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Capital Southwest
CSWC

71 hedge funds and large institutions have $250M invested in Capital Southwest in 2013 Q4 according to their latest regulatory filings, with 8 funds opening new positions, 25 increasing their positions, 22 reducing their positions, and 10 closing their positions.

New
Increased
Maintained
Reduced
Closed

100% more funds holding in top 10

Funds holding in top 10: 1 → 2 (+1)

14% more repeat investments, than reductions

Existing positions increased: 25 | Existing positions reduced: 22

3% more capital invested

Capital invested by funds: $243M → $250M (+$7.02M)

3% less funds holding

Funds holding: 73 → 71 (-2)

20% less first-time investments, than exits

New positions opened: 8 | Existing positions closed: 10

Holders
71
Holders Change
-2
Holders Change %
-2.74%
% of All Funds
2.06%
Holding in Top 10
2
Holding in Top 10 Change
+1
Holding in Top 10 Change %
+100%
% of All Funds
0.06%
New
8
Increased
25
Reduced
22
Closed
10
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

Rank Fund Capital Flow
1
RRC
Red Rocks Capital
Colorado
+$1.59M
2
ZIG
Zuckerman Investment Group
Illinois
+$1.3M
3
AI
Ariel Investments
Illinois
+$1.26M
4
SMDAM
Sumitomo Mitsui DS Asset Management
Japan
+$895K
5
TC
TFS Capital
Pennsylvania
+$795K

Top Sellers

Rank Fund Capital Flow
1
Goldman Sachs
Goldman Sachs
New York
-$1.33M
2
BG
BlackRock Group
United Kingdom
-$1.14M
3
BIT
BlackRock Institutional Trust
California
-$529K
4
Deutsche Bank
Deutsche Bank
Germany
-$526K
5
PCM
Palisade Capital Management
New Jersey
-$513K
Name Holding Trade Value Shares
Change 		Change in
Stake
Goldman Sachs
26
Goldman Sachs
New York
$1.45M -$1.33M -108,540 -49%
BCM
27
Bridgeway Capital Management
Texas
$1.38M +$8.35K +681 +0.6%
AI
28
Ariel Investments
Illinois
$1.32M +$1.26M +102,899 New
PAM
29
Panagora Asset Management
Massachusetts
$1.2M +$192K +15,652 +20%
BCM
30
Bares Capital Management
Texas
$1.1M – – –
TC
31
TFS Capital
Pennsylvania
$1.09M +$795K +64,840 +321%
SMDAM
32
Sumitomo Mitsui DS Asset Management
Japan
$933K +$895K +72,949 New
California State Teachers Retirement System (CalSTRS)
33
California State Teachers Retirement System (CalSTRS)
California
$850K +$6.69K +545 +0.8%
SO
34
STRS Ohio
Ohio
$802K -$110K -8,989 -13%
AllianceBernstein
35
AllianceBernstein
Tennessee
$716K -$50.1K -4,086 -7%
TA
36
Teachers Advisors
New York
$697K +$49.8K +4,059 +8%
Charles Schwab
37
Charles Schwab
California
$670K – – –
ZCM
38
Zebra Capital Management
Connecticut
$649K +$622K +50,696 New
RhumbLine Advisers
39
RhumbLine Advisers
Massachusetts
$617K -$40.1K -3,268 -6%
SBH
40
Segall Bryant & Hamill
Illinois
$558K – – –
WS
41
Wedbush Securities
California
$553K +$96.9K +7,900 +22%
VOYA Investment Management
42
VOYA Investment Management
Georgia
$519K – – –
HC
43
Highmount Capital
New York
$511K – – –
NFA
44
Nationwide Fund Advisors
Ohio
$452K -$5.08K -414 -1%
Allianz Asset Management
45
Allianz Asset Management
Germany
$417K +$399K +32,549 New
Geode Capital Management
46
Geode Capital Management
Massachusetts
$409K +$55.9K +4,560 +17%
MLICM
47
Metropolitan Life Insurance Company (MetLife)
New York
$399K – – –
Swiss National Bank
48
Swiss National Bank
Switzerland
$366K – – –
SGAM
49
Steinberg Global Asset Management
Florida
$338K – – –
Fisher Asset Management
50
Fisher Asset Management
Washington
$335K – – –
1
2
3 4

CSWC Hedge Fund Activity: Q4 2013 in Review

71 of the 3,445 institutional investors tracked by Wall St. Rank reported a position in Capital Southwest (CSWC) for Q4 2013, worth a combined $250M — up 2.9% from $243M a quarter earlier.

Sellers outnumbered buyers: 10 funds closed out of CSWC and 8 opened new positions — a net loss of 2 holders — while 22 trimmed existing stakes and 25 added.

The largest buyer was Red Rocks Capital, opening a new position worth an estimated $1.59M. The largest seller was Goldman Sachs, cutting an estimated $1.33M.

  • 71 institutional investors held Capital Southwest (CSWC) as of Q4 2013, down from 73 in Q3 2013.
  • Funds reported $250M of Capital Southwest stock for Q4 2013, up 2.9% quarter-over-quarter.
  • 8 funds opened new Capital Southwest positions in Q4 2013 and 10 closed out, a net change of -2 holders.
  • The largest Capital Southwest buyer in Q4 2013 was Red Rocks Capital, an estimated $1.59M added.
  • The largest Capital Southwest seller in Q4 2013 was Goldman Sachs, an estimated $1.33M sold.

Based on aggregated 13F filings for Q4 2013.