CSWC insider buying and SEC filings, explained
Capital Southwest Corp. · CIK 17313
Tracked: Forms 3/4/5, 8-K, NT · All filings on sec.gov
Company profile
- Exchanges
- Nasdaq
- State of incorporation
- TX
- Fiscal year end
- Mar 31
Insider activity in the last 12 months
Bought
$260K
Insiders who bought
3
Sold (not marked 10b5-1)
$109K
Planned sales (10b5-1)
$0
Insider purchases and sales, last 12 months
| Traded | Type | What was filed | Source |
|---|---|---|---|
| Oct 1, 2026 | Purchase (code P) | William R Thomas III (Director) bought 2,170 shares at about $23.04 ($50K), reported as a purchase (code P). Holdings up 10% to 22,842 shares. Not marked as a 10b5-1 plan trade. | SEC filing Filed Oct 1, 2026, 7:04 PM ET |
| Jun 30, 2026 | Purchase (code P) | Ramona Lynn Rogers-Windsor (Director) bought 211 shares at $23.70 ($5K), reported as a purchase (code P). Holdings up 1% to 23,091 shares. Not marked as a 10b5-1 plan trade. | SEC filing Filed Jun 30, 2026 |
| Jun 17, 2026 | Purchase (code P) | Christine Battist (Director) bought 860 shares at $23.23 ($20K), reported as a purchase (code P). Holdings up 7% to 14,075 shares. Not marked as a 10b5-1 plan trade. | SEC filing Filed Jun 18, 2026 |
| Jun 5, 2026 | Sale | William R Thomas III (Director) sold 4,661 shares at about $23.29 ($109K). Holdings down 25% to 13,683 shares. Not marked as a 10b5-1 plan trade. | SEC filing Filed Jun 5, 2026 |
| Jun 5, 2026 | Purchase (code P) | William R Thomas III (Director) bought 5,000 shares at $23.40 ($117K), reported as a purchase (code P). Holdings up 37% to 18,683 shares. Not marked as a 10b5-1 plan trade. | SEC filing Filed Jun 5, 2026 |
| Jun 1, 2026 | Purchase (code P) | Ramona Lynn Rogers-Windsor (Director) bought 213 shares at $23.42 ($5K), reported as a purchase (code P). Holdings up 1% to 22,880 shares. Not marked as a 10b5-1 plan trade. | SEC filing Filed Jun 1, 2026 |
| Feb 27, 2026 | Purchase (code P) | Michael Scott Sarner (CEO and Director) bought 2,695 shares at $21.90 ($59K), reported as a purchase (code P). Holdings up 1% to 473,154 shares. Not marked as a 10b5-1 plan trade. | SEC filing Filed Mar 2, 2026 |
| Feb 9, 2026 | Purchase (code P) | Christine Battist (Director) bought 600 shares at $23.16 ($14K), reported as a purchase (code P). Holdings up 5% to 13,215 shares. Not marked as a 10b5-1 plan trade. | SEC filing Filed Feb 9, 2026 |
8 routine transactions (such as grants, option exercises or tax withholding) are not listed.
Cluster buys
2 insiders bought in 30 days
$137K in purchases since Jun 5, 2026 · Purchases traded Jun 5, 2026 to Jun 17, 2026 · Closed
| Insider | Value | Traded | Source |
|---|---|---|---|
| William R Thomas III (Director) | $117K | Jun 5, 2026 | SEC filing |
| Christine Battist (Director) | $20K | Jun 17, 2026 | SEC filing |
2 insiders bought in 30 days
$73K in purchases since Feb 9, 2026 · Purchases traded Feb 9, 2026 to Feb 27, 2026 · Closed
| Insider | Value | Traded | Source |
|---|---|---|---|
| Christine Battist (Director) | $14K | Feb 9, 2026 | SEC filing |
| Michael Scott Sarner (CEO) | $59K | Feb 27, 2026 | SEC filing |
Red flags
No red flags in the last 12 months.
Key events
No key events in the last 12 months.
8-K filings, last 12 months
| Filed | Items | Tag | Source |
|---|---|---|---|
| Nov 2, 2026, 4:03 PM ET 8-K | Earnings released (Item 2.02) Reg FD disclosure (Item 7.01) | SEC filing |
Red flags are objective triggers only: the item or form filed, never an opinion.
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