Stock Transactions — CAPITAL SOUTHWEST CORP

Total Bought
4,212,578
104 transactions
Total Sold
16,789,462
65 transactions
Net
-12,576,884
shares
Filing Period:Transaction:
FundPrevious Shares
Current Shares
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Change in Shares
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Previous Portfolio Weightage (%)
Current Portfolio Weightage (%)
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Change in Weight (%)
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Type
VICTORY CAPITAL MANAGEMENT INC14,110,00015,358,000+1,248,0000.010.01-0.00buy
VAN ECK ASSOCIATES CORP1,127,5611,526,667+399,1060.020.02+0.00buy
UBS Group AG854,1311,218,244+364,1130.000.00+0.00buy
TECTONIC ADVISORS LLC0355,370+355,3700.000.41+0.41buy
LPL Financial LLC231,713402,585+170,8720.000.00+0.00buy
Schonfeld Strategic Advisors LLC0160,021+160,0210.000.02+0.02buy
MARSHALL WACE, LLP0120,787+120,7870.000.00+0.00buy
Trexquant Investment LP9,613103,686+94,0730.000.02+0.01buy
CITADEL ADVISORS LLC088,251+88,2510.000.00+0.00buy
XTX Topco Ltd13,31397,027+83,7140.010.03+0.02buy
Inspire Advisors, LLC14,60887,762+73,1540.030.15+0.12buy
HRT FINANCIAL LP93,416157,937+64,5210.010.01+0.00buy
Legal & General Group Plc443,138499,715+56,5770.000.00+0.00buy
FRANKLIN RESOURCES INC329,121379,686+50,5650.000.00+0.00buy
BANK OF AMERICA CORP /DE/41,77486,011+44,2370.000.00+0.00buy
Naviter Wealth, LLC124,570167,732+43,1620.340.36+0.02buy
NAVELLIER & ASSOCIATES INC038,884+38,8840.000.07+0.07buy
Brookstone Capital Management038,697+38,6970.000.01+0.01buy
Cetera Investment Advisers452,698490,926+38,2280.010.01-0.00buy
Janney Montgomery Scott LLC037,445+37,4450.000.00+0.00buy
MORGAN STANLEY184,028215,970+31,9420.000.00+0.00buy
Sound Income Strategies, LLC903,329934,321+30,9920.961.00+0.04buy
Quantbot Technologies LP15,73343,455+27,7220.010.04+0.03buy
GEN Financial Management, INC.026,569+26,5690.000.38+0.38buy
Jump Financial, LLC026,405+26,4050.000.01+0.01buy
BlackRock, Inc.276,490300,377+23,8870.000.00-0.00buy
GOLDMAN SACHS GROUP INC023,312+23,3120.000.00+0.00buy
GSA CAPITAL PARTNERS LLP021,812+21,8120.000.03+0.03buy
ROYAL BANK OF CANADA23,27342,721+19,4480.000.00+0.00buy
Mariner, LLC31,89551,258+19,3630.000.00+0.00buy
&PARTNERS018,428+18,4280.000.00+0.00buy
OCCUDO QUANTITATIVE STRATEGIES LP12,87730,530+17,6530.020.04+0.02buy
Columbus Macro, LLC357,781374,871+17,0900.850.87+0.02buy
GraniteShares Advisors LLC109,894126,444+16,5501.751.93+0.18buy
BROWN ADVISORY INC015,770+15,7700.000.00+0.00buy
ENVESTNET ASSET MANAGEMENT INC402,926417,574+14,6480.000.00-0.00buy
Black Swift Group, LLC013,550+13,5500.000.05+0.05buy
Amundi013,279+13,2790.000.00+0.00buy
Mission Hills Financial Advisory, LLC012,836+12,8360.000.13+0.13buy
D. E. Shaw & Co., Inc.012,437+12,4370.000.00+0.00buy
CANADA LIFE ASSURANCE Co65,60677,938+12,3320.000.00+0.00buy
Arkadios Wealth Advisors011,902+11,9020.000.00+0.00buy
TWO SIGMA SECURITIES, LLC011,558+11,5580.000.02+0.02buy
STATE STREET CORP69,06280,442+11,3800.000.00+0.00buy
NBC SECURITIES, INC.011,000+11,0000.000.00+0.00buy
MACKENZIE FINANCIAL CORP010,520+10,5200.000.00+0.00buy
OSAIC HOLDINGS, INC.17,43727,535+10,0980.000.00+0.00buy
BNP PARIBAS FINANCIAL MARKETS56,57866,615+10,0370.000.00+0.00buy
Permanent Capital Management, LP09,820+9,8200.000.03+0.03buy
Muzinich & Co., Inc.426,243435,909+9,6663.303.54+0.24buy
Sequoia Financial Advisors, LLC08,825+8,8250.000.00+0.00buy
EIGHT 31 FINANCIAL, LLC08,750+8,7500.000.12+0.12buy
BANK OF MONTREAL /CAN/08,477+8,4770.000.00+0.00buy
Kestra Advisory Services, LLC56,86464,703+7,8390.000.00+0.00buy
Cambridge Investment Research Advisors, Inc.55,81563,291+7,4760.000.00+0.00buy
WELLS FARGO & COMPANY/MN3,98610,993+7,0070.000.00+0.00buy
Sumitomo Mitsui Trust Group, Inc.284,778291,778+7,0000.000.00-0.00buy
COZAD ASSET MANAGEMENT INC59,86766,133+6,2660.100.10-0.00buy
Truvestments Capital LLC72,74678,667+5,9210.290.28-0.01buy
RAYMOND JAMES FINANCIAL INC264,659269,532+4,8730.000.00-0.00buy
MERCER GLOBAL ADVISORS INC /ADV04,308+4,3080.000.00+0.00buy
EAGLE GLOBAL ADVISORS LLC9,35013,515+4,1650.010.01+0.00buy
IFG Advisory, LLC03,500+3,5000.000.00+0.00buy
Legacy Capital Wealth Partners, LLC71,17474,653+3,4790.320.34+0.02buy
LAFFER TENGLER INVESTMENTS, INC.03,372+3,3720.520.45-0.07buy
FCG Investment Co10,66913,763+3,0940.100.11+0.01buy
Greenland Capital Management LP26,00029,000+3,0000.110.13+0.02buy
WEDBUSH SECURITIES INC16,37819,276+2,8980.010.01+0.00buy
Arlington Capital Management, Inc.21,56524,202+2,6370.270.36+0.09buy
Creative Planning9,93812,352+2,4140.000.00+0.00buy
GUGGENHEIM CAPITAL LLC29,21731,550+2,3330.010.00-0.00buy
Spire Wealth Management6002,800+2,2000.000.00+0.00buy
HIGHLINE WEALTH PARTNERS LLC02,094+2,0940.000.01+0.01buy
Hodges Capital Management Inc.110,275112,283+2,0080.200.18-0.03buy
Steward Partners Investment Advisory, LLC01,810+1,8100.000.00+0.00buy
SMH CAPITAL ADVISORS INC78,36480,072+1,7084.907.46+2.56buy
Squarepoint Ops LLC9,63710,845+1,2080.000.00+0.00buy
Symphony Financial, Ltd. Co.40,96942,154+1,1850.120.11-0.01buy
Rockefeller Capital Management L.P.2251,225+1,0000.000.00+0.00buy
Beacon Pointe Advisors, LLC196,768197,768+1,0000.020.02-0.00buy
Heritage Wealth Advisors0980+9800.000.00+0.00buy
NewEdge Advisors, LLC0955+9550.000.00+0.00buy
Allworth Financial LP5,5886,535+9470.000.00+0.00buy
Core Wealth Partners LLC11,52012,320+8000.120.12+0.01buy
DRW Securities, LLC11,16511,959+7940.010.02+0.00buy
Integrated Wealth Concepts LLC0780+7800.000.00+0.00buy
First Dallas Securities Inc.89,69190,468+7770.730.71-0.02buy
AlphaCore Capital LLC30,99631,546+5500.020.01-0.00buy
Focus Partners Wealth10,96011,442+4820.000.00+0.00buy
Elequin Capital, LP1,1771,606+4290.000.00-0.00buy
Avion Wealth500900+4000.000.00+0.00buy
Triumph Capital Management1,4001,750+3500.010.01+0.00buy
Cornerstone Wealth Management, LLC40,58840,813+2250.040.04-0.00buy
VALLEY NATIONAL ADVISERS INC0100+1000.000.00+0.00buy
HOLLENCREST CAPITAL MANAGEMENT3,9984,096+980.000.01+0.00buy
Capital Analysts, LLC2,9032,975+720.000.00-0.00buy
JFS WEALTH ADVISORS, LLC069+690.000.00+0.00buy
JONES FINANCIAL COMPANIES LLLP1,1561,206+500.000.00-0.00buy
ProShare Advisors LLC11,33011,364+340.000.00+0.00buy
CONFLUENCE INVESTMENT MANAGEMENT LLC95,33995,362+230.030.04+0.00buy
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