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Capital Southwest
CSWC

64 hedge funds and large institutions have $64.1M invested in Capital Southwest in 2020 Q1 according to their latest regulatory filings, with 12 funds opening new positions, 23 increasing their positions, 17 reducing their positions, and 26 closing their positions.

New
Increased
Maintained
Reduced
Closed

35% more repeat investments, than reductions

Existing positions increased: 23 | Existing positions reduced: 17

8.57% less ownership

Funds ownership: 43.05% → 34.47% (-8.6%)

20% less funds holding

Funds holding: 80 → 64 (-16)

54% less first-time investments, than exits

New positions opened: 12 | Existing positions closed: 26

60% less capital invested

Capital invested by funds: $161M → $64.1M (-$96.7M)

67% less funds holding in top 10

Funds holding in top 10: 3 → 1 (-2)

100% less call options, than puts

Call options by funds: $0 | Put options by funds: $246K

Holders
64
Holders Change
-16
Holders Change %
-20%
% of All Funds
1.41%
Holding in Top 10
1
Holding in Top 10 Change
-2
Holding in Top 10 Change %
-66.67%
% of All Funds
0.02%
New
12
Increased
23
Reduced
17
Closed
26
Calls
–
Puts
$246K
Net Calls
-$246K
Net Calls Change
-$246K

Top Buyers

Rank Fund Capital Flow
1
AM
Ares Management
California
+$4.45M
2
RCM
Radcliffe Capital Management
Pennsylvania
+$1.36M
3
D.E. Shaw & Co
D.E. Shaw & Co
New York
+$1.05M
4
Two Sigma Advisers
Two Sigma Advisers
New York
+$954K
5
Susquehanna International Group
Susquehanna International Group
Pennsylvania
+$538K

Top Sellers

Rank Fund Capital Flow
1
MCP
Moab Capital Partners
New York
-$5.33M
2
UBS Group
UBS Group
Switzerland
-$4.11M
3
ZIG
Zuckerman Investment Group
Illinois
-$3.84M
4
Marshall Wace
Marshall Wace
United Kingdom
-$3.15M
5
NA
Navellier & Associates
Nevada
-$2.52M
Name Holding Trade Value Shares
Change 		Change in
Stake
HH
26
Hilltop Holdings
Texas
$493K -$176K -9,725 -18%
Northern Trust
27
Northern Trust
Illinois
$482K +$615 +34 +0.1%
Morgan Stanley
28
Morgan Stanley
New York
$335K -$323K -17,866 -38%
RIG
29
Roosevelt Investment Group
New York
$311K +$312K +17,235 +172%
Mariner
30
Mariner
Kansas
$308K +$305K +16,871 New
Cambridge Investment Research Advisors
31
Cambridge Investment Research Advisors
Iowa
$290K +$109 +6 +0%
Two Sigma Investments
32
Two Sigma Investments
New York
$272K -$285K -15,750 -40%
California Public Employees Retirement System
33
California Public Employees Retirement System
California
$271K +$77.8K +4,300 +22%
HKAM
34
Horizon Kinetics Asset Management
New York
$212K -$1.81K -100 -0.5%
CG
35
Colony Group
Massachusetts
$204K – – –
BA
36
Bard Associates
Illinois
$203K – – –
WS
37
Wedbush Securities
California
$202K – – –
WGA
38
Weather Gauge Advisory
Virginia
$191K +$3.42K +189 +1%
US Bancorp
39
US Bancorp
Minnesota
$179K +$283K +15,631 +22,654%
LPL Financial
40
LPL Financial
California
$161K -$58.3K -3,220 -19%
GIM
41
Greenwich Investment Management
Connecticut
$161K +$3.17K +175 +1%
CAG
42
Csenge Advisory Group
Florida
$136K +$20.5K +1,131 +11%
Brown Advisory
43
Brown Advisory
Maryland
$122K – – –
Osaic Holdings
44
Osaic Holdings
Arizona
$97K +$154K +8,532 New
Victory Capital Management
45
Victory Capital Management
Texas
$70K +$110K +6,064 New
JP Morgan Chase
46
JP Morgan Chase
New York
$66K +$23.3K +1,288 +29%
Canada Life
47
Canada Life
Manitoba, Canada
$64K +$3.27K +181 +3%
PNC Financial Services Group
48
PNC Financial Services Group
Pennsylvania
$31K +$48.4K +2,672 New
CAN
49
Claraphi Advisory Network
United States
$25K +$39.4K +2,176 New
TRCT
50
Tower Research Capital (TRC)
New York
$22K -$3.27K -181 -9%
1
2
3 4

CSWC Hedge Fund Activity: Q1 2020 in Review

64 of the 4,538 institutional investors tracked by Wall St. Rank reported a position in Capital Southwest (CSWC) for Q1 2020, worth a combined $64.1M — down 60% from $161M a quarter earlier.

Sellers outnumbered buyers: 26 funds closed out of CSWC and 12 opened new positions — a net loss of 14 holders — while 17 trimmed existing stakes and 23 added.

The largest buyer was Ares Management, opening a new position worth an estimated $4.45M. The largest seller was Moab Capital Partners, exiting entirely with an estimated $5.33M sold.

  • 64 institutional investors held Capital Southwest (CSWC) as of Q1 2020, down from 80 in Q4 2019.
  • Funds reported $64.1M of Capital Southwest stock for Q1 2020, down 60% quarter-over-quarter.
  • 12 funds opened new Capital Southwest positions in Q1 2020 and 26 closed out, a net change of -14 holders.
  • The largest Capital Southwest buyer in Q1 2020 was Ares Management, an estimated $4.45M added.
  • The largest Capital Southwest seller in Q1 2020 was Moab Capital Partners, an estimated $5.33M sold.

Based on aggregated 13F filings for Q1 2020.