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Capital Southwest
CSWC

63 hedge funds and large institutions have $178M invested in Capital Southwest in 2018 Q4 according to their latest regulatory filings, with 20 funds opening new positions, 18 increasing their positions, 15 reducing their positions, and 5 closing their positions.

New
Increased
Maintained
Reduced
Closed

300% more first-time investments, than exits

New positions opened: 20 | Existing positions closed: 5

33% more funds holding in top 10

Funds holding in top 10: 3 → 4 (+1)

31% more funds holding

Funds holding: 48 → 63 (+15)

20% more repeat investments, than reductions

Existing positions increased: 18 | Existing positions reduced: 15

5% more capital invested

Capital invested by funds: $170M → $178M (+$8.69M)

0.25% less ownership

Funds ownership: 54.69% → 54.45% (-0.25%)

Holders
63
Holders Change
+15
Holders Change %
+31.25%
% of All Funds
1.4%
Holding in Top 10
4
Holding in Top 10 Change
+1
Holding in Top 10 Change %
+33.33%
% of All Funds
0.09%
New
20
Increased
18
Reduced
15
Closed
5
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

Rank Fund Capital Flow
1
SMH
Sanders Morris Harris
Texas
+$14.7M
2
CIM
Confluence Investment Management
Missouri
+$2.2M
3
Morgan Stanley
Morgan Stanley
New York
+$1.36M
4
AL
AJO LP
Pennsylvania
+$1.32M
5
NA
Navellier & Associates
Nevada
+$1.17M

Top Sellers

Rank Fund Capital Flow
1
KCM
Kennedy Capital Management
Missouri
-$6.15M
2
MCP
Moab Capital Partners
New York
-$2.99M
3
AI
Ariel Investments
Illinois
-$2.69M
4
TAM
Third Avenue Management
New York
-$2.67M
5
New York State Common Retirement Fund
New York State Common Retirement Fund
New York
-$2.15M
Name Holding Trade Value Shares
Change 		Change in
Stake
PGAM
51
Princeton Global Asset Management
New Jersey
$46K +$46.3K +2,400 New
TRCT
52
Tower Research Capital (TRC)
New York
$37K +$33K +1,709 +715%
Russell Investments Group
53
Russell Investments Group
United Kingdom
$35K +$35.5K +1,838 New
Northwestern Mutual Wealth Management
54
Northwestern Mutual Wealth Management
Wisconsin
$19K – – –
QT
55
Quantamental Technologies
New York
$17K +$17.3K +898 New
OSNBOA
56
Old Second National Bank of Aurora
Illinois
$10K – – –
VRM
57
Vectors Research Management
New York
$10K +$9.64K +500 New
PNC Financial Services Group
58
PNC Financial Services Group
Pennsylvania
$5K +$5.32K +276 New
Bank of America
59
Bank of America
North Carolina
$3K +$270 +14 +12%
LPWM
60
Lake Point Wealth Management
Texas
$2K +$1.93K +100 New
CF
61
Centaurus Financial
California
$9 +$3.16K +164 +1,822%
TAM
62
Third Avenue Management
New York
– -$2.67M -140,574 Closed
New York State Common Retirement Fund
63
New York State Common Retirement Fund
New York
– -$2.15M -113,239 Closed
Prudential Financial
64
Prudential Financial
New Jersey
– -$506K -26,700 Closed
AM
65
Ares Management
California
– -$285K -15,000 Closed
S
66
SignatureFD
Georgia
– -$1K -29 Closed
1 2
3

CSWC Hedge Fund Activity: Q4 2018 in Review

63 of the 4,488 institutional investors tracked by Wall St. Rank reported a position in Capital Southwest (CSWC) for Q4 2018, worth a combined $178M — up 5.1% from $170M a quarter earlier.

Buyers outnumbered sellers: 20 funds opened new CSWC positions and 5 closed out — a net gain of 15 holders — while 18 added to existing stakes and 15 trimmed.

The largest buyer was Sanders Morris Harris, adding an estimated $14.7M. The largest seller was Kennedy Capital Management, cutting an estimated $6.15M.

  • 63 institutional investors held Capital Southwest (CSWC) as of Q4 2018, up from 48 in Q3 2018.
  • Funds reported $178M of Capital Southwest stock for Q4 2018, up 5.1% quarter-over-quarter.
  • 20 funds opened new Capital Southwest positions in Q4 2018 and 5 closed out, a net change of +15 holders.
  • The largest Capital Southwest buyer in Q4 2018 was Sanders Morris Harris, an estimated $14.7M added.
  • The largest Capital Southwest seller in Q4 2018 was Kennedy Capital Management, an estimated $6.15M sold.

Based on aggregated 13F filings for Q4 2018.