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CAPITAL SOUTHWEST CORP COM
CAPITAL SOUTHWEST CORP COM. Institutional holdings reported to the SEC.

Institutional Holders (2016Q4)
Portfolio Summary: 45 Institutional holders with a total value of $165,308,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 PANAGORA ASSET MANAGEMENT INC 277 4,000 0.00%
2 Tower Research Capital LLC (TRC) 389 6,000 0.00%
3 CUTLER GROUP LLC / CA 500 8,000 0.00%
4 OLD SECOND NATIONAL BANK OF AURORA 500 8,000 0.00%
5 Creative Planning 500 8,000 0.00%
6 TCI Wealth Advisors, Inc. 815 13,000 0.01%
7 Joel Isaacson & Co., LLC 1,000 16,000 0.01%
8 Nationwide Fund Advisors 2,900 47,000 0.03%
9 BALDWIN WEALTH PARTNERS LLC/MA 3,360 54,000 0.03%
10 CITIGROUP INC 5,854 95,000 0.06%
11 BANK OF AMERICA CORP /DE/ 8,000 129,000 0.08%
12 MORGAN STANLEY 10,039 162,000 0.10%
13 TUDOR INVESTMENT CORP ET AL 10,252 166,000 0.10%
14 JPMORGAN CHASE & CO 10,328 167,000 0.10%
15 SEGALL BRYANT & HAMILL, LLC 10,664 172,000 0.10%
16 LADENBURG THALMANN FINANCIAL SERVICES INC. 10,900 176,000 0.11%
17 Clear Harbor Asset Management, LLC 10,895 176,000 0.11%
18 GEODE CAPITAL MANAGEMENT, LLC 11,895 192,000 0.12%
19 GSA CAPITAL PARTNERS LLP 12,837 207,000 0.13%
20 Steinberg Global Asset Management 14,420 233,000 0.14%
21 BROWN ADVISORY INC 14,648 237,000 0.14%
22 WEDBUSH SECURITIES INC 17,304 279,000 0.17%
23 Horizon Kinetics LLC 17,700 286,000 0.17%
24 PRUDENTIAL FINANCIAL INC 18,200 294,000 0.18%
25 MACKENZIE FINANCIAL CORP 24,400 394,000 0.24%
26 Cambridge Investment Research Advisors, Inc. 30,094 486,000 0.29%
27 KAYNE ANDERSON CAPITAL ADVISORS LP 40,000 646,000 0.39%
28 SILVER CAPITAL MANAGEMENT LLC 46,588 752,000 0.45%
29 WELLS FARGO & COMPANY/MN 49,001 791,000 0.48%
30 BlackRock Group LTD 73,552 1,188,000 0.72%
31 NEW YORK STATE COMMON RETIREMENT FUND 82,476 1,332,000 0.81%
32 Cove Street Capital, LLC 86,057 1,390,000 0.84%
33 AMERIPRISE FINANCIAL INC 111,251 1,797,000 1.09%
34 GRACE & WHITE INC /NY 132,528 2,140,000 1.29%
35 RUSSELL INVESTMENTS GROUP, LTD. 137,237 2,227,000 1.35%
36 THIRD AVENUE MANAGEMENT LLC 150,348 2,428,000 1.47%
37 UBS Group AG 296,776 4,793,000 2.90%
38 Evercore Trust Company, N.A. 627,289 10,131,000 6.13%
39 Clover Partners, L.P. 695,058 11,225,000 6.79%
40 FIRST MANHATTAN CO. LLC. 826,727 13,351,000 8.08%
41 ARIEL INVESTMENTS, LLC 939,799 15,178,000 9.18%
42 River Road Asset Management, LLC 943,034 15,230,000 9.21%
43 Zuckerman Investment Group, LLC 1,400,439 22,617,000 13.68%
44 Moab Capital Partners LLC 1,660,113 26,811,000 16.22%
45 PUNCH & ASSOCIATES INVESTMENT MANAGEMENT, INC. 1,688,318 27,266,000 16.49%

From 2023-01-03 onward, the SEC requires values to be reported in nearest dollars. Earlier filings reported values in thousands; therefore, positions shown as $0 in older filings may represent actual values between $0–$999.