Stock Transactions — CAPITAL SOUTHWEST CORP

Total Bought
2,272,357
91 transactions
Total Sold
30,346,703
80 transactions
Net
-28,074,346
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
INCOME RESEARCH & MANAGEMENT9,242,0009,757,000+515,0002.434.70+2.27buy
Trexquant Investment LP46,630221,689+175,0590.010.05+0.04buy
VOLORIDGE INVESTMENT MANAGEMENT, LLC80,641220,367+139,7260.010.02+0.01buy
TWO SIGMA INVESTMENTS, LP761,221892,353+131,1320.030.03-0.00buy
VAN ECK ASSOCIATES CORP1,347,3001,457,146+109,8460.030.03-0.00buy
Neuberger Berman Group LLC0105,692+105,6920.000.00+0.00buy
MARSHALL WACE, LLP147,162252,245+105,0830.000.01+0.00buy
BlackRock, Inc.320,720424,388+103,6680.000.00+0.00buy
Sound Income Strategies, LLC702,201756,786+54,5850.890.82-0.06buy
Cetera Investment Advisers361,722409,967+48,2450.010.01-0.00buy
Engineers Gate Manager LP41,37988,930+47,5510.010.02+0.01buy
Sumitomo Mitsui Trust Group, Inc.172,597220,072+47,4750.000.00+0.00buy
Muzinich & Co., Inc.225,790273,265+47,4752.272.32+0.04buy
Newbridge Financial Services Group, Inc.3,17638,439+35,2630.010.13+0.11buy
SMH CAPITAL ADVISORS INC45,21576,509+31,2942.263.17+0.91buy
ENVESTNET ASSET MANAGEMENT INC335,718364,902+29,1840.000.00+0.00buy
EPIQ PARTNERS, LLC266,800295,429+28,6293.003.05+0.06buy
Columbus Macro, LLC290,704318,887+28,1830.780.79+0.01buy
Melia Wealth LLC464,973490,451+25,4784.914.69-0.21buy
DRW Securities, LLC24,98546,161+21,1760.040.05+0.01buy
FRANKLIN RESOURCES INC290,762311,230+20,4680.000.00-0.00buy
Aquatic Capital Management LLC13,32933,741+20,4120.010.01+0.01buy
Vantage Financial Partners, LLC019,918+19,9180.000.09+0.09buy
FCG Investment Co019,314+19,3140.000.20+0.20buy
GOLDMAN SACHS GROUP INC212,781231,105+18,3240.000.00-0.00buy
CANADA LIFE ASSURANCE Co51,01868,944+17,9260.000.00+0.00buy
HRT FINANCIAL LP242,080258,970+16,8900.020.02-0.00buy
JPMORGAN CHASE & CO8,42325,309+16,8860.000.00+0.00buy
RAYMOND JAMES FINANCIAL INC286,597302,853+16,2560.000.00-0.00buy
Cetera Investment Advisers016,000+16,0000.000.00+0.00buy
COMMONWEALTH EQUITY SERVICES, LLC79,78893,701+13,9130.000.00+0.00buy
Corient Private Wealth LLC013,352+13,3520.000.00+0.00buy
Sciencast Management LP013,192+13,1920.000.05+0.05buy
FOUNDATIONS INVESTMENT ADVISORS, LLC118,196130,384+12,1880.040.04+0.00buy
CAXTON ASSOCIATES LLP14,25726,267+12,0100.010.02+0.01buy
PREVAIL INNOVATIVE WEALTH ADVISORS, LLC56,39568,256+11,8610.280.29+0.01buy
TWO SIGMA ADVISERS, LP983,500994,806+11,3060.040.04-0.00buy
Virtu Financial LLC011,154+11,1540.000.01+0.01buy
ENVESTNET ASSET MANAGEMENT INC23,00034,000+11,0000.000.00+0.00buy
XTX Topco Ltd010,798+10,7980.000.01+0.01buy
Quadrature Capital Ltd010,605+10,6050.000.00+0.00buy
GSA CAPITAL PARTNERS LLP17,87428,309+10,4350.030.05+0.02buy
Centiva Capital, LP010,358+10,3580.000.02+0.02buy
Advisors Asset Management, Inc.112,511122,635+10,1240.040.05+0.00buy
CWM, LLC2,93011,652+8,7220.000.00+0.00buy
Sunbelt Securities, Inc.37,22945,100+7,8710.070.07-0.00buy
First Dallas Securities Inc.77,10284,031+6,9290.670.69+0.02buy
OSAIC HOLDINGS, INC.25,64532,252+6,6070.000.00+0.00buy
MORGAN STANLEY227,396233,743+6,3470.000.00-0.00buy
BNP PARIBAS FINANCIAL MARKETS05,763+5,7630.000.00+0.00buy
Cambridge Investment Research Advisors, Inc.28,52833,762+5,2340.000.00+0.00buy
GROUP ONE TRADING LLC05,163+5,1630.000.00+0.00buy
NORTHERN TRUST CORP45,69050,243+4,5530.000.00+0.00buy
CHILTON CAPITAL MANAGEMENT LLC03,500+3,5000.000.00+0.00buy
DEARBORN PARTNERS LLC15,78719,135+3,3480.020.02+0.00buy
VPR Management LLC2,5005,500+3,0000.030.05+0.03buy
Invesco Ltd.34,00336,792+2,7890.000.00-0.00buy
Naviter Wealth, LLC100,105102,757+2,6520.270.26-0.01buy
Mariner, LLC28,31430,835+2,5210.000.00-0.00buy
State of Alaska, Department of Revenue02,237+2,2370.000.00+0.00buy
ProShare Advisors LLC9,90911,589+1,6800.000.00+0.00buy
BENJAMIN EDWARDS INC87,76589,430+1,6650.020.02-0.00buy
Farther Finance Advisors, LLC3,6985,275+1,5770.000.00+0.00buy
Focus Partners Wealth9,27210,772+1,5000.000.00-0.00buy
Verition Fund Management LLC31,50032,962+1,4620.000.00+0.00buy
Wealthspire Advisors, LLC01,418+1,4180.000.00+0.00buy
STATE STREET CORP49,22450,598+1,3740.000.00-0.00buy
WEDBUSH SECURITIES INC11,72313,043+1,3200.010.01+0.00buy
Triumph Capital Management01,300+1,3000.000.00+0.00buy
GUGGENHEIM CAPITAL LLC24,60625,547+9410.000.00-0.00buy
SIMPLEX TRADING, LLC14,79315,577+7840.010.01-0.00buy
Apollon Wealth Management, LLC23,79724,551+7540.010.01-0.00buy
Kestra Advisory Services, LLC45,85646,539+6830.000.00-0.00buy
1620 INVESTMENT ADVISORS, INC.0650+6500.000.01+0.01buy
COZAD ASSET MANAGEMENT INC49,16149,676+5150.090.09-0.01buy
PRINCIPAL SECURITIES, INC.0462+4620.000.00+0.00buy
HighTower Advisors, LLC10,19010,575+3850.000.00-0.00buy
Samalin Investment Counsel, LLC25,86426,186+3220.220.20-0.02buy
Russell Investments Group, Ltd.0320+3200.000.00+0.00buy
EverSource Wealth Advisors, LLC2,7873,055+2680.000.00-0.00buy
Rockefeller Capital Management L.P.0225+2250.000.00+0.00buy
JFS WEALTH ADVISORS, LLC0200+2000.000.00+0.00buy
HHM Wealth Advisors, LLC500700+2000.000.00+0.00buy
HOLLENCREST CAPITAL MANAGEMENT7,0557,237+1820.010.01-0.00buy
Generali Investments CEE, investicni spolecnost, a.s.12,62812,758+1300.020.02-0.00buy
Caitong International Asset Management Co., Ltd19133+1140.000.00+0.00buy
NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO4,0004,080+800.000.00-0.00buy
Cornerstone Wealth Management, LLC43,00543,083+780.060.05-0.01buy
Capital Analysts, LLC2,6852,754+690.000.00-0.00buy
Allworth Financial LP4,6004,626+260.000.00-0.00buy
ASSETMARK, INC03+30.000.00+0.00buy
PALISADE CAPITAL MANAGEMENT, LP0000.110.11-0.00hold
MAI Capital Management3,5243,52400.000.00-0.00hold
NOMURA ASSET MANAGEMENT CO LTD2,1352,13500.000.00-0.00hold
SCHRODER INVESTMENT MANAGEMENT GROUP0000.000.00+0.00hold
ADVENT CAPITAL MANAGEMENT /DE/0000.340.34-0.01hold
TWO SIGMA INVESTMENTS, LP0000.020.02-0.00hold
GEODE CAPITAL MANAGEMENT, LLC11,25111,25100.000.00-0.00hold
MILLENNIUM MANAGEMENT LLC0000.010.01-0.00hold
WOLVERINE ASSET MANAGEMENT LLC0000.240.22-0.03hold
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