Stock Trading Canary

United States · SEC Form 4 · Snapshot date: 2026-10-19 · Built: 2026-10-19 · 中文

← United States · Coverage record

US · SEC FORM 4

CAPITAL SOUTHWEST CORP

CSWC · Nasdaq · CIK 0000017313 · Closed-End Funds · Asset Management

INSIDER SIGNAL

No active buy signal

5 qualifying P purchase groups
in the current 180-day scoring window

20 Form 4 transaction lines observed in the same window
1 sales · 14 option, withholding, award, gift or other lines

Last qualifying purchase2026-10-01 · Thomas William R III · $50.0K

WHY NO ACTIVE SIGNAL?

Purchase activityPresent
Recent buying5 qualifying line group(s)
Recent salesLow
Buy signal statusInactive
Score anatomy

No score is calculated because there is no qualifying purchase in the active window. Unavailable inputs are not treated as zero or as a bearish signal.

ClusterNot calculated
Purchase sizeNot calculated
RoleNot calculated
RecencyNot calculated
ConvictionNot calculated

Why is there no score?

  • No qualifying open-market purchase supplies cluster, size, role, recency or conviction inputs.
  • Sales and other Form 4 activity remain visible as context and do not create a negative score.

Sales and other Form 4 activity are shown separately and do not create a negative buy signal. Absence of buying is not scored as bearish.

Purchase breadth & concentration

QUALIFYING BUYERS3
PURCHASE CONCENTRATION85%Largest buyer: Thomas William R III · $167.0K
CLUSTER BUYING · 15D2 insidersPeak activity: 2026-06-01–2026-06-05

Roles in the peak window: Director. Concentration uses priced qualifying P lines only and does not change the saved score.

Insider activity timeline

Owner lanes show the latest 180 days. Symbol shape identifies the transaction type; sales remain context only.

AprMayJunJulAugSepOct
Thomas William R IIIDirector
●▼○●
Rogers-Windsor Ramona LynnDirector
●●○
Weinstein Joshua S.Senior Managing Director & CIO
○○○
Sarner Michael ScottPresident and CEO
○○○
Rehberger ChrisChief Financial Officer
○○○
BATTIST CHRISTINEDirector
●○
● Purchase▼ Sale○ Other

Showing the six most active owners; 2 additional owner(s) remain in Form 4 evidence.

SIGNAL HISTORY

54.8 / 100

Latest recorded score

↑ +9.9 ptsversus the previous recorded snapshot
  1. 45.0
  2. 44.9
  3. 45.0
  4. 44.9
  5. 54.8

Only scores saved when a full US scoring run completed are shown; gaps are not reconstructed.

Recent Form 4 activity

7Purchases
1Sales
14Other Form 4 lines
15SEC filings · 365 days
BUYING5 qualifying P line(s) · 180 days
SELLING1 sale line(s) · context only
OTHER14 exercise / withholding / award / gift / other lines
10b5-1 / PLANNEDNot detected in parsed evidence

P is an open-market or private purchase. S is a sale. M, F, A and G usually describe exercises, tax withholding, awards and gifts. These categories remain visually separate.

Market context

Market context has not been captured for this ticker yet. The daily market-context job processes the US universe in rotating batches.

Short interest

Short interest is external context reported to FINRA by broker-dealers. It does not affect the Insider Signal.

Shares short
3,565,715
Previous report
4,007,000
Avg daily volume
612,068
Days to cover
5.8

FINRA settlement date: 2026-09-30 · Captured 2026-10-12 · FINRA equity short interest ↗. A share count, published about a week after each of two settlement dates a month; not a percentage of shares outstanding.

Historical equity purchases

Qualifying code P transactions in the local Form 4 history, including purchases outside the current signal window.

Transaction dateReporting ownerTypeSecuritySharesAvg. priceApprox. valueSource
2026-10-01Thomas William R IIIPurchase (P)Common Stock2,170USD 23.04USD 50,005SEC filing ↗
2026-06-30Rogers-Windsor Ramona LynnPurchase (P)Common Stock211USD 23.70USD 5,000SEC filing ↗
2026-06-17BATTIST CHRISTINEPurchase (P)Common Stock860USD 23.23USD 19,978SEC filing ↗
2026-06-05Thomas William R IIIPurchase (P)Common Stock5,000USD 23.40USD 117,000SEC filing ↗
2026-06-01Rogers-Windsor Ramona LynnPurchase (P)Common Stock213USD 23.42USD 4,988SEC filing ↗
2026-02-27Sarner Michael ScottPurchase (P)Common Stock2,695USD 21.90USD 59,013SEC filing ↗
2026-02-09BATTIST CHRISTINEPurchase (P)Common Stock600USD 23.16USD 13,896SEC filing ↗
2025-10-01Rogers-Windsor Ramona LynnPurchase (P)Common Stock463USD 21.55USD 9,978SEC filing ↗
2025-08-20BATTIST CHRISTINEPurchase (P)Common Stock667USD 22.45USD 14,974SEC filing ↗
2025-06-23Rogers-Windsor Ramona LynnPurchase (P)Common Stock471USD 21.19USD 9,980SEC filing ↗
2025-05-27BATTIST CHRISTINEPurchase (P)Common Stock476USD 20.87USD 9,934SEC filing ↗
2025-03-26Rogers-Windsor Ramona LynnPurchase (P)Common Stock450USD 22.52USD 10,134SEC filing ↗
2024-12-12Rogers-Windsor Ramona LynnPurchase (P)Common Stock250USD 22.67USD 5,668SEC filing ↗
2024-11-08BATTIST CHRISTINEPurchase (P)Common Stock256USD 23.13USD 5,921SEC filing ↗
2024-11-07Rogers-Windsor Ramona LynnPurchase (P)Common Stock500USD 23.07USD 11,535SEC filing ↗

Form 4 evidence

22 transaction lines in the latest 365-day window; 136 in local history.

DateOwnerTypeSecuritySharesAvg. priceApprox. valueSource
2026-10-01Thomas William R IIIPurchase (P)Common Stock2,170USD 23.04USD 50,005SEC filing ↗
2026-08-10Thomas William R IIIAward / grant (A)Common Stock1,989USD 0.00USD 0SEC filing ↗
2026-08-10Rogers-Windsor Ramona LynnAward / grant (A)Common Stock1,989USD 0.00USD 0SEC filing ↗
Show recent Form 4 evidence (22 grouped rows)
DateOwnerTypeSecuritySharesAvg. priceApprox. valueSource
2026-10-01Thomas William R IIIPurchase (P)Common Stock2,170USD 23.04USD 50,005SEC filing ↗
2026-08-10Thomas William R IIIAward / grant (A)Common Stock1,989USD 0.00USD 0SEC filing ↗
2026-08-10Rogers-Windsor Ramona LynnAward / grant (A)Common Stock1,989USD 0.00USD 0SEC filing ↗
2026-08-10FURST JACK DAward / grant (A)Common Stock1,989USD 0.00USD 0SEC filing ↗
2026-08-10Brooks David RAward / grant (A)Common Stock1,989USD 0.00USD 0SEC filing ↗
2026-08-10BATTIST CHRISTINEAward / grant (A)Common Stock1,989USD 0.00USD 0SEC filing ↗
2026-06-30Rogers-Windsor Ramona LynnPurchase (P)Common Stock211USD 23.70USD 5,000SEC filing ↗
2026-06-17BATTIST CHRISTINEPurchase (P)Common Stock860USD 23.23USD 19,978SEC filing ↗
2026-06-10Weinstein Joshua S.Tax withholding (F)Common Stock9,588USD 23.54USD 225,702SEC filing ↗
2026-06-10Sarner Michael ScottTax withholding (F)Common Stock11,705USD 23.54USD 275,536SEC filing ↗
2026-06-10Rehberger ChrisTax withholding (F)Common Stock3,688USD 23.54USD 86,816SEC filing ↗
2026-06-09Weinstein Joshua S.Tax withholding (F)Common Stock11,349USD 23.28USD 264,205SEC filing ↗
2026-06-09Weinstein Joshua S.Award / grant (A)Common Stock100,000USD 0.00USD 0SEC filing ↗
2026-06-09Sarner Michael ScottTax withholding (F)Common Stock13,765USD 23.28USD 320,449SEC filing ↗
2026-06-09Sarner Michael ScottAward / grant (A)Common Stock140,000USD 0.00USD 0SEC filing ↗
2026-06-09Rehberger ChrisTax withholding (F)Common Stock4,492USD 23.28USD 104,574SEC filing ↗
2026-06-09Rehberger ChrisAward / grant (A)Common Stock75,000USD 0.00USD 0SEC filing ↗
2026-06-05Thomas William R IIISale (S)Common Stock4,661USD 23.29USD 108,555SEC filing ↗
2026-06-05Thomas William R IIIPurchase (P)Common Stock5,000USD 23.40USD 117,000SEC filing ↗
2026-06-01Rogers-Windsor Ramona LynnPurchase (P)Common Stock213USD 23.42USD 4,988SEC filing ↗
2026-02-27Sarner Michael ScottPurchase (P)Common Stock2,695USD 21.90USD 59,013SEC filing ↗
2026-02-09BATTIST CHRISTINEPurchase (P)Common Stock600USD 23.16USD 13,896SEC filing ↗

Multiple price lines in one filing are grouped and share-weighted. Price and value are blank when a grouped filing line lacks price evidence.

Snapshot & identity

Snapshot date2026-10-19
Ranking versionUS-v1.2
Data qualityPASS ELIGIBLE · —
TickerCSWC
CIK0000017313
SectorClosed-End Funds
IndustryAsset Management Yahoo Finance
SEC SICInvestment company (SEC forms N-2, N-2/A)
ExchangeNasdaq

Data coverage

Local Form 4 history136 transaction lines from 2020-02-24 to 2026-10-01
52 P purchase lines · 2 S sale lines · 82 other lines
SEC company submissionsOpen SEC filings ↗

Local ledger as of 2026-10-19. Mapping status is an audit field and does not erase SEC filing evidence.