| Filed | As-Of/On | Form | Fullname | Fund Class | Shares | Activity | Shares Change | Shares Pct. Change | Hypothetical Old Value | Hypothetical New Value | Hypothetical Value Chg. | Hypotheticals Return |
Hypotheticals Results |
Director |
Other |
Ten Pct |
Officer |
Officer Title |
News Article |
History |
|---|
| 2009-11-18 | 2009-09-30 | 13F-HR | Jane Street Holding Llc | Institution | 13,236 | New Holding | 13,236 | 100 % | $1,025,790 | $1,012,554 | $-13,236 | -1.29 % | $-13,236 | | | | | | News Article | History of Jane Street Holding Llc Ownership Of Capital Southwest Corp |
| 2009-11-17 | 2009-09-30 | 13F-HR/A | Amvescap Plc | Institution | 16,990 | Sold Some | -19,403 | -53.31 % | $1,323,861 | $1,299,735 | $-24,126 | -1.82 % | $27,552 | | | | | | News Article | History of Amvescap Plc Ownership Of Capital Southwest Corp |
| 2009-11-17 | 2009-09-30 | 13F-HR/A | Credit Suisse First Boston | Institution | | Sold All | -4,583 | -100 % | | | | -1.82 % | $6,508 | | | | | | News Article | History of Credit Suisse First Boston Ownership Of Capital Southwest Corp |
| 2009-11-16 | 2009-09-30 | 13F-HR | American International Group Inc | Institution | 2,399 | No Change | 0 | 0 % | $187,890 | $183,524 | $-4,366 | -2.32 % | $0 | | | | | | News Article | History of American International Group Inc Ownership Of Capital Southwest Corp |
| 2009-11-16 | 2009-09-30 | 13F-HR | Centaur Capital Partners Lp | No Data | 27,400 | New Holding | 27,400 | 100 % | $2,145,968 | $2,096,100 | $-49,868 | -2.32 % | $-49,868 | | | | | | News Article | History of Centaur Capital Partners Lp Ownership Of Capital Southwest Corp |
| 2009-11-16 | 2009-09-30 | 13F-HR | Concert Wealth Management Inc | No Data | 400 | Added More | 200 | 100.00 % | $31,328 | $30,600 | $-728 | -2.32 % | $-364 | | | | | | News Article | History of Concert Wealth Management Inc Ownership Of Capital Southwest Corp |
| 2009-11-16 | 2009-09-30 | 13F-HR | Morgan Stanley | Institution | 85,058 | Added More | 860 | 1.02 % | $6,661,743 | $6,506,937 | $-154,806 | -2.32 % | $-1,565 | | | | | | News Article | History of Morgan Stanley Ownership Of Capital Southwest Corp |
| 2009-11-16 | 2009-09-30 | 13F-HR | Northern Trust Corp | Institution | 36,728 | Added More | 6,938 | 23.28 % | $2,876,537 | $2,809,692 | $-66,845 | -2.32 % | $-12,627 | | | | | | News Article | History of Northern Trust Corp Ownership Of Capital Southwest Corp |
| 2009-11-16 | 2009-09-30 | 13F-HR/A | Oppenheimer Funds Inc | Institution | 100 | No Change | 0 | 0 % | $7,832 | $7,650 | $-182 | -2.32 % | $0 | | | | | | News Article | History of Oppenheimer Funds Inc Ownership Of Capital Southwest Corp |
| 2009-11-16 | 2009-09-30 | 13F-HR | Shaw D E And Co Inc | Institution | 2,716 | Sold Some | -78 | -2.79 % | $212,717 | $207,774 | $-4,943 | -2.32 % | $142 | | | | | | News Article | History of Shaw D E And Co Inc Ownership Of Capital Southwest Corp |
| 2009-11-16 | 2009-09-30 | 13F-HR | Two Sigma Investments Llc | Institution | 8,600 | New Holding | 8,600 | 100 % | $673,552 | $657,900 | $-15,652 | -2.32 % | $-15,652 | | | | | | News Article | History of Two Sigma Investments Llc Ownership Of Capital Southwest Corp |
| 2009-11-16 | 2009-09-30 | 13F-HR | Us Bancorp De | Institution | 213 | No Change | 0 | 0 % | $16,682 | $16,295 | $-388 | -2.32 % | $0 | | | | | | News Article | History of Us Bancorp De Ownership Of Capital Southwest Corp |
| 2009-11-13 | 2009-09-30 | 13F-HR | Alps Advisers Inc | Institution | | Sold All | -9,178 | -100 % | | | | -1.17 % | $8,352 | | | | | | News Article | History of Alps Advisers Inc Ownership Of Capital Southwest Corp |
| 2009-11-13 | 2009-09-30 | 13F-HR | Asset Management Investors Llc | Institution | 86,270 | Added More | 28,550 | 49.46 % | $6,678,161 | $6,599,655 | $-78,506 | -1.17 % | $-25,981 | | | | | | News Article | History of Asset Management Investors Llc Ownership Of Capital Southwest Corp |
| 2009-11-13 | 2009-09-30 | 13F-HR | Axa | Institution | 5,024 | Sold Some | -983 | -16.36 % | $388,908 | $384,336 | $-4,572 | -1.17 % | $895 | | | | | | News Article | History of Axa Ownership Of Capital Southwest Corp |
| 2009-11-13 | 2009-09-30 | 13F-HR | Barclays Plc | Institution | 2,413 | Added More | 113 | 4.91 % | $186,790 | $184,595 | $-2,196 | -1.17 % | $-103 | | | | | | News Article | History of Barclays Plc Ownership Of Capital Southwest Corp |
| 2009-11-13 | 2009-09-30 | 13F-HR | Bragg Financial Advisors Inc | Institution | 2,985 | No Change | 0 | 0 % | $231,069 | $228,353 | $-2,716 | -1.17 % | $0 | | | | | | News Article | History of Bragg Financial Advisors Inc Ownership Of Capital Southwest Corp |
| 2009-11-13 | 2009-09-30 | 13F-HR | Gartmore Mutual Fund Capital Trust | Institution | 312 | Sold Some | -3,859 | -92.51 % | $24,152 | $23,868 | $-284 | -1.17 % | $3,512 | | | | | | News Article | History of Gartmore Mutual Fund Capital Trust Ownership Of Capital Southwest Corp |
| 2009-11-13 | 2009-09-30 | 13F-HR | Goldman Sachs Group Inc | Institution | 19,638 | Sold Some | -2,806 | -12.50 % | $1,520,178 | $1,502,307 | $-17,871 | -1.17 % | $2,553 | | | | | | News Article | History of Goldman Sachs Group Inc Ownership Of Capital Southwest Corp |
| 2009-11-13 | 2009-09-30 | 13F-HR | Panagora Asset Management Inc | Institution | 169 | New Holding | 169 | 100 % | $13,082 | $12,929 | $-154 | -1.17 % | $-154 | | | | | | News Article | History of Panagora Asset Management Inc Ownership Of Capital Southwest Corp |
| 2009-11-13 | 2009-09-30 | 13F-HR | Price T Rowe Associates Inc | Institution | 118,250 | No Change | 0 | 0 % | $9,153,733 | $9,046,125 | $-107,608 | -1.17 % | $0 | | | | | | News Article | History of Price T Rowe Associates Inc Ownership Of Capital Southwest Corp |
| 2009-11-13 | 2009-09-30 | 13F-HR | Rbc Dain Rauscher Inc | Institution | 439 | New Holding | 439 | 100 % | $33,983 | $33,584 | $-399 | -1.17 % | $-399 | | | | | | News Article | History of Rbc Dain Rauscher Inc Ownership Of Capital Southwest Corp |
| 2009-11-13 | 2009-09-30 | 13F-HR | Renaissance Technologies Corp | Institution | 11,200 | Sold Some | -3,700 | -24.83 % | $866,992 | $856,800 | $-10,192 | -1.17 % | $3,367 | | | | | | News Article | History of Renaissance Technologies Corp Ownership Of Capital Southwest Corp |
| 2009-11-13 | 2009-09-30 | 13F-HR | Segall Bryant And Hamill | Institution | 4,000 | No Change | 0 | 0 % | $309,640 | $306,000 | $-3,640 | -1.17 % | $0 | | | | | | News Article | History of Segall Bryant And Hamill Ownership Of Capital Southwest Corp |
| 2009-11-13 | 2009-09-30 | 13F-HR | Sg Americas Securities Llc | Institution | 5,497 | Added More | 1,640 | 42.52 % | $425,523 | $420,521 | $-5,002 | -1.17 % | $-1,492 | | | | | | News Article | History of Sg Americas Securities Llc Ownership Of Capital Southwest Corp |
| 2009-11-13 | 2009-09-30 | 13F-HR | Third Avenue Management Llc | Institution | 119,194 | Sold Some | -5,327 | -4.27 % | $9,226,808 | $9,118,341 | $-108,467 | -1.17 % | $4,848 | | | | | | News Article | History of Third Avenue Management Llc Ownership Of Capital Southwest Corp |
| 2009-11-13 | 2009-09-30 | 13F-HR | Vanguard Group Inc | Institution | 99,774 | Added More | 1,387 | 1.40 % | $7,723,505 | $7,632,711 | $-90,794 | -1.17 % | $-1,262 | | | | | | News Article | History of Vanguard Group Inc Ownership Of Capital Southwest Corp |
| 2009-11-13 | 2009-09-30 | 13F-HR | Zs Crossover Management Llc | Institution | 69,420 | Sold Some | -16,580 | -19.27 % | $5,373,802 | $5,310,630 | $-63,172 | -1.17 % | $15,088 | | | | | | News Article | History of Zs Crossover Management Llc Ownership Of Capital Southwest Corp |
| 2009-11-12 | 2009-09-30 | 13F-HR | Barclays Global Investors Uk Holdings Ltd | Institution | 119,389 | Added More | 19,532 | 19.55 % | $9,251,454 | $9,133,259 | $-118,195 | -1.27 % | $-19,337 | | | | | | News Article | History of Barclays Global Investors Uk Holdings Ltd Ownership Of Capital Southwest Corp |
| 2009-11-12 | 2009-09-30 | 13F-HR/A | Ing Investment Management Co | Institution | 1,200 | Added More | 250 | 26.31 % | $92,988 | $91,800 | $-1,188 | -1.27 % | $-248 | | | | | | News Article | History of Ing Investment Management Co Ownership Of Capital Southwest Corp |
| 2009-11-12 | 2009-09-30 | 13F-HR | Merrill Lynch And Co Inc | Institution | | Sold All | -500 | -100 % | | | | -1.27 % | $495 | | | | | | News Article | History of Merrill Lynch And Co Inc Ownership Of Capital Southwest Corp |
| 2009-11-12 | 2009-09-30 | 13F-HR | Mfc Global Investment Management Usa Ltd | Institution | 2,729 | New Holding | 2,729 | 100 % | $211,470 | $208,769 | $-2,702 | -1.27 % | $-2,702 | | | | | | News Article | History of Mfc Global Investment Management Usa Ltd Ownership Of Capital Southwest Corp |
| 2009-11-12 | 2009-09-30 | 13F-HR | Padco Advisors Ii Inc | Institution | 96 | Sold Some | -3 | -3.03 % | $7,439 | $7,344 | $-95 | -1.27 % | $3 | | | | | | News Article | History of Padco Advisors Ii Inc Ownership Of Capital Southwest Corp |
| 2009-11-12 | 2009-09-30 | 13F-HR | Padco Advisors Inc | Institution | 133 | Added More | 63 | 90.00 % | $10,306 | $10,175 | $-132 | -1.27 % | $-62 | | | | | | News Article | History of Padco Advisors Inc Ownership Of Capital Southwest Corp |
| 2009-11-12 | 2009-09-30 | 13F-HR | Russell Frank Co | Institution | | Sold All | -1,156 | -100 % | | | | -1.27 % | $1,144 | | | | | | News Article | History of Russell Frank Co Ownership Of Capital Southwest Corp |
| 2009-11-12 | 2009-09-30 | 13F-HR | T2 Partners Management Lp | Institution | 3,400 | New Holding | 3,400 | 100 % | $263,466 | $260,100 | $-3,366 | -1.27 % | $-3,366 | | | | | | News Article | History of T2 Partners Management Lp Ownership Of Capital Southwest Corp |
| 2009-11-12 | 2009-09-30 | 13F-HR | Voyageur Asset Management Inc | Institution | 5,200 | No Change | 0 | 0 % | $402,948 | $397,800 | $-5,148 | -1.27 % | $0 | | | | | | News Article | History of Voyageur Asset Management Inc Ownership Of Capital Southwest Corp |
| 2009-11-10 | 2009-09-30 | 13F-HR | Harris Associates L P | Institution | 19,508 | No Change | 0 | 0 % | $1,477,341 | $1,492,362 | $15,021 | 1.01 % | $0 | | | | | | News Article | History of Harris Associates L P Ownership Of Capital Southwest Corp |
| 2009-11-10 | 2009-09-30 | 13F-HR | Tesseract Capital Llc | No Data | | Sold All | -287 | -100 % | | | | 1.01 % | $-221 | | | | | | News Article | History of Tesseract Capital Llc Ownership Of Capital Southwest Corp |
| 2009-11-10 | 2009-09-30 | 13F-HR | Ubs Ag | Institution | 100 | No Change | 0 | 0 % | $7,573 | $7,650 | $77 | 1.01 % | $0 | | | | | | News Article | History of Ubs Ag Ownership Of Capital Southwest Corp |
| 2009-11-10 | 2009-08-31 | N-CSRS | Morgan Stanley Special Growth Fund - None | Specialty & Misc | 1,405 | Sold Some | -89 | -5.95 % | $106,401 | $107,483 | $1,082 | 1.01 % | $-69 | | | | | | News Article | History of Morgan Stanley Special Growth Fund - None Ownership Of Capital Southwest Corp |
| 2009-11-06 | 2009-09-30 | 13F-HR | Leucadia National Corp | Institution | 19,776 | New Holding | 19,776 | 100 % | $1,526,114 | $1,512,864 | $-13,250 | -0.86 % | $-13,250 | | | | | | News Article | History of Leucadia National Corp Ownership Of Capital Southwest Corp |
| 2009-11-06 | 2009-09-30 | 13F-HR | Metropolitan Life Insurance Co | Institution | 3,036 | No Change | 0 | 0 % | $234,288 | $232,254 | $-2,034 | -0.86 % | $0 | | | | | | News Article | History of Metropolitan Life Insurance Co Ownership Of Capital Southwest Corp |
| 2009-11-06 | 2009-09-30 | 13F-HR | Pnc Financial Services Group Inc | Institution | 107 | Sold Some | -33 | -23.57 % | $8,257 | $8,186 | $-72 | -0.86 % | $22 | | | | | | News Article | History of Pnc Financial Services Group Inc Ownership Of Capital Southwest Corp |
| 2009-11-06 | 2009-09-30 | 13F-HR | Schwab Charles Investment Management Inc | Institution | 866 | No Change | 0 | 0 % | $66,829 | $66,249 | $-580 | -0.86 % | $0 | | | | | | News Article | History of Schwab Charles Investment Management Inc Ownership Of Capital Southwest Corp |
| 2009-11-06 | 2009-09-30 | 13F-HR | Teachers Advisors Inc | Institution | 2,573 | No Change | 0 | 0 % | $198,558 | $196,835 | $-1,724 | -0.86 % | $0 | | | | | | News Article | History of Teachers Advisors Inc Ownership Of Capital Southwest Corp |
| 2009-11-06 | 2009-09-30 | 13F-HR | Tiaa Cref Investment Management Llc | Institution | 17,068 | No Change | 0 | 0 % | $1,317,138 | $1,305,702 | $-11,436 | -0.86 % | $0 | | | | | | News Article | History of Tiaa Cref Investment Management Llc Ownership Of Capital Southwest Corp |
| 2009-11-04 | 2009-09-30 | 13F-HR | Highmount Capital Llc | No Data | 3,662 | No Change | 0 | 0 % | $266,850 | $280,143 | $13,293 | 4.98 % | $0 | | | | | | News Article | History of Highmount Capital Llc Ownership Of Capital Southwest Corp |
| 2009-11-02 | 2009-09-30 | 13F-HR | Montag A And Associates Inc | Institution | 3,248 | No Change | 0 | 0 % | $236,552 | $248,472 | $11,920 | 5.03 % | $0 | | | | | | News Article | History of Montag A And Associates Inc Ownership Of Capital Southwest Corp |
| 2009-10-30 | 2009-09-30 | 13F-HR | Oxford Asset Management | Institution | | Sold All | -4,401 | -100 % | | | | 3.01 % | $-9,858 | | | | | | News Article | History of Oxford Asset Management Ownership Of Capital Southwest Corp |
| 2009-10-30 | 2009-08-31 | N-Q | Fidelity Commonwealth Trust - Fidelity Nasdaq Composite Index Tracking Stock | Specialty & Misc | 195 | No Compare | | | $14,481 | $14,918 | $437 | 3.01 % | | | | | | | News Article | History of Fidelity Commonwealth Trust - Fidelity Nasdaq Composite Index Tracking Stock Ownership Of Capital Southwest Corp |
| 2009-10-30 | 2009-08-31 | N-CSR | Vanguard World Fund - Vanguard Financials Index Fund | Specialty & Misc | 952 | Sold Some | -82 | -7.93 % | $70,696 | $72,828 | $2,132 | 3.01 % | $-184 | | | | | | News Article | History of Vanguard World Fund - Vanguard Financials Index Fund Ownership Of Capital Southwest Corp |
| 2009-10-29 | 2009-09-30 | 13F-HR | Dimensional Fund Advisors Inc | Institution | 171,444 | Sold Some | -1,480 | -0.85 % | $12,650,853 | $13,115,466 | $464,613 | 3.67 % | $-4,011 | | | | | | News Article | History of Dimensional Fund Advisors Inc Ownership Of Capital Southwest Corp |
| 2009-10-29 | 2009-08-31 | N-Q | Usaa Mutual Funds Trust - Cornerstone Strategy Fund | Specialty & Misc | | Sold All | -600 | -100 % | | | | 3.67 % | $-1,626 | | | | | | News Article | History of Usaa Mutual Funds Trust - Cornerstone Strategy Fund Ownership Of Capital Southwest Corp |
| 2009-10-29 | 2009-08-31 | N-Q | Usaa Mutual Funds Trust - Growth Fund | Multi-Cap Growth | | Sold All | -100 | -100 % | | | | 3.67 % | $-271 | | | | | | News Article | History of Usaa Mutual Funds Trust - Growth Fund Ownership Of Capital Southwest Corp |
| 2009-10-29 | 2009-08-31 | N-Q | Valic Co I - Small Cap Index Fund | Small-Cap Core | 2,399 | New Holding | 2,399 | 100 % | $177,022 | $183,524 | $6,501 | 3.67 % | $6,501 | | | | | | News Article | History of Valic Co I - Small Cap Index Fund Ownership Of Capital Southwest Corp |
| 2009-10-27 | 2009-09-30 | 13F-HR | First Manhattan Co | Institution | 177,028 | Sold Some | -17,668 | -9.07 % | $13,500,155 | $13,542,642 | $42,487 | 0.31 % | $-4,240 | | | | | | News Article | History of First Manhattan Co Ownership Of Capital Southwest Corp |
| 2009-10-26 | 2009-09-30 | 13F-HR | Grace And White Inc | Institution | 31,072 | Added More | 500 | 1.63 % | $2,403,419 | $2,377,008 | $-26,411 | -1.09 % | $-425 | | | | | | News Article | History of Grace And White Inc Ownership Of Capital Southwest Corp |
| 2009-10-26 | 2009-08-31 | N-Q | Tdax Funds Inc - Tdax Independence 2010 Exchange-Traded Fund | Mixed-Asset Target 2010 Funds | | Sold All | -37 | -100 % | | | | -1.09 % | $31 | | | | | | News Article | History of Tdax Funds Inc - Tdax Independence 2010 Exchange-Traded Fund Ownership Of Capital Southwest Corp |
| 2009-10-26 | 2009-08-31 | N-Q | Tdax Funds Inc - Tdax Independence 2020 Exchange-Traded Fund | Mixed-Asset Target 2020 Funds | | Sold All | -231 | -100 % | | | | -1.09 % | $196 | | | | | | News Article | History of Tdax Funds Inc - Tdax Independence 2020 Exchange-Traded Fund Ownership Of Capital Southwest Corp |
| 2009-10-26 | 2009-08-31 | N-Q | Tdax Funds Inc - Tdax Independence 2030 Exchange-Traded Fund | Mixed-Asset Target 2030 Funds | | Sold All | -256 | -100 % | | | | -1.09 % | $218 | | | | | | News Article | History of Tdax Funds Inc - Tdax Independence 2030 Exchange-Traded Fund Ownership Of Capital Southwest Corp |
| 2009-10-26 | 2009-08-31 | N-Q | Tdax Funds Inc - Tdax Independence 2040 Exchange-Traded Fund | Mixed-Asset Target 2030+ Funds | | Sold All | -287 | -100 % | | | | -1.09 % | $244 | | | | | | News Article | History of Tdax Funds Inc - Tdax Independence 2040 Exchange-Traded Fund Ownership Of Capital Southwest Corp |
| 2009-10-26 | 2009-08-31 | N-Q | Tdax Funds Inc - Tdax Independence In-Target Exchange-Traded Fund | Specialty & Misc | | Sold All | -30 | -100 % | | | | -1.09 % | $26 | | | | | | News Article | History of Tdax Funds Inc - Tdax Independence In-Target Exchange-Traded Fund Ownership Of Capital Southwest Corp |
| 2009-10-22 | 2009-09-30 | 13F-HR | Blackrock Group Ltd | Institution | 700 | No Change | 0 | 0 % | $54,719 | $53,550 | $-1,169 | -2.13 % | $0 | | | | | | News Article | History of Blackrock Group Ltd Ownership Of Capital Southwest Corp |
| 2009-10-22 | 2009-09-30 | 13F-HR | Blackrock Inc | No Data | | Sold All | -700 | -100 % | | | | -2.13 % | $1,169 | | | | | | News Article | History of Blackrock Inc Ownership Of Capital Southwest Corp |
| 2009-10-22 | 2009-09-30 | 13F-HR | Blackrock Investment Management Llc | Institution | 5,892 | Added More | 1,045 | 21.55 % | $460,578 | $450,738 | $-9,840 | -2.13 % | $-1,745 | | | | | | News Article | History of Blackrock Investment Management Llc Ownership Of Capital Southwest Corp |
| 2009-10-21 | 2009-09-30 | 13F-HR | Bank Of New York Mellon Corp | Institution | 7,745 | Sold Some | -2,112 | -21.42 % | $597,604 | $592,493 | $-5,112 | -0.85 % | $1,394 | | | | | | News Article | History of Bank Of New York Mellon Corp Ownership Of Capital Southwest Corp |
| 2009-10-21 | 2009-09-30 | 13F-HR | Fisher Asset Management Llc | Institution | 2,847 | No Change | 0 | 0 % | $219,675 | $217,796 | $-1,879 | -0.85 % | $0 | | | | | | News Article | History of Fisher Asset Management Llc Ownership Of Capital Southwest Corp |
| 2009-10-21 | 2009-09-30 | 13F-HR | State Board Of Administration Of Florida Retirement System | Institution | 3,474 | New Holding | 3,474 | 100 % | $268,054 | $265,761 | $-2,293 | -0.85 % | $-2,293 | | | | | | News Article | History of State Board Of Administration Of Florida Retirement System Ownership Of Capital Southwest Corp |
| 2009-10-19 | 2009-09-30 | 13F-HR | Strs Ohio | Institution | 4,000 | Sold Some | -1,100 | -21.56 % | $306,960 | $306,000 | $-960 | -0.31 % | $264 | | | | | | News Article | History of Strs Ohio Ownership Of Capital Southwest Corp |
| 2009-10-15 | 2009-09-30 | 13F-HR | Harris Financial Corp | Institution | 2,827 | No Change | 0 | 0 % | $217,509 | $216,266 | $-1,244 | -0.57 % | $0 | | | | | | News Article | History of Harris Financial Corp Ownership Of Capital Southwest Corp |
| 2009-10-15 | 2009-09-30 | 13F-HR | Public Employees Retirement System Of Ohio | Institution | 3,614 | No Change | 0 | 0 % | $278,061 | $276,471 | $-1,590 | -0.57 % | $0 | | | | | | News Article | History of Public Employees Retirement System Of Ohio Ownership Of Capital Southwest Corp |
| 2009-10-09 | 2009-09-30 | 13F-HR | Professional Advisory Services Inc | Institution | 3,375 | No Change | 0 | 0 % | $259,403 | $258,188 | $-1,215 | -0.46 % | $0 | | | | | | News Article | History of Professional Advisory Services Inc Ownership Of Capital Southwest Corp |
| 2009-10-08 | 2009-09-30 | 13F-HR | Rhumbline Advisers | Institution | 5,998 | Sold Some | -478 | -7.38 % | $458,007 | $458,847 | $840 | 0.18 % | $-67 | | | | | | News Article | History of Rhumbline Advisers Ownership Of Capital Southwest Corp |
| 2009-10-02 | 2009-07-31 | N-CSR | Usaa Mutual Funds Trust - Growth Fund | Multi-Cap Growth | 100 | New Holding | 100 | 100 % | $7,490 | $7,650 | $160 | 2.13 % | $160 | | | | | | News Article | History of Usaa Mutual Funds Trust - Growth Fund Ownership Of Capital Southwest Corp |
| 2009-09-29 | 2009-07-31 | N-Q | Dfa Investment Dimensions Group Inc - International Core Equity Portfolio | International Small-Mid-Cap Value | 7,633 | No Change | 0 | 0 % | $566,979 | $583,925 | $16,945 | 2.98 % | $0 | | | | | | News Article | History of Dfa Investment Dimensions Group Inc - International Core Equity Portfolio Ownership Of Capital Southwest Corp |
| 2009-09-29 | 2009-07-31 | N-Q | Dfa Investment Dimensions Group Inc - International Vector Equity Portfolio | No Data | 2,400 | No Change | 0 | 0 % | $178,272 | $183,600 | $5,328 | 2.98 % | $0 | | | | | | News Article | History of Dfa Investment Dimensions Group Inc - International Vector Equity Portfolio Ownership Of Capital Southwest Corp |
| 2009-09-29 | 2009-07-31 | N-Q | Dfa Investment Dimensions Group Inc - Va International Value Portfolio | Multi-Cap Value | 300 | No Change | 0 | 0 % | $22,284 | $22,950 | $666 | 2.98 % | $0 | | | | | | News Article | History of Dfa Investment Dimensions Group Inc - Va International Value Portfolio Ownership Of Capital Southwest Corp |
| 2009-09-29 | 2009-07-31 | N-Q | Dfa Investment Dimensions Group Inc - Va Small Value Portfolio | Small-Cap Value | 37,972 | Added More | 164 | 0.43 % | $2,820,560 | $2,904,858 | $84,298 | 2.98 % | $364 | | | | | | News Article | History of Dfa Investment Dimensions Group Inc - Va Small Value Portfolio Ownership Of Capital Southwest Corp |
| 2009-09-29 | 2009-07-31 | N-Q | Dfa Investment Trust Co - International Value Series | Multi-Cap Value | 8,539 | No Change | 0 | 0 % | $634,277 | $653,234 | $18,957 | 2.98 % | $0 | | | | | | News Article | History of Dfa Investment Trust Co - International Value Series Ownership Of Capital Southwest Corp |
| 2009-09-29 | 2009-07-31 | N-Q | Jnl Investors Series Trust - Jackson Perspective Index 5 Fund | Specialty & Misc | 91 | No Change | 0 | 0 % | $6,759 | $6,962 | $202 | 2.98 % | $0 | | | | | | News Article | History of Jnl Investors Series Trust - Jackson Perspective Index 5 Fund Ownership Of Capital Southwest Corp |
| 2009-09-29 | 2009-07-31 | N-Q | Russell Investment Co - International Fund | International Multi-Cap Core | 1,156 | Added More | 290 | 33.48 % | $85,868 | $88,434 | $2,566 | 2.98 % | $644 | | | | | | News Article | History of Russell Investment Co - International Fund Ownership Of Capital Southwest Corp |
| 2009-09-28 | 2009-07-31 | N-Q | Old Westbury Funds Inc - International Fund | International Multi-Cap Core | 600 | No Change | 0 | 0 % | $47,412 | $45,900 | $-1,512 | -3.18 % | $0 | | | | | | News Article | History of Old Westbury Funds Inc - International Fund Ownership Of Capital Southwest Corp |
| 2009-09-28 | 2009-07-31 | N-Q | Powershares Exchange Traded Fund Trust - Powershares Dynamic Small Cap Growth Portfolio | Small-Cap Growth | 1,604 | New Holding | 1,604 | 100 % | $126,748 | $122,706 | $-4,042 | -3.18 % | $-4,042 | | | | | | News Article | History of Powershares Exchange Traded Fund Trust - Powershares Dynamic Small Cap Growth Portfolio Ownership Of Capital Southwest Corp |
| 2009-09-28 | 2009-07-31 | N-Q | Schwab Capital Trust - Schwab Technology Fund | Science & Tech | 866 | New Holding | 866 | 100 % | $68,431 | $66,249 | $-2,182 | -3.18 % | $-2,182 | | | | | | News Article | History of Schwab Capital Trust - Schwab Technology Fund Ownership Of Capital Southwest Corp |
| 2009-09-24 | 2009-07-31 | N-Q | Nationwide Mutual Funds - Nationwide Large Cap Value Fund | Large-Cap Value | | Sold All | -350 | -100 % | | | | -2.86 % | $791 | | | | | | News Article | History of Nationwide Mutual Funds - Nationwide Large Cap Value Fund Ownership Of Capital Southwest Corp |
| 2009-09-17 | 2009-07-31 | N-Q | Rydex Etf Trust - Rydex Inverse Russell 2000 Etf | Specialty & Misc | 60 | New Holding | 60 | 100 % | $4,620 | $4,590 | $-30 | -0.64 % | $-30 | | | | | | News Article | History of Rydex Etf Trust - Rydex Inverse Russell 2000 Etf Ownership Of Capital Southwest Corp |
| 2009-09-15 | 2008-03-31 | 13F-HR/A | Segall Bryant And Hamill | Institution | 4,000 | No Change | 0 | 0 % | $310,080 | $306,000 | $-4,080 | -1.31 % | $0 | | | | | | News Article | History of Segall Bryant And Hamill Ownership Of Capital Southwest Corp |
| 2009-09-11 | 2009-06-30 | 13F-HR/A | Barclays Global Investors Uk Holdings Ltd | Institution | 99,857 | Added More | 1,606 | 1.63 % | $7,752,897 | $7,639,061 | $-113,837 | -1.46 % | $-1,831 | | | | | | News Article | History of Barclays Global Investors Uk Holdings Ltd Ownership Of Capital Southwest Corp |
| 2009-09-08 | 2009-06-30 | N-CSRS | Rydex Series Funds - Banking Fund | Financial Services | 70 | Sold Some | -20 | -22.22 % | $5,471 | $5,355 | $-116 | -2.11 % | $33 | | | | | | News Article | History of Rydex Series Funds - Banking Fund Ownership Of Capital Southwest Corp |
| 2009-09-08 | 2009-06-30 | N-CSRS | Rydex Variable Trust - Biotechnology Fund | Health/Biotech | 39 | Added More | 10 | 34.48 % | $3,048 | $2,984 | $-64 | -2.11 % | $-17 | | | | | | News Article | History of Rydex Variable Trust - Biotechnology Fund Ownership Of Capital Southwest Corp |
| 2009-09-08 | 2009-06-30 | N-CSRS | Touchstone Variable Series Trust - Third Avenue Value Fund | No Data | 9,500 | No Change | 0 | 0 % | $742,425 | $726,750 | $-15,675 | -2.11 % | $0 | | | | | | News Article | History of Touchstone Variable Series Trust - Third Avenue Value Fund Ownership Of Capital Southwest Corp |
| 2009-09-08 | 2009-06-30 | N-CSRS | Universal Institutional Funds Inc - Small Company Growth Portfolio | Small-Cap Growth | 1,085 | Sold Some | -123 | -10.18 % | $84,793 | $83,003 | $-1,790 | -2.11 % | $203 | | | | | | News Article | History of Universal Institutional Funds Inc - Small Company Growth Portfolio Ownership Of Capital Southwest Corp |
| 2009-09-04 | 2009-06-30 | N-CSRS | Alps Variable Insurance Trust - Avs Listed Private Equity Portfolio | No Data | 663 | Added More | 109 | 19.67 % | $50,421 | $50,720 | $298 | 0.59 % | $49 | | | | | | News Article | History of Alps Variable Insurance Trust - Avs Listed Private Equity Portfolio Ownership Of Capital Southwest Corp |
| 2009-09-04 | 2009-06-30 | N-CSRS | Axa Premier Vip Trust - Multimanager Small Cap Value Portfolio | Small-Cap Value | 3,600 | No Change | 0 | 0 % | $273,780 | $275,400 | $1,620 | 0.59 % | $0 | | | | | | News Article | History of Axa Premier Vip Trust - Multimanager Small Cap Value Portfolio Ownership Of Capital Southwest Corp |
| 2009-09-04 | 2009-06-30 | N-CSRS | Eq Advisors Trust - Eqalliancebernstein Small Cap Growth Portfolio | Small-Cap Growth | 2,507 | Sold Some | -100 | -3.83 % | $190,657 | $191,786 | $1,128 | 0.59 % | $-45 | | | | | | News Article | History of Eq Advisors Trust - Eqalliancebernstein Small Cap Growth Portfolio Ownership Of Capital Southwest Corp |
| 2009-09-04 | 2009-06-30 | N-CSRS | Eq Advisors Trust - Eqalliancebernstein Value Portfolio | Multi-Cap Value | 530 | New Holding | 530 | 100 % | $40,307 | $40,545 | $239 | 0.59 % | $239 | | | | | | News Article | History of Eq Advisors Trust - Eqalliancebernstein Value Portfolio Ownership Of Capital Southwest Corp |
| 2009-09-04 | 2009-06-30 | N-CSRS | Eq Advisors Trust - Eqbond Index Portfolio | Specialty & Misc | 3,400 | Added More | 200 | 6.25 % | $258,570 | $260,100 | $1,530 | 0.59 % | $90 | | | | | | News Article | History of Eq Advisors Trust - Eqbond Index Portfolio Ownership Of Capital Southwest Corp |
| 2009-09-04 | 2009-06-30 | N-CSRS | Morgan Stanley Institutional Fund Inc - Small Company Growth Portfolio | Small-Cap Growth | 44,154 | Sold Some | -1,182 | -2.60 % | $3,357,912 | $3,377,781 | $19,869 | 0.59 % | $-532 | | | | | | News Article | History of Morgan Stanley Institutional Fund Inc - Small Company Growth Portfolio Ownership Of Capital Southwest Corp |
| 2009-09-04 | 2009-06-30 | N-CSRS | Vanguard Institutional Index Funds - Vanguard Institutional Index Fund | Specialty & Misc | 4,399 | No Change | 0 | 0 % | $334,544 | $336,524 | $1,980 | 0.59 % | $0 | | | | | | News Article | History of Vanguard Institutional Index Funds - Vanguard Institutional Index Fund Ownership Of Capital Southwest Corp |
| 2009-09-04 | 2009-06-30 | N-CSRS | Westcore Trust - Westcore Micro-Cap Opportunity Fund | No Data | | Sold All | -18 | -100 % | | | | 0.59 % | $-8 | | | | | | News Article | History of Westcore Trust - Westcore Micro-Cap Opportunity Fund Ownership Of Capital Southwest Corp |
| 2009-09-03 | 2009-06-30 | N-CSRS | Jnl Series Trust - Jnlred Rocks Listed Private Equity Fund | No Data | | Sold All | -5 | -100 % | | | | - % | | | | | | | News Article | History of Jnl Series Trust - Jnlred Rocks Listed Private Equity Fund Ownership Of Capital Southwest Corp |
| 2009-09-03 | 2009-06-30 | N-CSRS | Mml Series Investment Fund Ii - Mml Small Cap Equity Fund | Small-Cap Core | | Sold All | -30 | -100 % | | | | - % | | | | | | | News Article | History of Mml Series Investment Fund Ii - Mml Small Cap Equity Fund Ownership Of Capital Southwest Corp |
| 2009-09-03 | 2009-06-30 | N-CSRS | Pacific Select Fund - Pd Small-Cap Value Index Portfolio | No Data | 57 | No Compare | | | | $4,361 | | - % | | | | | | | News Article | History of Pacific Select Fund - Pd Small-Cap Value Index Portfolio Ownership Of Capital Southwest Corp |
| 2009-09-03 | 2009-06-30 | N-CSRS | Pacific Select Fund - Small-Cap Index Portfolio | No Data | 1,560 | No Change | 0 | 0 % | | $119,340 | | - % | | | | | | | News Article | History of Pacific Select Fund - Small-Cap Index Portfolio Ownership Of Capital Southwest Corp |
| 2009-09-02 | 2009-06-30 | N-CSRS | Schwab Capital Trust - Schwab Technology Fund | Science & Tech | | Sold All | -1,166 | -100 % | | | | 1.21 % | $-1,073 | | | | | | News Article | History of Schwab Capital Trust - Schwab Technology Fund Ownership Of Capital Southwest Corp |
| 2009-09-01 | 2009-06-30 | 13F-HR/A | Amvescap Plc | Institution | 36,393 | Sold Some | -26,551 | -42.18 % | $2,712,006 | $2,784,065 | $72,058 | 2.65 % | $-52,571 | | | | | | News Article | History of Amvescap Plc Ownership Of Capital Southwest Corp |
| 2009-09-01 | 2009-06-30 | N-CSRS | Pax World Balanced Fund - Pax World Small Cap Fund | No Data | 749 | Added More | 600 | 402.68 % | $55,815 | $57,299 | $1,483 | 2.65 % | $1,188 | | | | | | News Article | History of Pax World Balanced Fund - Pax World Small Cap Fund Ownership Of Capital Southwest Corp |
| 2009-09-01 | 2009-06-30 | N-CSRS | Tiaa Separate Account Va 1 - Stock Index Account | Specialty & Misc | 194 | Added More | 4 | 2.10 % | $14,457 | $14,841 | $384 | 2.65 % | $8 | | | | | | News Article | History of Tiaa Separate Account Va 1 - Stock Index Account Ownership Of Capital Southwest Corp |
| 2009-08-31 | 2009-06-30 | N-CSRS | Tiaa Cref Life Fund - Stock Index Fund | Specialty & Misc | 47 | No Change | 0 | 0 % | $3,560 | $3,596 | $36 | 1.00 % | $0 | | | | | | News Article | History of Tiaa Cref Life Fund - Stock Index Fund Ownership Of Capital Southwest Corp |
| 2009-08-31 | 2009-06-30 | N-Q | Wisdomtree Trust - Wisdomtree Smallcap Dividend Fund | Small-Cap Core | 289 | No Change | 0 | 0 % | $21,889 | $22,109 | $220 | 1.00 % | $0 | | | | | | News Article | History of Wisdomtree Trust - Wisdomtree Smallcap Dividend Fund Ownership Of Capital Southwest Corp |
| 2009-08-28 | 2009-06-30 | N-Q | Ishares Trust - Ishares Russell 2000 Index Fund | Specialty & Misc | 35,687 | Sold Some | -2,058 | -5.45 % | $2,766,813 | $2,730,056 | $-36,758 | -1.32 % | $2,120 | | | | | | News Article | History of Ishares Trust - Ishares Russell 2000 Index Fund Ownership Of Capital Southwest Corp |
| 2009-08-28 | 2009-06-30 | N-Q | Ishares Trust - Ishares Russell 2000 Value Index Fund | Multi-Cap Value | 24,769 | No Change | 0 | 0 % | $1,920,341 | $1,894,829 | $-25,512 | -1.32 % | $0 | | | | | | News Article | History of Ishares Trust - Ishares Russell 2000 Value Index Fund Ownership Of Capital Southwest Corp |
| 2009-08-28 | 2009-06-30 | N-Q | Ishares Trust - Ishares Russell 3000 Index Fund | Specialty & Misc | 873 | Added More | 60 | 7.38 % | $67,684 | $66,785 | $-899 | -1.32 % | $-62 | | | | | | News Article | History of Ishares Trust - Ishares Russell 3000 Index Fund Ownership Of Capital Southwest Corp |
| 2009-08-28 | 2009-06-30 | N-Q | Ishares Trust - Ishares Russell 3000 Value Index Fund | Multi-Cap Value | 228 | Added More | 6 | 2.70 % | $17,677 | $17,442 | $-235 | -1.32 % | $-6 | | | | | | News Article | History of Ishares Trust - Ishares Russell 3000 Value Index Fund Ownership Of Capital Southwest Corp |
| 2009-08-28 | 2009-06-30 | N-Q | Ishares Trust - Ishares Russell Microcap Index Fund | Specialty & Misc | 5,537 | Added More | 2,097 | 60.95 % | $429,284 | $423,581 | $-5,703 | -1.32 % | $-2,160 | | | | | | News Article | History of Ishares Trust - Ishares Russell Microcap Index Fund Ownership Of Capital Southwest Corp |
| 2009-08-27 | 2009-06-30 | N-Q | Tamarack Funds Trust - Tamarack Microcap Value Fund | Multi-Cap Value | 5,200 | No Change | 0 | 0 % | $410,800 | $397,800 | $-13,000 | -3.16 % | $0 | | | | | | News Article | History of Tamarack Funds Trust - Tamarack Microcap Value Fund Ownership Of Capital Southwest Corp |
| 2009-08-27 | 2009-06-30 | N-Q | Tiaa Cref Institutional Mutual Funds - Equity Index Fund | Specialty & Misc | 1,945 | Added More | 49 | 2.58 % | $153,655 | $148,793 | $-4,863 | -3.16 % | $-123 | | | | | | News Article | History of Tiaa Cref Institutional Mutual Funds - Equity Index Fund Ownership Of Capital Southwest Corp |
| 2009-08-27 | 2009-06-30 | N-CSRS | Vanguard Index Funds - Vanguard 500 Index Fund | S&P 500 Index | | Sold All | -53,055 | -100 % | | | | -3.16 % | $132,638 | | | | | | News Article | History of Vanguard Index Funds - Vanguard 500 Index Fund Ownership Of Capital Southwest Corp |
| 2009-08-27 | 2009-06-30 | N-CSRS | Vanguard Index Funds - Vanguard Extended Market Index Fund | Mid-Cap Core | 15,263 | Added More | 325 | 2.17 % | $1,205,777 | $1,167,620 | $-38,158 | -3.16 % | $-813 | | | | | | News Article | History of Vanguard Index Funds - Vanguard Extended Market Index Fund Ownership Of Capital Southwest Corp |
| 2009-08-27 | 2009-06-30 | N-CSRS | Vanguard Index Funds - Vanguard Total Stock Market Index Fund | Multi-Cap Core | 20,888 | No Change | 0 | 0 % | $1,650,152 | $1,597,932 | $-52,220 | -3.16 % | $0 | | | | | | News Article | History of Vanguard Index Funds - Vanguard Total Stock Market Index Fund Ownership Of Capital Southwest Corp |
| 2009-08-27 | 2009-06-30 | N-CSRS | Vanguard Index Funds - Vanguard Value Index Fund | Large-Cap Value | 20,792 | New Holding | 20,792 | 100 % | $1,642,568 | $1,590,588 | $-51,980 | -3.16 % | $-51,980 | | | | | | News Article | History of Vanguard Index Funds - Vanguard Value Index Fund Ownership Of Capital Southwest Corp |
| 2009-08-27 | 2008-06-30 | N-CSRS | Vanguard Balanced Index Funds - Vanguard Balanced Index Fund | Mixed-Asset Target Allocation Growth | 901 | No Change | 0 | 0 % | $71,179 | $68,927 | $-2,253 | -3.16 % | $0 | | | | | | News Article | History of Vanguard Balanced Index Funds - Vanguard Balanced Index Fund Ownership Of Capital Southwest Corp |
| 2009-08-25 | 2009-06-30 | N-CSRS | Maxim Series Fund Inc - Maxim Small-Cap Value Portfolio | No Data | 1,800 | No Compare | | | $142,776 | $137,700 | $-5,076 | -3.55 % | | | | | | | News Article | History of Maxim Series Fund Inc - Maxim Small-Cap Value Portfolio Ownership Of Capital Southwest Corp |
| 2009-08-21 | 2009-08-19 | 4 | Henderson Graeme W | Insider | 10,000 | Added More | 500 | 5.55 % | $774,000 | $765,000 | $-9,000 | -1.16 % | $-450 | X | | | | | News Article | History of Henderson Graeme W Ownership Of Capital Southwest Corp |
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