Red Rocks Capital’s Capital Southwest CSWC Stock Holding History

Red Rocks Capital’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
2015 Q1	–	Sell	-1,692,868	Closed	-$23.6M	–	20
2014 Q4	$23.6M	Sell	1,692,868 -23,154	-1%	-$316K	6.38%	7
2014 Q3	$22.5M	Buy	1,716,022 +299,880	+21%	+$4.09M	6.35%	7
2014 Q2	$18.7M	Buy	1,416,142 +923,196	+187%	+$11.9M	5.16%	7
2014 Q1	$6.28M	Buy	492,946 +363,556	+281%	+$4.62M	1.86%	8
2013 Q4	$1.66M	Buy	+129,390	New	+$1.59M	0.52%	10

Other funds holding CSWC

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

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

RRAM

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

Clover Partners Dallas, Texas $43.1M AUM 4.09% 1-Year Est. Return

Advisory Research Chicago, Illinois $813M AUM 36.71% 1-Year Est. Return

ICM

ISZO Capital Management New York $2M AUM 35.61% 1-Year Est. Return

Morgan Stanley New York $1.66T AUM 25.57% 1-Year Est. Return

Bank of Montreal Toronto, Ontario, Canada $269B AUM 31.4% 1-Year Est. Return

Lazard Asset Management New York $60.8B AUM 22.47% 1-Year Est. Return

Red Rocks Capital's CSWC Position: Q1 2015 in Review

Red Rocks Capital sold out of Capital Southwest (CSWC) in Q1 2015, closing a stake of 1,692,868 shares — an estimated $23.6M sold.

Red Rocks Capital first reported a position in CSWC in Q4 2013 and held it in 5 quarters. The position peaked at $23.6M in Q4 2014. 66 funds tracked by Wall St. Rank hold CSWC as of Q1 2015.

Red Rocks Capital reported no remaining Capital Southwest position as of Q1 2015 after selling out during the quarter.
Red Rocks Capital sold 1,692,868 Capital Southwest shares in Q1 2015, an estimated $23.6M.
Red Rocks Capital first reported a position in Capital Southwest in Q4 2013 and held it in 5 quarters.
Red Rocks Capital's Capital Southwest position peaked at $23.6M in Q4 2014.
66 funds tracked by Wall St. Rank held Capital Southwest as of Q1 2015.

Based on Red Rocks Capital's 13F filing for Q1 2015, filed 15 May 2015.