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Capital Southwest
CSWC

80 hedge funds and large institutions have $161M invested in Capital Southwest in 2019 Q4 according to their latest regulatory filings, with 21 funds opening new positions, 22 increasing their positions, 23 reducing their positions, and 8 closing their positions.

New
Increased
Maintained
Reduced
Closed

163% more first-time investments, than exits

New positions opened: 21 | Existing positions closed: 8

16% more funds holding

Funds holding: 69 → 80 (+11)

4% less repeat investments, than reductions

Existing positions increased: 22 | Existing positions reduced: 23

2.82% less ownership

Funds ownership: 45.87% → 43.05% (-2.8%)

9% less capital invested

Capital invested by funds: $177M → $161M (-$16.2M)

25% less funds holding in top 10

Funds holding in top 10: 4 → 3 (-1)

Holders
80
Holders Change
+11
Holders Change %
+15.94%
% of All Funds
1.58%
Holding in Top 10
3
Holding in Top 10 Change
-1
Holding in Top 10 Change %
-25%
% of All Funds
0.06%
New
21
Increased
22
Reduced
23
Closed
8
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

Rank Fund Capital Flow
1
VanEck Associates
VanEck Associates
New York
+$3.88M
2
Marshall Wace
Marshall Wace
United Kingdom
+$3.27M
3
Millennium Management
Millennium Management
New York
+$2.07M
4
SMH
Sanders Morris Harris
Texas
+$1.02M
5
VEA
Virtus ETF Advisers
New York
+$876K

Top Sellers

Rank Fund Capital Flow
1
MCP
Moab Capital Partners
New York
-$11M
2
PAIM
Punch & Associates Investment Management
Minnesota
-$4.95M
3
AI
Ariel Investments
Illinois
-$1.45M
4
OAM
Oxford Asset Management
United Kingdom
-$1.26M
5
NA
Navellier & Associates
Nevada
-$1.06M
Name Holding Trade Value Shares
Change 		Change in
Stake
AR
26
Advisory Research
Illinois
$1.1M -$80.8K -3,732 -7%
HH
27
Hilltop Holdings
Texas
$1.1M -$47.6K -2,200 -4%
Russell Investments Group
28
Russell Investments Group
United Kingdom
$1.01M -$2.16K -100 -0.2%
Morgan Stanley
29
Morgan Stanley
New York
$982K +$332K +15,327 +48%
Northern Trust
30
Northern Trust
Illinois
$877K +$736 +34 +0.1%
Two Sigma Investments
31
Two Sigma Investments
New York
$823K -$159K -7,330 -16%
Squarepoint
32
Squarepoint
New York
$729K +$248K +11,463 +49%
Citadel Advisors
33
Citadel Advisors
Florida
$681K -$60.2K -2,784 -8%
Wells Fargo
34
Wells Fargo
California
$634K +$95K +4,391 +17%
Cambridge Investment Research Advisors
35
Cambridge Investment Research Advisors
Iowa
$529K +$151 +7 +0%
MWNA
36
Marshall Wace North America
New York
$478K +$497K +22,982 New
Susquehanna International Group
37
Susquehanna International Group
Pennsylvania
$456K -$129K -5,944 -21%
California Public Employees Retirement System
38
California Public Employees Retirement System
California
$404K +$420K +19,400 New
SSA
39
Schonfeld Strategic Advisors
New York
$397K +$413K +19,100 New
HKAM
40
Horizon Kinetics Asset Management
New York
$389K – – –
CG
41
Colony Group
Massachusetts
$373K – – –
BA
42
Bard Associates
Illinois
$370K -$7.57K -350 -2%
WS
43
Wedbush Securities
California
$368K -$23.8K -1,100 -6%
LPL Financial
44
LPL Financial
California
$361K +$376K +17,359 New
WGA
45
Weather Gauge Advisory
Virginia
$344K +$3.79K +175 +1%
GIM
46
Greenwich Investment Management
Connecticut
$290K – – –
LTFS
47
Ladenburg Thalmann Financial Services
Florida
$274K +$7.08K +327 +3%
TI
48
Trexquant Investment
Connecticut
$274K +$285K +13,163 New
Geode Capital Management
49
Geode Capital Management
Massachusetts
$241K – – –
BAM
50
Belpointe Asset Management
Nevada
$238K -$132K -6,110 -35%
1
2
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CSWC Hedge Fund Activity: Q4 2019 in Review

80 of the 5,075 institutional investors tracked by Wall St. Rank reported a position in Capital Southwest (CSWC) for Q4 2019, worth a combined $161M — down 9.1% from $177M a quarter earlier.

Buyers outnumbered sellers: 21 funds opened new CSWC positions and 8 closed out — a net gain of 13 holders — while 22 added to existing stakes and 23 trimmed.

The largest buyer was VanEck Associates, opening a new position worth an estimated $3.88M. The largest seller was Moab Capital Partners, cutting an estimated $11M.

  • 80 institutional investors held Capital Southwest (CSWC) as of Q4 2019, up from 69 in Q3 2019.
  • Funds reported $161M of Capital Southwest stock for Q4 2019, down 9.1% quarter-over-quarter.
  • 21 funds opened new Capital Southwest positions in Q4 2019 and 8 closed out, a net change of +13 holders.
  • The largest Capital Southwest buyer in Q4 2019 was VanEck Associates, an estimated $3.88M added.
  • The largest Capital Southwest seller in Q4 2019 was Moab Capital Partners, an estimated $11M sold.

Based on aggregated 13F filings for Q4 2019.