Stock Transactions — CAPITAL SOUTHWEST CORP

Total Bought
1,897,534
77 transactions
Total Sold
1,578,309
50 transactions
Net
+319,225
shares
Filing Period:Transaction:
FundPrevious Shares
Current Shares
▲▼
Change in Shares
▲▼
Previous Portfolio Weightage (%)
Current Portfolio Weightage (%)
▲▼
Change in Weight (%)
▲▼
Type
SANDERS MORRIS HARRIS LLC0644,206+644,2060.002.95+2.95buy
VAN ECK ASSOCIATES CORP731,498847,225+115,7270.030.03+0.00buy
FRANKLIN RESOURCES INC0108,560+108,5600.000.00+0.00buy
MORGAN STANLEY89,398192,118+102,7200.000.00+0.00buy
FJ Capital Management LLC082,205+82,2050.000.21+0.21buy
Schonfeld Strategic Advisors LLC063,500+63,5000.000.01+0.01buy
COZAD ASSET MANAGEMENT INC062,370+62,3700.000.16+0.16buy
JANE STREET GROUP, LLC060,059+60,0590.000.00+0.00buy
BARCLAYS PLC64349,502+48,8590.000.00+0.00buy
HARBOR CAPITAL ADVISORS, INC.042,083+42,0830.000.14+0.14buy
Cubist Systematic Strategies, LLC037,647+37,6470.000.01+0.01buy
CITADEL ADVISORS LLC81,866117,745+35,8790.000.00+0.00buy
TWO SIGMA ADVISERS, LP351,500385,800+34,3000.020.02+0.00buy
Trexquant Investment LP033,855+33,8550.000.02+0.02buy
Beacon Pointe Advisors, LLC405,411437,389+31,9780.120.12+0.01buy
Zuckerman Investment Group, LLC613,137643,120+29,9831.881.82-0.06buy
HRT FINANCIAL LP15,98945,145+29,1560.000.01+0.00buy
COMMONWEALTH EQUITY SERVICES, LLC45,23370,201+24,9680.000.00+0.00buy
Sumitomo Mitsui Trust Group, Inc.71,78694,701+22,9150.000.00+0.00buy
Legal & General Group Plc308,987329,008+20,0210.000.00+0.00buy
TWO SIGMA INVESTMENTS, LP378,964398,721+19,7570.020.02+0.00buy
Sound Income Strategies, LLC532,307549,655+17,3481.051.02-0.03buy
DEARBORN PARTNERS LLC016,483+16,4830.000.02+0.02buy
TECTONIC ADVISORS LLC241,935256,698+14,7630.480.49+0.01buy
SUSQUEHANNA INTERNATIONAL GROUP, LLP014,167+14,1670.000.00+0.00buy
SG Americas Securities, LLC014,079+14,0790.000.00+0.00buy
BANK OF AMERICA CORP /DE/012,889+12,8890.000.00+0.00buy
FOUNDATIONS INVESTMENT ADVISORS, LLC54,55865,453+10,8950.040.04+0.01buy
Argent Trust Co68,55579,124+10,5690.080.09+0.01buy
Cetera Investment Advisers35,18045,396+10,2160.010.00-0.00buy
UBS Group AG47,18056,591+9,4110.000.00+0.00buy
Concurrent Investment Advisors, LLC08,746+8,7460.000.01+0.01buy
LPL Financial LLC145,396153,500+8,1040.000.00-0.00buy
PFG Investments, LLC08,078+8,0780.000.01+0.01buy
Advisors Asset Management, Inc.163,232171,087+7,8550.080.08+0.00buy
BENJAMIN EDWARDS INC07,753+7,7530.000.04+0.04buy
Glass Jacobson Investment Advisors llc06,975+6,9750.000.07+0.07buy
Connor, Clark & Lunn Investment Management Ltd.12,28218,546+6,2640.000.00+0.00buy
OSAIC HOLDINGS, INC.36,86842,981+6,1130.000.00+0.00buy
VIRTUS ADVISERS, LLC19,23825,319+6,0810.290.34+0.05buy
Cambridge Investment Research Advisors, Inc.28,18733,160+4,9730.000.00+0.00buy
Sunbelt Securities, Inc.19,43124,389+4,9580.060.07+0.01buy
Hodges Capital Management Inc.67,56372,376+4,8130.080.11+0.03buy
GUGGENHEIM CAPITAL LLC11,58715,965+4,3780.000.00+0.00buy
First Dallas Securities Inc.49,82753,448+3,6210.610.61+0.01buy
Cornerstone Wealth Management, LLC33,42636,600+3,1740.070.07+0.01buy
Total Clarity Wealth Management, Inc.94,06097,160+3,1000.910.84-0.07buy
Tower Research Capital LLC (TRC)1,0933,594+2,5010.000.00+0.00buy
Private Advisor Group, LLC9,87012,075+2,2050.000.00+0.00buy
JPMORGAN CHASE & CO4,3126,500+2,1880.000.00+0.00buy
Samalin Investment Counsel, LLC16,63018,435+1,8050.200.22+0.02buy
AVANTAX ADVISORY SERVICES, INC.9,47011,061+1,5910.000.00+0.00buy
CIBC Private Wealth Group LLC01,550+1,5500.000.00+0.00buy
Jump Financial, LLC49,70050,963+1,2630.040.03-0.00buy
EntryPoint Capital, LLC01,112+1,1120.000.02+0.02buy
Larson Financial Group LLC1,0002,017+1,0170.000.00+0.00buy
B. Riley Wealth Advisors, Inc.54,33155,254+9230.030.03-0.00buy
Geneos Wealth Management Inc.0600+6000.000.00+0.00buy
Aquatic Capital Management LLC17,90018,500+6000.010.02+0.00buy
Raleigh Capital Management Inc.0500+5000.000.01+0.01buy
SMH CAPITAL ADVISORS INC16,94417,348+4040.871.17+0.30buy
Beacon Capital Management, LLC0397+3970.000.00+0.00buy
Creative Planning9,89510,245+3500.000.00-0.00buy
Mariner, LLC15,82116,131+3100.000.00-0.00buy
Kestra Advisory Services, LLC43,58443,864+2800.010.01-0.00buy
HOLLENCREST CAPITAL MANAGEMENT5,6155,881+2660.010.01-0.01buy
Campbell & CO Investment Adviser LLC10,44710,695+2480.020.02+0.00buy
HARBOUR INVESTMENTS, INC.0205+2050.000.00+0.00buy
nVerses Capital, LLC0200+2000.000.01+0.01buy
Parallel Advisors, LLC4,8534,982+1290.000.00-0.00buy
CoreCap Advisors, LLC082+820.000.00+0.00buy
SIGNATUREFD, LLC2,5632,637+740.000.00-0.00buy
CWM, LLC1,0231,084+610.000.00+0.00buy
Blue Trust, Inc.464+600.000.00+0.00buy
Apollon Wealth Management, LLC20,42920,473+440.020.02-0.00buy
PRINCIPAL SECURITIES, INC.014+140.000.00+0.00buy
NBT BANK N A /NY2627+10.000.00+0.00buy
TOMPKINS FINANCIAL CORP35535500.000.00-0.00hold
NOMURA ASSET MANAGEMENT CO LTD30430400.000.00-0.00hold
GEODE CAPITAL MANAGEMENT, LLC11,25111,25100.000.00-0.00hold
EVERGREEN CAPITAL MANAGEMENT LLC9,8669,86600.010.01-0.00hold
BROWN ADVISORY INC10,70010,70000.000.00+0.00hold
TCTC Holdings, LLC2,1362,13600.000.00-0.00hold
Muzinich & Co., Inc.74,97974,97901.541.540.00hold
Capital Analysts, LLC2,4842,48400.000.00-0.00hold
QUADRANT CAPITAL GROUP LLC45645600.000.00-0.00hold
1900 WEALTH MANAGEMENT LLC18,27218,27200.040.04+0.00hold
Washington Trust Advisors, Inc.5,0005,00000.010.01+0.00hold
Abound Wealth Management575700.000.00+0.00hold
Core Wealth Partners LLC11,52011,52000.220.22-0.01hold
Financial Synergies Wealth Advisors, Inc.202000.000.00+0.00hold
HUNTINGTON NATIONAL BANK2200.000.00-0.00hold
CALDWELL SUTTER CAPITAL, INC.43,22843,22800.520.52-0.00hold
PNC FINANCIAL SERVICES GROUP, INC.15,97215,97200.000.00-0.00hold
CONCOURSE FINANCIAL GROUP SECURITIES, INC.2,0502,05000.000.00-0.00hold
DELTA ASSET MANAGEMENT LLC/TN707000.000.00-0.00hold
TOTH FINANCIAL ADVISORY CORP60060000.000.00-0.00hold
COMERICA BANK7,1157,11500.000.00-0.00hold
GRACE & WHITE INC /NY176,597176,59700.730.79+0.06hold
Venturi Wealth Management, LLC6644-220.000.00-0.00sell
Page 1 of 2