at market price. Grants, option exercises, shares withheld for tax, gifts and employee stock plan purchases are listed separately and not counted.
- Filing date
- Insiders have two business days to report a trade. Totals and the chart use the filing date, when the trade became public.
Frequently asked questions
Has Capital Southwest Corp's CEO sold stock?
No. Michael Scott Sarner (CEO) made no open-market sales filed as CEO in the last 12 months.
How current is CSWC’s insider data?
These are CSWC Form 4 filings from the last year, refreshed daily. The Massive Form 4 API has the full, continuously updated record.
What counts as an open-market buy or sell?
Only purchases and sales at the market price. Option exercises, grants, gifts, and shares withheld for taxes are reported on Form 4 but are left out of the buy and sell totals.
Build with AI
Track CSWC insider trades with your agent
This page joins two Massive endpoints: Form 4 filings and daily prices. Ask an agent to watch for new filings:
Using the Massive API (massive.com/docs/llms.txt), check Form 4 filings for CSWC every day with transaction_code=P and tell me when an insider files an open-market purchase, with their role, shares, price and the filing link.
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