CAPITAL SOUTHWEST CORP

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

Holders for Q4 2025 Position Changes for Q4 2025

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

New Positions (12)

Radcliffe Capital Management, L.P.
Value ($000) $6,862 Shares 6,949,000
AQR Arbitrage LLC
Value ($000) $4,591 Shares 4,626,000
Wealthstar Advisors, LLC
Value ($000) $107 Shares 108,000
PLANNING DIRECTIONS INC
Value ($000) $50 Shares 50,000
BNP PARIBAS ARBITRAGE, SA
Value ($000) $1,498 Shares 1,517,000
JIM SAULNIER & ASSOCIATES, LLC
Value ($000) $10 Shares 10,000
PRINCIPAL SECURITIES, INC.
Value ($000) $59 Shares 60,000
WELLS FARGO & COMPANY/MN
Value ($000) $65 Shares 65,000
Goldstein Advisors, LLC
Value ($000) $14 Shares 14,000
Prime Capital Investment Advisors, LLC
Value ($000) $30 Shares 30,000
OneDigital Investment Advisors LLC
Value ($000) $25 Shares 25,000
LaSalle St. Investment Advisors, LLC
Value ($000) $0 Shares 15,000

Increased Positions (7)

Context Capital Management, LLC
Value ($000) $13,432 (-31.2%) Shares 13,534,000 (+68482.1%)
INCOME RESEARCH & MANAGEMENT
Value ($000) $10,000 (+4.1%) Shares 10,127,000 (+3.8%)
Jump Financial, LLC
Value ($000) $26,635 (+135.1%) Shares 26,972,000 (+134.5%)
MILLENNIUM MANAGEMENT LLC
Value ($000) $21,734 (+87.9%) Shares 21,842,000 (+86.7%)
SCHRODER INVESTMENT MANAGEMENT GROUP
Value ($000) $7,258 (+43.6%) Shares 7,350,000 (+43.2%)
&PARTNERS
Value ($000) $226 (+14.8%) Shares 229,000 (+14.5%)
ENVESTNET ASSET MANAGEMENT INC
Value ($000) $48 (+44.5%) Shares 49,000 (+44.1%)

Decreased Positions (7)

Wellesley Asset Management
Value ($000) $4,425 (-75.7%) Shares 4,462,000 (-75.8%)
Laffer Tengler Investments, Inc.
Value ($000) $3,477 (-0.5%) Shares 3,449 (-90.1%)
KIM, LLC
Value ($000) $2,481 (-72.2%) Shares 2,500,000 (-72.2%)
ADVENT CAPITAL MANAGEMENT /DE/
Value ($000) $7,244 (-51.5%) Shares 7,250,000 (-51.9%)
Weiss Asset Management LP
Value ($000) $1,459 (-77.2%) Shares 1,466,000 (-77.2%)
PALISADE CAPITAL MANAGEMENT, LP
Value ($000) $2,233 (-43.8%) Shares 2,250,000 (-43.8%)
Jefferies Financial Group Inc.
Value ($000) $19 (-98.0%) Shares 19,000 (-98.0%)

Exited Positions (3)

CAPSTONE INVESTMENT ADVISORS, LLC
Value ($000) $1,980 Shares 2,000,000
Thrivent Financial for Lutherans
Value ($000) $1 Shares 1,065,000
SG Americas Securities, LLC
Value ($000) $1 Shares 6,640