CAPITAL SOUTHWEST CORP

CUSIP: 140501AE7 Class: NOTE 5.125%11/1

Note: Option positions (PUT/CALL) are excluded.

InstitutionSharesValue ($000)
Jump Financial, LLC26,972,000$26,635
MILLENNIUM MANAGEMENT LLC21,842,000$21,734
FOURSIXTHREE CAPITAL LP21,500,000$21,402
Eagle Point Credit Management LLC14,980,000$14,868
WOLVERINE ASSET MANAGEMENT LLC14,834,000$14,758
Context Capital Management, LLC13,534,000$13,432
VICTORY CAPITAL MANAGEMENT INC13,235,000$13,143
SMH CAPITAL ADVISORS INC12,196,000$12,044
INCOME RESEARCH & MANAGEMENT10,127,000$10,000
Saba Capital Management, L.P.10,000,000$9,955
TWO SIGMA INVESTMENTS, LP10,000,000$9,875
SCHRODER INVESTMENT MANAGEMENT GROUP7,350,000$7,258
ADVENT CAPITAL MANAGEMENT /DE/7,250,000$7,244
Radcliffe Capital Management, L.P.6,949,000$6,862
AQR Arbitrage LLC4,626,000$4,591
Wellesley Asset Management4,462,000$4,425
Walleye Capital LLC3,000,000$2,978
Fort Baker Capital Management LP2,630,000$2,635
SSI INVESTMENT MANAGEMENT LLC2,500,000$2,469
KIM, LLC2,500,000$2,481
PALISADE CAPITAL MANAGEMENT, LP2,250,000$2,233
Amtrust Financial Services, Inc.1,680,000$1,667
BNP PARIBAS ARBITRAGE, SA1,517,000$1,498
Weiss Asset Management LP1,466,000$1,459
Catalyst Capital Advisors LLC887,000$880
&PARTNERS229,000$226
AEGON USA Investment Management, LLC185,000$183
Wealthstar Advisors, LLC108,000$107
WELLS FARGO & COMPANY/MN65,000$65
PRINCIPAL SECURITIES, INC.60,000$59
PLANNING DIRECTIONS INC50,000$50
ENVESTNET ASSET MANAGEMENT INC49,000$48
Prime Capital Investment Advisors, LLC30,000$30
OneDigital Investment Advisors LLC25,000$25
TRUIST FINANCIAL CORP23,000$23
Jefferies Financial Group Inc.19,000$19
Cetera Investment Advisers16,000$16
LaSalle St. Investment Advisors, LLC15,000$0
Goldstein Advisors, LLC14,000$14
JIM SAULNIER & ASSOCIATES, LLC10,000$10
Laffer Tengler Investments, Inc.3,449$3,477
Total (41 institutions)219,188,449$220,877