Stock Transactions — CAPITAL SOUTHWEST CORP

Total Bought
1,844,372
73 transactions
Total Sold
1,174,765
56 transactions
Net
+669,607
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
TWO SIGMA ADVISERS, LP385,800748,300+362,5000.020.04+0.02buy
Invesco Ltd.32,959344,843+311,8840.000.00+0.00buy
VAN ECK ASSOCIATES CORP847,2251,059,217+211,9920.030.04+0.01buy
TWO SIGMA INVESTMENTS, LP398,721561,678+162,9570.020.03+0.01buy
HARBOR CAPITAL ADVISORS, INC.42,083157,134+115,0510.140.31+0.18buy
Hudson Bay Capital Management LP075,215+75,2150.000.01+0.01buy
MARSHALL WACE, LLP074,253+74,2530.000.00+0.00buy
Legacy Capital Wealth Partners, LLC068,019+68,0190.000.45+0.45buy
MML INVESTORS SERVICES, LLC045,811+45,8110.000.00+0.00buy
Global Retirement Partners, LLC53139,113+38,5820.000.03+0.03buy
Waterfall Asset Management, LLC038,128+38,1280.000.69+0.69buy
LPL Financial LLC153,500181,011+27,5110.000.00+0.00buy
Muzinich & Co., Inc.74,979101,955+26,9761.542.13+0.59buy
BARCLAYS PLC49,50274,820+25,3180.000.00+0.00buy
TECTONIC ADVISORS LLC256,698280,392+23,6940.490.53+0.04buy
LBMC INVESTMENT ADVISORS, LLC018,250+18,2500.000.04+0.04buy
PINKERTON WEALTH, LLC016,649+16,6490.000.07+0.07buy
FRANKLIN RESOURCES INC108,560123,615+15,0550.000.00+0.00buy
Quantbot Technologies LP17,09030,880+13,7900.020.04+0.01buy
Mirae Asset Global Investments Co., Ltd.012,680+12,6800.000.00+0.00buy
Qube Research & Technologies Ltd012,428+12,4280.000.00+0.00buy
Prospera Financial Services Inc012,368+12,3680.000.01+0.01buy
Vident Advisory, LLC010,388+10,3880.000.01+0.01buy
GOLDMAN SACHS GROUP INC010,388+10,3880.000.00+0.00buy
Moloney Securities Asset Management, LLC09,515+9,5150.000.04+0.04buy
Legal & General Group Plc329,008338,247+9,2390.000.00+0.00buy
Concurrent Investment Advisors, LLC8,74617,377+8,6310.010.01+0.01buy
Autumn Glory Partners, LLC08,000+8,0000.000.11+0.11buy
WALTER & KEENAN WEALTH MANAGEMENT LLC /IN/ /ADV08,000+8,0000.000.07+0.07buy
Atria Wealth Solutions, Inc.07,668+7,6680.000.00+0.00buy
Melia Wealth LLC372,073379,365+7,2925.225.40+0.18buy
Sound Income Strategies, LLC549,655555,387+5,7321.020.91-0.12buy
UBS Group AG56,59162,119+5,5280.000.00+0.00buy
AVANTAX ADVISORY SERVICES, INC.11,06116,208+5,1470.000.00+0.00buy
VIRTUS ADVISERS, LLC25,31929,825+4,5060.340.38+0.05buy
Sumitomo Mitsui Trust Group, Inc.94,70198,762+4,0610.000.00+0.00buy
NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO04,000+4,0000.000.00+0.00buy
Aquatic Capital Management LLC18,50022,400+3,9000.020.02+0.01buy
Private Advisor Group, LLC12,07514,700+2,6250.000.00+0.00buy
COZAD ASSET MANAGEMENT INC62,37064,778+2,4080.160.17+0.01buy
EverSource Wealth Advisors, LLC02,250+2,2500.000.00+0.00buy
FOUNDATIONS INVESTMENT ADVISORS, LLC65,45367,403+1,9500.040.04-0.00buy
DEARBORN PARTNERS LLC16,48318,224+1,7410.020.02+0.00buy
CONFLUENCE INVESTMENT MANAGEMENT LLC95,77497,212+1,4380.030.04+0.00buy
Cornerstone Wealth Management, LLC36,60037,755+1,1550.070.08+0.00buy
GUGGENHEIM CAPITAL LLC15,96517,063+1,0980.000.00+0.00buy
GROUP ONE TRADING LLC0830+8300.000.00+0.00buy
First Dallas Securities Inc.53,44854,223+7750.610.62+0.01buy
Geneos Wealth Management Inc.6001,330+7300.000.00+0.00buy
Spire Wealth Management0600+6000.000.00+0.00buy
Redwood Wealth Management Group, LLC0581+5810.000.01+0.01buy
CANADA LIFE ASSURANCE Co27,60628,171+5650.000.00-0.00buy
PUNCH & ASSOCIATES INVESTMENT MANAGEMENT, INC.669,313669,838+5250.951.03+0.08buy
Ridgewood Investments LLC0500+5000.000.01+0.01buy
HHM Wealth Advisors, LLC0500+5000.000.00+0.00buy
Mariner, LLC16,13116,602+4710.000.00+0.00buy
Creative Planning10,24510,709+4640.000.00+0.00buy
Blue Trust, Inc.64436+3720.000.00+0.00buy
Inspire Advisors, LLC8,0318,369+3380.030.03+0.00buy
Hodges Capital Management Inc.72,37672,626+2500.110.13+0.01buy
Atlantic Edge Private Wealth Management, LLC0200+2000.000.00+0.00buy
HighTower Advisors, LLC12,05212,225+1730.000.00+0.00buy
SIGNATUREFD, LLC2,6372,807+1700.000.00+0.00buy
Glass Jacobson Investment Advisors llc6,9757,126+1510.070.07+0.00buy
HOLLENCREST CAPITAL MANAGEMENT5,8816,009+1280.010.01+0.00buy
PFG Investments, LLC8,0788,138+600.010.02+0.00buy
MATHER GROUP, LLC.056+560.000.00+0.00buy
Archer Investment Corp051+510.000.00+0.00buy
QUADRANT CAPITAL GROUP LLC456503+470.000.00+0.00buy
Apollon Wealth Management, LLC20,47320,510+370.020.02+0.00buy
Sunbelt Securities, Inc.24,38924,401+120.070.07-0.00buy
Venturi Wealth Management, LLC4455+110.000.00+0.00buy
HARBOUR INVESTMENTS, INC.205209+40.000.00+0.00buy
NOMURA ASSET MANAGEMENT CO LTD30430400.000.00-0.00hold
BARD ASSOCIATES INC18,18018,18000.160.18+0.02hold
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
Focus Partners Wealth8,8798,87900.000.00-0.00hold
Capital Analysts, LLC2,4842,48400.000.00-0.00hold
Parallel Advisors, LLC4,9824,98200.000.00-0.00hold
Moerus Capital Management LLC82,09782,09700.640.77+0.13hold
1900 WEALTH MANAGEMENT LLC18,27218,27200.040.04+0.00hold
Washington Trust Advisors, Inc.5,0005,00000.010.01+0.00hold
Raleigh Capital Management Inc.50050000.010.01+0.00hold
Abound Wealth Management575700.000.00+0.00hold
Core Wealth Partners LLC11,52011,52000.220.21-0.01hold
Gen-Wealth Partners Inc19019000.000.00+0.00hold
HUNTINGTON NATIONAL BANK2200.000.00+0.00hold
CALDWELL SUTTER CAPITAL, INC.43,22843,22800.520.56+0.04hold
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
NBT BANK N A /NY272700.000.00+0.00hold
COMERICA BANK7,1157,11500.000.00+0.00hold
GRACE & WHITE INC /NY176,597176,59700.790.87+0.07hold
PRINCIPAL SECURITIES, INC.140-140.000.00-0.00sell
Financial Synergies Wealth Advisors, Inc.200-200.000.00-0.00sell
CWM, LLC1,0841,024-600.000.00-0.00sell
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