| |
| |
| Exchange: |
Nasdaq National Market |
| Security
Type: |
Common |
| Shares
Out: |
18,620,000 |
| Market
Cap: |
487.84(M) |
| Last
Volume: |
243,856 |
Avg
Vol: |
217,816 |
| 52
Week Range: |
$18.09 - $27.2 |
|
| Level
I Sector: |
Financials |
| Level
II Sector: |
Financial Services |
| Level
III Sector: |
Closed - End Fund - Equity |
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Member Indexes:
|
| |
NASDAQ COMPOSITE |
|
NASDAQ OTHER FINANCE |
| |
NASDAQ NNM COMPOSITE |
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Rankings:
|
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| Insider 3 Months : - |
| Insider 6 Months : 4 |
| Insider 3/6 Months : 4.6 |
|
| Guru Rank Number : - |
| Guru Rank Value : - |
| Guru Occurances : - |
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Company Profile Capital Southwest is an internally managed closed-end, non-diversified investment company. Co.'s investment objective is to produce risk-adjusted returns by generating current income from its debt investments and capital appreciation from its equity and equity related investments.
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D/I:
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|
D
is for direct shares.
I is
for indirect shares.
D/I
refers to the Direct or Indirect
shares traded vs. held. |
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Forms:
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|
A
Form 4 is a form filed
by an insider to indicate a change
in ownership.
A Form
3 is a form filed by
an insider to indicate an
initial ownership of a security. |
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3m +/-:
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|
This
represents the company's 3 month
price change. The initial price
is based on the closing price
of the stock on the day the transaction
took place. Purchases & sales
are viewed as long & short
positions respectively.
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Actions:
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|
| B |
Buy |
| S |
Sell |
| OE |
Option
Exercised |
| A |
Acquired |
| D |
Disposed |
| AB |
Automatic
Buy |
| AS |
Automatic
Sell |
| IO |
Initial
Ownership |
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|
Download:
|
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|
Download only Transactions
Forms. (Default)
Download
only Summary Infomation.
Download
both Transactions and Summary Data
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| |
Summary (Direct Transactions Only)  |
3 Months |
6 Months |
12 Months |
24 Months |
| Total Shares Bought |
0 |
500 |
1,000 |
3,360 |
| Total Buy Value |
$0 |
$11,645 |
$22,480 |
$67,277 |
| Total People Bought |
0 |
1 |
1 |
2 |
| Total Buy Transactions |
0 |
1 |
2 |
6 |
| Total Shares Sold |
0 |
0 |
0 |
0 |
| Total Sell Value |
$0 |
$0 |
$0 |
$0 |
| Total People Sold |
0 |
0 |
0 |
0 |
| Total Sell Transactions |
0 |
0 |
0 |
0 |
| End Date |
2024-02-18 |
2023-11-17 |
2023-05-19 |
2022-05-19 |
|
| Filer's Name |
Relation Title |
Off-Dir-10% |
Tran. Date |
Form |
Action |
Price |
Mkt Value |
D/I |
Shares |
Holdings |
Rank
|
|
|
| 3m +/- |
|
|
Form |
  Rothenberg Michael |
10% Owner |
– – • |
2017-04-03 |
4 |
S |
$16.84 |
$26,168 |
I/I |
(1,550) |
1,628,702 |
|
- |
|
| Rothenberg Michael |
10% Owner |
– – • |
2017-04-03 |
4 |
S |
$16.84 |
$26,168 |
D/D |
(1,550) |
1,526,921 |
|
- |
|
| Rothenberg Michael |
10% Owner |
– – • |
2017-03-31 |
4 |
S |
$16.84 |
$6,736 |
I/I |
(400) |
1,630,252 |
|
- |
|
| Rothenberg Michael |
10% Owner |
– – • |
2017-03-31 |
4 |
S |
$16.84 |
$6,736 |
D/D |
(400) |
1,528,471 |
|
- |
|
| Rothenberg Michael |
10% Owner |
– – • |
2017-03-29 |
4 |
S |
$16.84 |
$3,368 |
I/I |
(200) |
1,630,652 |
|
- |
|
| Rothenberg Michael |
10% Owner |
– – • |
2017-03-29 |
4 |
S |
$16.84 |
$3,368 |
D/D |
(200) |
1,528,871 |
|
- |
|
| Brooks David R |
Director |
– • – |
2017-03-14 |
4 |
B |
$15.98 |
$166,217 |
D/D |
10,400 |
20,000 |
2.39 |
- |
|
| Armes Joseph B |
Director |
– • – |
2017-03-10 |
4 |
S |
$16.52 |
$13,217 |
D/D |
(800) |
38,500 |
|
- |
|
| Armes Joseph B |
Director |
– • – |
2017-03-09 |
4 |
S |
$16.50 |
$85,804 |
D/D |
(5,200) |
39,300 |
|
- |
|
| Diehl Bowen S |
President and CEO |
• • – |
2017-03-08 |
4 |
OE |
$11.00 |
$515,641 |
D/D |
45,271 |
192,983 |
|
- |
|
| Armes Joseph B |
Director |
– • – |
2017-03-03 |
4 |
S |
$16.60 |
$141,110 |
I/I |
(8,502) |
1,000 |
|
- |
|
| Rothenberg Michael |
10% Owner |
– – • |
2017-01-13 |
4 |
S |
$16.73 |
$1,673 |
I/I |
(100) |
1,630,852 |
|
- |
|
| Rothenberg Michael |
10% Owner |
– – • |
2017-01-13 |
4 |
S |
$16.73 |
$1,673 |
D/D |
(100) |
1,529,071 |
|
- |
|
| Rothenberg Michael |
10% Owner |
– – • |
2017-01-06 |
4 |
S |
$16.80 |
$91,447 |
I/I |
(5,443) |
1,630,952 |
|
- |
|
| Rothenberg Michael |
10% Owner |
– – • |
2017-01-06 |
4 |
S |
$16.80 |
$91,447 |
D/D |
(5,443) |
1,529,171 |
|
- |
|
| Rothenberg Michael |
10% Owner |
– – • |
2017-01-04 |
4 |
S |
$16.74 |
$397,157 |
D/D |
(23,718) |
1,534,614 |
|
- |
|
| Rothenberg Michael |
10% Owner |
– – • |
2017-01-04 |
4 |
S |
$16.74 |
$397,157 |
I/I |
(23,718) |
1,636,395 |
|
- |
|
| Brooks David R |
Director |
– • – |
2016-12-14 |
4 |
B |
$15.82 |
$47,460 |
D/D |
3,000 |
9,600 |
2.39 |
- |
|
| Armes Joseph B |
Director |
– • – |
2016-12-08 |
4 |
GD |
$0.00 |
$0 |
D/D |
3,500 |
43,500 |
|
- |
|
| Kelley Douglas M. |
Sr. VP, Managing Director |
• – – |
2016-11-15 |
4 |
B |
$0.00 |
$0 |
D/D |
20,000 |
64,919 |
2.66 |
- |
|
| Ashbaugh William M |
Sr. VP, Managing Director |
• – – |
2016-11-15 |
4 |
B |
$0.00 |
$0 |
D/D |
5,000 |
44,513 |
2.66 |
- |
|
| Sarner Michael Scott |
Chief Financial Officer |
• – – |
2016-11-15 |
4 |
B |
$0.00 |
$0 |
D/D |
34,500 |
65,286 |
2.66 |
- |
|
| Diehl Bowen S |
President and CEO |
• • – |
2016-11-15 |
4 |
B |
$0.00 |
$0 |
D/D |
43,125 |
147,712 |
2.73 |
- |
|
| Morgan Thomas Duane |
Director |
– • – |
2016-11-10 |
4/A |
B |
$14.35 |
$101,885 |
I/I |
7,100 |
8,350 |
2.1 |
- |
|
| Morgan Thomas Duane |
Director |
– • – |
2016-11-10 |
4 |
B |
$14.35 |
$101,885 |
D/D |
7,100 |
11,495 |
2.39 |
- |
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501 Records found
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Page 6 of 21 |
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0.21 (0.81%) 
