Weinstein Joshua S. 4

What Happened
Joshua S. Weinstein, Senior Managing Director and Chief Investment Officer of Capital Southwest Corporation (CSWC), was granted 100,000 restricted shares under the company's 2021 Employee Restricted Stock Award Plan and had approximately 20,937 shares withheld/sold to cover tax liabilities. The withholding sales occurred on 2026-06-09 (11,349 shares at $23.28, proceeds $264,205) and 2026-06-10 (9,588 shares at $23.54, proceeds $225,702). The award is an acquisition (grant) and the withholdings represent routine tax-related dispositions.

Key Details

• Transaction dates and prices:
  • 2026-06-09: 11,349 shares withheld/sold at $23.28 — $264,205 proceeds
  • 2026-06-09: 100,000 restricted shares granted at $0.00 (award)
  • 2026-06-10: 9,588 shares withheld/sold at $23.54 — $225,702 proceeds
• Total withheld/sold: ~20,937 shares for approximately $489,907 in proceeds.
• Shares owned after transaction: not specified in the provided filing excerpt.
• Footnotes:
  • F1: Shares were withheld to pay tax liability upon vesting of restricted shares; withholding/sale was approved by the Compensation Committee and is exempt from Section 16(b) under Rule 16b-3(e).
  • F2: Shares issued under the Capital Southwest Corporation 2021 Employee Restricted Stock Award Plan.
• Filing timeliness: Form 4 was filed on 2026-06-10 for transactions on 2026-06-09 and 06-10, which is within the usual 2-business-day reporting window.

Context
This was primarily a restricted stock grant (an acquisition) combined with routine tax-withholding sales (cashless withholding) to satisfy tax obligations on vesting. Such withholding transactions are common and do not necessarily indicate a change in the insider’s view of the company.