Horizon Kinetics’s Capital Southwest CSWC Stock Holding History

Horizon Kinetics’s Portfolio CSWC Stock Details CSWC Fund Activity

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2018 Q4	$360K	Sell	18,700 -600	-3%	-$11.6K	0.01%	278
2018 Q3	$367K	Hold	19,300	–	–	0.01%	402
2018 Q2	$350K	Buy	19,300 +1,800	+10%	+$31.4K	0.01%	406
2018 Q1	$297K	Hold	17,500	–	–	0.01%	430
2017 Q4	$289K	Hold	17,500	–	–	0.01%	432
2017 Q3	$300K	Hold	17,500	–	–	0.01%	429
2017 Q2	$281K	Sell	17,500 -200	-1%	-$3.23K	0.01%	449
2017 Q1	$299K	Hold	17,700	–	–	0.01%	443
2016 Q4	$286K	Hold	17,700	–	–	0.01%	443
2016 Q3	$260K	Hold	17,700	–	–	0.01%	457
2016 Q2	$242K	Sell	17,700 -2,100	-11%	-$29.2K	0.01%	473
2016 Q1	$275K	Sell	19,800 -1,400	-7%	-$19.6K	0.01%	464
2015 Q4	$294K	Sell	21,200 -36,549	-63%	-$535K	0.01%	445
2015 Q3	$1M	Sell	57,749 -10,896	-16%	-$192K	0.02%	193
2015 Q2	$1.26M	Hold	68,645	–	–	0.02%	199
2015 Q1	$1.17M	Buy	68,645 +50,394	+276%	+$840K	0.02%	211
2014 Q4	$254K	Buy	+18,251	New	+$249K	﹤0.01%	465

Other funds holding CSWC

PAIM

Punch & Associates Investment Management Edina, Minnesota $1.73B AUM 27.65% 1-Year Est. Return

ZIG

Zuckerman Investment Group Chicago, Illinois $1.07B AUM 29.43% 1-Year Est. Return

MCP

Moab Capital Partners Southampton, New York $41M AUM 33.21% 1-Year Est. Return

Ariel Investments Chicago, Illinois $8.93B AUM 29.58% 1-Year Est. Return

SMH

Sanders Morris Harris Houston, Texas $172M AUM 22.54% 1-Year Est. Return

RRAM

River Road Asset Management Louisville, Kentucky $8.99B AUM 12.83% 1-Year Est. Return

First Manhattan New York $36.1B AUM 11.5% 1-Year Est. Return

UBS Group Zurich, Switzerland $666B AUM 30.12% 1-Year Est. Return

AAM

Advisors Asset Management Monument, Colorado $6.01B AUM 24.74% 1-Year Est. Return

RJA

Raymond James & Associates St Petersburg, Florida $164B AUM 33.91% 1-Year Est. Return

Horizon Kinetics's CSWC Position: Q4 2018 in Review

Horizon Kinetics reduced its Capital Southwest (CSWC) stake by 3.1% in Q4 2018, selling an estimated $11.6K and leaving 18,700 shares worth $360K. The position accounts for 0.01% of the portfolio, ranked #278.

Horizon Kinetics first reported a position in CSWC in Q4 2014 and has held it in 17 quarters since. The position peaked at $1.26M in Q2 2015. 63 funds tracked by Wall St. Rank hold CSWC as of Q4 2018.

Horizon Kinetics held 18,700 shares of Capital Southwest worth $360K as of Q4 2018.
Horizon Kinetics sold 600 Capital Southwest shares in Q4 2018, an estimated $11.6K.
Capital Southwest made up 0.01% of Horizon Kinetics's portfolio in Q4 2018, its #278 holding.
Horizon Kinetics first reported a position in Capital Southwest in Q4 2014 and has held it in 17 quarters since.
Horizon Kinetics's Capital Southwest position peaked at $1.26M in Q2 2015.
63 funds tracked by Wall St. Rank held Capital Southwest as of Q4 2018.

Based on Horizon Kinetics's 13F filing for Q4 2018, filed 14 Feb 2019.