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Capital Southwest
CSWC

63 hedge funds and large institutions have $307M invested in Capital Southwest in 2014 Q4 according to their latest regulatory filings, with 11 funds opening new positions, 15 increasing their positions, 23 reducing their positions, and 9 closing their positions.

New
Increased
Maintained
Reduced
Closed

50% more funds holding in top 10

Funds holding in top 10: 2 → 3 (+1)

22% more first-time investments, than exits

New positions opened: 11 | Existing positions closed: 9

6% more capital invested

Capital invested by funds: $290M → $307M (+$17.6M)

0% more funds holding

Funds holding: 63 → 63 (0)

35% less repeat investments, than reductions

Existing positions increased: 15 | Existing positions reduced: 23

Holders
63
Holders Change
–
Holders Change %
0%
% of All Funds
1.68%
Holding in Top 10
3
Holding in Top 10 Change
+1
Holding in Top 10 Change %
+50%
% of All Funds
0.08%
New
11
Increased
15
Reduced
23
Closed
9
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

Rank Fund Capital Flow
1
Lazard Asset Management
Lazard Asset Management
New York
+$11.3M
2
Comerica Bank
Comerica Bank
Texas
+$10.6M
3
RRAM
River Road Asset Management
Kentucky
+$7.83M
4
First Manhattan
First Manhattan
New York
+$5.17M
5
Boston Partners
Boston Partners
Massachusetts
+$2.89M

Top Sellers

Rank Fund Capital Flow
1
Dimensional Fund Advisors
Dimensional Fund Advisors
Texas
-$25.5M
2
T. Rowe Price Associates
T. Rowe Price Associates
Maryland
-$16.2M
3
BCM
Bridgeway Capital Management
Texas
-$1.4M
4
SMDAM
Sumitomo Mitsui DS Asset Management
Japan
-$1.36M
5
Goldman Sachs
Goldman Sachs
New York
-$834K
Name Holding Trade Value Shares
Change 		Change in
Stake
BCM
26
Bares Capital Management
Texas
$1.38M -$59.8K -4,386 -4%
Millennium Management
27
Millennium Management
New York
$1.3M +$181K +13,315 +17%
D.E. Shaw & Co
28
D.E. Shaw & Co
New York
$1.02M +$647K +47,495 +186%
SMDAM
29
Sumitomo Mitsui DS Asset Management
Japan
$989K -$1.36M -99,535 -58%
KCM
30
Kennedy Capital Management
Missouri
$819K +$574K +42,102 +252%
Northern Trust
31
Northern Trust
Illinois
$589K +$173K +12,713 +43%
SGAM
32
Steinberg Global Asset Management
Florida
$568K -$66.3K -4,863 -11%
HC
33
Highmount Capital
New York
$555K – – –
WS
34
Wedbush Securities
California
$537K -$25.2K -1,852 -5%
EHC
35
Everett Harris & Co
California
$521K +$510K +37,401 New
LTFS
36
Ladenburg Thalmann Financial Services
Florida
$520K +$115K +8,449 +29%
CS
37
Credit Suisse
Switzerland
$516K +$505K +37,087 New
ACI
38
AMP Capital Investors
Australia
$495K -$316K -23,154 -39%
HCM
39
Hodges Capital Management
Texas
$474K +$241K +17,706 +108%
SBH
40
Segall Bryant & Hamill
Illinois
$404K -$198K -14,535 -33%
Cambridge Investment Research Advisors
41
Cambridge Investment Research Advisors
Iowa
$395K – – –
Bank of America
42
Bank of America
North Carolina
$379K -$59.4K -4,358 -14%
Arrowstreet Capital
43
Arrowstreet Capital
Massachusetts
$365K – – –
Fisher Asset Management
44
Fisher Asset Management
Washington
$364K – – –
Deutsche Bank
45
Deutsche Bank
Germany
$359K +$352K +25,837 New
WKWM
46
Walter & Keenan Wealth Management
Indiana
$303K – – –
VKH
47
Virtu KCG Holdings
New York
$269K +$263K +19,294 New
HK
48
Horizon Kinetics
New York
$254K +$249K +18,251 New
AG
49
Aperio Group
California
$225K -$49.2K -3,609 -18%
Two Sigma Advisers
50
Two Sigma Advisers
New York
$216K +$211K +15,491 New
1
2
3

CSWC Hedge Fund Activity: Q4 2014 in Review

63 of the 3,749 institutional investors tracked by Wall St. Rank reported a position in Capital Southwest (CSWC) for Q4 2014, worth a combined $307M — up 6.1% from $290M a quarter earlier.

Buyers outnumbered sellers: 11 funds opened new CSWC positions and 9 closed out — a net gain of 2 holders — while 15 added to existing stakes and 23 trimmed.

The largest buyer was Lazard Asset Management, opening a new position worth an estimated $11.3M. The largest seller was Dimensional Fund Advisors, exiting entirely with an estimated $25.5M sold.

  • 63 institutional investors held Capital Southwest (CSWC) as of Q4 2014, unchanged from Q3 2014.
  • Funds reported $307M of Capital Southwest stock for Q4 2014, up 6.1% quarter-over-quarter.
  • 11 funds opened new Capital Southwest positions in Q4 2014 and 9 closed out, a net change of +2 holders.
  • The largest Capital Southwest buyer in Q4 2014 was Lazard Asset Management, an estimated $11.3M added.
  • The largest Capital Southwest seller in Q4 2014 was Dimensional Fund Advisors, an estimated $25.5M sold.

Based on aggregated 13F filings for Q4 2014.