Shares Held by Insiders

Fully Diluted Shares Held by Insiders

Date

Name

Buy/Sell

$ Value

# Shares

Avg. Price

Title

President and CEO

Chief Financial Officer

Senior Managing Director

Capital Southwest Corporation is a business development company specializing in credit and private equity and venture capital investments in middle market companies, mezzanine, later stage, mature, late venture, emerging growth, buyouts, recapitalizations and growth capital investments. It does not invest in startups, publicly traded companies, real estate developments, project finance opportunities, oil and gas exploration businesses, troubled companies, turnarounds, and companies in which significant senior management is departing. In lower middle market, the firm typically invests in growth financing, bolt-on acquisitions, new platform acquisitions, refinancing, dividend recapitalizations, sponsor-led buyouts, and management buyouts situations. The investment structures are Unitranche debt, subordinated debt, senior debt, first and second lien debt, and preferred and common equity. The firm makes equity co-investments alongside debt investments, up to 20% of total check and only makes non-control investments. It prefers to invest in Industrial manufacturing and services, value-added distribution, healthcare products and services, business services, specialty chemicals, food and beverage, tech-enabled services and SaaS models. The firm seeks to invest in energy services and products, industrial technologies, and specialty chemicals and products. Within energy services and products, the firm seeks to invest in each segment of the industry, including upstream, midstream and downstream, excluding exploration and production with a focus on differentiated products and services, equipment and tool rental, consumable products, and drilling and completion chemicals. Within industrial technologies, it seeks to invest in automation and process controls, handling and packaging equipment, industrial filtration and fluid handling, measurement, monitoring and testing, professional tools, and sensors and instrumentation. Within and specialty chemicals and products, the firm seeks to invest in businesses that develop and manufacture highly differentiated chemicals and products including adhesives, coatings and sealants, catalysts and absorbents, cosmeceuticals, fine chemicals, flavors and fragrances, performance lubricants, polymers, plastics and composites, chemical dispensing and filtration equipment, professional and industrial trade consumables and tools, engineered solutions for HVAC, plumbing, and electrical installations, specified high performance materials for fire protection and oilfield applications. It may also invest in exceptional opportunities in building products. The firm seeks to invest in the United States. The firm seeks to make investments ranging from $5 to $25 million in securities. It seeks to make equity investments ranging from $5 million to $50 million and debt investments between $5 million and $20 million and co-invest in transaction size up to $40 million. It prefers to invest in companies with revenues approaching above $10 million, profitable operations, historical growth rate of at least 15 percent per year. Within the lower middle market, it seeks to invest in with less than $15 million in EBITDA and also opportunistically invests in the upper middle market, generally defined as companies with EBITDA in excess of $50 million. In addition to making direct investments, the firm allocates capital to syndicated first and second lien term loans in the upper middle market. Criteria for Upper Middle Market Syndicated 1st Lien is EBITDA Size more than $30 million, Closing Leverage greater than 4 times, investment hold size between $5 million and $7 million, investment yield greater than 6.5%. Criteria for Upper Middle Market Syndicated 2nd Lien is EBITDA Size more than $50 million, Closing Leverage greater than 6 times, investment hold size between $5 million and $7 million, investment yield greater than 9%. It prefers to take a majority and minority stake. The firm has the flexibility to hold investments for very 

Capital Southwest Corporation is a business development company specializing in credit and private equity and venture capital investments ...

Datesorted ascending	Name	Buy/Sell	$ Value	# Shares	Avg. Price	Title
2023-12-21	Premium	bought	Premium	Premium	Premium	-
2023-11-15	Premium	sold (taxes)	Premium	Premium	Premium	President and CEO
2023-11-15	Premium	sold (taxes)	Premium	Premium	Premium	Chief Financial Officer
2023-11-15	Premium	sold (taxes)	Premium	Premium	Premium	Senior Managing Director
2023-11-02	Premium	bought	Premium	Premium	Premium	-
2023-08-10	Premium	acquired	Premium	Premium	Premium	-
2023-08-10	Premium	acquired	Premium	Premium	Premium	-
2023-08-10	Premium	acquired	Premium	Premium	Premium	-
2023-08-10	Premium	acquired	Premium	Premium	Premium	-
2023-08-10	Premium	acquired	Premium	Premium	Premium	-
2023-06-10	Premium	sold (taxes)	Premium	Premium	Premium	Senior Managing Director
2023-06-10	Premium	sold (taxes)	Premium	Premium	Premium	Chief Financial Officer
2023-06-10	Premium	sold (taxes)	Premium	Premium	Premium	President and CEO
2023-06-09	Premium	acquired	Premium	Premium	Premium	Chief Financial Officer
2023-06-09	Premium	acquired	Premium	Premium	Premium	Senior Managing Director
2023-06-09	Premium	acquired	Premium	Premium	Premium	President and CEO
2023-02-06	Premium	bought	Premium	Premium	Premium	-
2022-11-15	Premium	sold (taxes)	Premium	Premium	Premium	Senior Managing Director
2022-11-15	Premium	sold (taxes)	Premium	Premium	Premium	Chief Financial Officer
2022-11-15	Premium	sold (taxes)	Premium	Premium	Premium	President and CEO
2022-11-04	Premium	bought	Premium	Premium	Premium	-
2022-11-03	Premium	bought	Premium	Premium	Premium	-
2022-08-10	Premium	acquired	Premium	Premium	Premium	-
2022-08-10	Premium	acquired	Premium	Premium	Premium	-
2022-08-10	Premium	acquired	Premium	Premium	Premium	-

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