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Capital Southwest

91 hedge funds and large institutions have $148M invested in Capital Southwest in 2021 Q4 according to their latest regulatory filings, with 19 funds opening new positions, 24 increasing their positions, 26 reducing their positions, and 10 closing their positions.

New
Increased
Maintained
Reduced
Closed

90% more first-time investments, than exits

New positions opened: 19 | Existing positions closed: 10

10% more funds holding

Funds holding: 8391 (+8)

4% more call options, than puts

Call options by funds: $1.62M | Put options by funds: $1.56M

3% more capital invested

Capital invested by funds: $145M → $148M (+$3.64M)

0.48% less ownership

Funds ownership: 25.62%25.14% (-0.48%)

8% less repeat investments, than reductions

Existing positions increased: 24 | Existing positions reduced: 26

33% less funds holding in top 10

Funds holding in top 10: 32 (-1)

Holders
91
Holders Change
+8
Holders Change %
+9.64%
% of All Funds
1.4%
Holding in Top 10
2
Holding in Top 10 Change
-1
Holding in Top 10 Change %
-33.33%
% of All Funds
0.03%
New
19
Increased
24
Reduced
26
Closed
10
Calls
$1.62M
Puts
$1.56M
Net Calls
+$58K
Net Calls Change
+$1.55M
Name Holding Trade Value Shares
Change
Change in
Stake
SMH
1
Sanders Morris Harris
Texas
$18.7M -$90.7K -3,395 -0.5%
ZIG
2
Zuckerman Investment Group
Illinois
$15.4M -$115K -4,307 -0.7%
PAIM
3
Punch & Associates Investment Management
Minnesota
$12.7M +$292K +10,941 +2%
First Manhattan
4
First Manhattan
New York
$11M -$444K -16,620 -4%
VanEck Associates
5
VanEck Associates
New York
$9.58M +$1.19M +44,394 +13%
SIS
6
Sound Income Strategies
Florida
$9.47M +$105K +3,929 +1%
AAM
7
Advisors Asset Management
Colorado
$4.7M +$282K +10,557 +6%
Two Sigma Investments
8
Two Sigma Investments
New York
$4.61M -$221K -8,281 -4%
Two Sigma Advisers
9
Two Sigma Advisers
New York
$4.54M -$654K -24,500 -12%
BlackRock
10
BlackRock
New York
$4.06M +$305K +11,416 +8%
HWAM
11
Hennion & Walsh Asset Management
New Jersey
$3.64M -$142K -5,317 -4%
MCM
12
Moerus Capital Management
New York
$3.23M -$195K -7,288 -5%
Legal & General Group
13
Legal & General Group
United Kingdom
$3.12M
GWI
14
Grace & White Inc
New York
$3.05M
CIM
15
Confluence Investment Management
Missouri
$2.71M +$10.6K +398 +0.4%
MCM
16
McKinley Capital Management
Alaska
$2.5M +$1.09M +40,949 +71%
QC
17
Quadrature Capital
United Kingdom
$2.24M +$1.6M +59,760 +208%
Mackenzie Financial
18
Mackenzie Financial
Ontario, Canada
$1.65M +$3.31K +124 +0.2%
Royal Bank of Canada
19
Royal Bank of Canada
Ontario, Canada
$1.63M -$27.9K -1,043 -2%
AM
20
Ares Management
California
$1.59M
Ameriprise
21
Ameriprise
Minnesota
$1.45M +$758K +28,385 +98%
Morgan Stanley
22
Morgan Stanley
New York
$1.43M -$737K -27,592 -33%
BRWA
23
B. Riley Wealth Advisors
Florida
$1.32M -$107K -4,021 -7%
Marshall Wace
24
Marshall Wace
United Kingdom
$1.32M +$731K +27,378 +110%
TA
25
Tectonic Advisors
Texas
$1.26M +$400K +14,985 +43%

CSWC Hedge Fund Activity: Q4 2021 in Review

91 of the 6,498 institutional investors tracked by Wall St. Rank reported a position in Capital Southwest (CSWC) for Q4 2021, worth a combined $148M — up 2.5% from $145M a quarter earlier.

Buyers outnumbered sellers: 19 funds opened new CSWC positions and 10 closed out — a net gain of 9 holders — while 24 added to existing stakes and 26 trimmed.

The largest buyer was Quadrature Capital, adding an estimated $1.6M. The largest seller was Morgan Stanley, cutting an estimated $737K.

  • 91 institutional investors held Capital Southwest (CSWC) as of Q4 2021, up from 83 in Q3 2021.
  • Funds reported $148M of Capital Southwest stock for Q4 2021, up 2.5% quarter-over-quarter.
  • 19 funds opened new Capital Southwest positions in Q4 2021 and 10 closed out, a net change of +9 holders.
  • The largest Capital Southwest buyer in Q4 2021 was Quadrature Capital, an estimated $1.6M added.
  • The largest Capital Southwest seller in Q4 2021 was Morgan Stanley, an estimated $737K sold.

Based on aggregated 13F filings for Q4 2021.