Stock Transactions — CAPITAL SOUTHWEST CORP

Total Bought
8,493,502
79 transactions
Total Sold
4,549,915
69 transactions
Net
+3,943,587
shares
Filing Period:Transaction:
FundPrevious Shares
Current Shares
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Change in Shares
▲▼
Previous Portfolio Weightage (%)
Current Portfolio Weightage (%)
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Change in Weight (%)
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Type
SSI INVESTMENT MANAGEMENT LLC02,500,000+2,500,0000.170.18+0.01buy
TWO SIGMA INVESTMENTS, LP1,049,3822,349,648+1,300,2660.030.04+0.01buy
SANDERS MORRIS HARRIS LLC01,111,173+1,111,1730.003.90+3.90buy
VICTORY CAPITAL MANAGEMENT INC13,235,00014,110,000+875,0000.010.01+0.00buy
Empowered Funds, LLC0619,098+619,0980.000.09+0.09buy
Empirical Finance, LLC0618,866+618,8660.000.64+0.64buy
PANORAMIC INVESTMENT ADVISORS, LLC0515,525+515,5250.003.18+3.18buy
AMERIPRISE FINANCIAL INC20,106105,475+85,3690.000.00+0.00buy
BALYASNY ASSET MANAGEMENT L.P.13,41090,908+77,4980.000.00+0.00buy
Truvestments Capital LLC072,746+72,7460.000.29+0.29buy
FRANKLIN RESOURCES INC262,299329,121+66,8220.000.00+0.00buy
BNP PARIBAS FINANCIAL MARKETS056,578+56,5780.000.00+0.00buy
Legal & General Group Plc389,580443,138+53,5580.000.00+0.00buy
UBS Group AG817,148854,131+36,9830.000.00-0.00buy
AlphaCore Capital LLC030,996+30,9960.000.02+0.02buy
HRT FINANCIAL LP63,14593,416+30,2710.000.01+0.00buy
Cetera Investment Advisers424,631452,698+28,0670.010.01+0.00buy
Greenland Capital Management LP026,000+26,0000.000.11+0.11buy
Naviter Wealth, LLC99,245124,570+25,3250.290.34+0.06buy
Arlington Capital Management, Inc.021,565+21,5650.000.27+0.27buy
OXFORD ASSET MANAGEMENT LLP019,172+19,1720.000.17+0.17buy
Cambridge Investment Research Advisors, Inc.38,07955,815+17,7360.000.00+0.00buy
Engineers Gate Manager LP017,597+17,5970.000.00+0.00buy
Sound Income Strategies, LLC885,967903,329+17,3620.990.96-0.04buy
LPL Financial LLC214,780231,713+16,9330.000.00+0.00buy
ENVESTNET ASSET MANAGEMENT INC386,138402,926+16,7880.000.00-0.00buy
Inspire Advisors, LLC014,608+14,6080.000.03+0.03buy
XTX Topco Ltd013,313+13,3130.000.01+0.01buy
OCCUDO QUANTITATIVE STRATEGIES LP012,877+12,8770.000.02+0.02buy
Melia Wealth LLC502,988515,478+12,4905.155.52+0.37buy
Kestra Advisory Services, LLC44,37856,864+12,4860.000.00+0.00buy
Columbus Macro, LLC345,520357,781+12,2610.840.85+0.01buy
Mariner, LLC20,05631,895+11,8390.000.00+0.00buy
CONFLUENCE INVESTMENT MANAGEMENT LLC83,81095,339+11,5290.030.03+0.00buy
DRW Securities, LLC011,165+11,1650.000.01+0.01buy
Focus Partners Wealth010,960+10,9600.000.00+0.00buy
Creative Planning09,938+9,9380.000.00+0.00buy
CWM, LLC11,76721,621+9,8540.000.00+0.00buy
Squarepoint Ops LLC09,637+9,6370.000.00+0.00buy
EAGLE GLOBAL ADVISORS LLC09,350+9,3500.000.01+0.01buy
COZAD ASSET MANAGEMENT INC52,38059,867+7,4870.090.10+0.01buy
MILLENNIUM MANAGEMENT LLC197,168204,548+7,3800.000.00+0.00buy
STATE STREET CORP62,50769,062+6,5550.000.00+0.00buy
Hennion & Walsh Asset Management, Inc.57,91363,745+5,8320.040.05+0.00buy
FOUNDATIONS INVESTMENT ADVISORS, LLC129,848135,453+5,6050.040.04-0.00buy
Legacy Capital Wealth Partners, LLC66,21871,174+4,9560.310.32+0.01buy
Advisors Asset Management, Inc.103,463108,400+4,9370.040.04+0.00buy
PNC FINANCIAL SERVICES GROUP, INC.1,5664,654+3,0880.000.00+0.00buy
Burk Holdings LLC03,068+3,0680.000.03+0.03buy
Weiss Asset Management LP442,852+2,8080.000.00+0.00buy
CENTRAL TRUST Co02,700+2,7000.000.00+0.00buy
Hodges Capital Management Inc.108,462110,275+1,8130.210.20-0.00buy
GUGGENHEIM CAPITAL LLC27,46129,217+1,7560.000.01+0.00buy
Beacon Pointe Advisors, LLC195,018196,768+1,7500.030.02-0.01buy
Wilmington Savings Fund Society, FSB01,600+1,6000.000.00+0.00buy
Sunbelt Securities, Inc.35,50037,030+1,5300.050.05-0.00buy
Symphony Financial, Ltd. Co.39,44140,969+1,5280.120.12+0.00buy
EPIQ PARTNERS, LLC310,965312,326+1,3613.213.23+0.02buy
Elequin Capital, LP01,177+1,1770.000.00+0.00buy
JANE STREET GROUP, LLC77,93778,975+1,0380.000.00-0.00buy
Muzinich & Co., Inc.425,322426,243+9212.963.30+0.34buy
Tower Research Capital LLC (TRC)0802+8020.000.00+0.00buy
Quarry LP2801,030+7500.000.00+0.00buy
SIGNATUREFD, LLC2,6633,409+7460.000.00+0.00buy
Allworth Financial LP4,8455,588+7430.000.00+0.00buy
NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO4,0004,409+4090.000.00+0.00buy
ProShare Advisors LLC10,94411,330+3860.000.00-0.00buy
JONES FINANCIAL COMPANIES LLLP8041,156+3520.000.00+0.00buy
Brevan Howard Capital Management LP21,31421,618+3040.010.00-0.00buy
Beaird Harris Wealth Management, LLC0197+1970.000.00+0.00buy
HighTower Advisors, LLC9,6389,747+1090.000.00-0.00buy
B. Riley Wealth Advisors, Inc.69,67569,760+850.070.10+0.02buy
Capital Analysts, LLC2,8302,903+730.000.00-0.00buy
ASSETMARK, INC327+240.000.00+0.00buy
Accel Wealth Management12,49512,508+130.080.07-0.00buy
NBT BANK N A /NY2233+110.000.00+0.00buy
Archer Investment Corp138142+40.000.00-0.00buy
PMV Capital Advisers, LLC02+20.000.00+0.00buy
CITIGROUP INC01+10.000.00+0.00buy
HBK INVESTMENTS L P0000.000.13+0.13hold
MAI Capital Management3,0513,05100.000.00-0.00hold
&PARTNERS229,000229,00000.000.00-0.00hold
SCHRODER INVESTMENT MANAGEMENT GROUP0000.010.01+0.00hold
ADVENT CAPITAL MANAGEMENT /DE/0000.170.22+0.05hold
WEDBUSH SECURITIES INC16,37816,37800.010.01-0.00hold
INCOME RESEARCH & MANAGEMENT10,127,00010,127,00005.256.12+0.87hold
BNP PARIBAS FINANCIAL MARKETS0000.000.00+0.00hold
AQR Arbitrage LLC0000.100.14+0.05hold
TWO SIGMA INVESTMENTS, LP0000.010.01-0.01hold
GEODE CAPITAL MANAGEMENT, LLC11,25111,25100.000.00+0.00hold
PRINCIPAL SECURITIES, INC.0000.000.00-0.00hold
MILLENNIUM MANAGEMENT LLC0000.020.03+0.01hold
WOLVERINE ASSET MANAGEMENT LLC0000.210.23+0.02hold
Context Capital Management, LLC0000.350.13-0.21hold
North Star Investment Management Corp.1,0251,02500.000.00-0.00hold
Weiss Asset Management LP0000.020.19+0.17hold
Amtrust Financial Services, Inc.0000.530.19-0.34hold
State of Alaska, Department of Revenue2,2372,23700.000.00+0.00hold
ENVESTNET ASSET MANAGEMENT INC49,00049,00000.000.00-0.00hold
AEGON USA Investment Management, LLC0000.130.15+0.02hold
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