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

Institutional Holders (2017Q1)
Portfolio Summary: 43 Institutional holders with a total value of $169,698,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 PUNCH & ASSOCIATES INVESTMENT MANAGEMENT, INC. 1,705,319 28,837,000 16.99%
2 Moab Capital Partners LLC 1,630,252 27,568,000 16.25%
3 Zuckerman Investment Group, LLC 1,261,663 21,335,000 12.57%
4 River Road Asset Management, LLC 984,199 16,643,000 9.81%
5 ARIEL INVESTMENTS, LLC 952,713 16,110,000 9.49%
6 FIRST MANHATTAN CO. LLC. 785,646 13,285,000 7.83%
7 Clover Partners, L.P. 696,313 11,775,000 6.94%
8 Evercore Trust Company, N.A. 597,434 10,103,000 5.95%
9 UBS Group AG 370,319 6,262,000 3.69%
10 THIRD AVENUE MANAGEMENT LLC 150,348 2,542,000 1.50%
11 GRACE & WHITE INC /NY 132,528 2,241,000 1.32%
12 RUSSELL INVESTMENTS GROUP, LTD. 112,816 1,907,000 1.12%
13 AMERIPRISE FINANCIAL INC 111,251 1,882,000 1.11%
14 NEW YORK STATE COMMON RETIREMENT FUND 91,840 1,553,000 0.92%
15 Cove Street Capital, LLC 87,357 1,477,000 0.87%
16 SILVER CAPITAL MANAGEMENT LLC 45,438 769,000 0.45%
17 KAYNE ANDERSON CAPITAL ADVISORS LP 40,000 676,000 0.40%
18 MACKENZIE FINANCIAL CORP 35,457 600,000 0.35%
19 Cambridge Investment Research Advisors, Inc. 30,095 509,000 0.30%
20 WELLS FARGO & COMPANY/MN 20,520 347,000 0.20%
21 PRUDENTIAL FINANCIAL INC 20,300 343,000 0.20%
22 Horizon Kinetics LLC 17,700 299,000 0.18%
23 WEDBUSH SECURITIES INC 17,104 289,000 0.17%
24 GEODE CAPITAL MANAGEMENT, LLC 15,194 256,000 0.15%
25 Steinberg Global Asset Management 14,820 251,000 0.15%
26 BROWN ADVISORY INC 14,648 248,000 0.15%
27 JPMORGAN CHASE & CO 14,515 245,000 0.14%
28 KENNEDY CAPITAL MANAGEMENT LLC 12,607 213,000 0.13%
29 LADENBURG THALMANN FINANCIAL SERVICES INC. 10,900 184,000 0.11%
30 SEGALL BRYANT & HAMILL, LLC 10,664 180,000 0.11%
31 TUDOR INVESTMENT CORP ET AL 10,252 173,000 0.10%
32 BANK OF AMERICA CORP /DE/ 8,000 135,000 0.08%
33 JBF Capital, Inc. 7,477 126,000 0.07%
34 CITIGROUP INC 6,979 118,000 0.07%
35 MORGAN STANLEY 5,513 93,000 0.05%
36 BALDWIN WEALTH PARTNERS LLC/MA 3,360 57,000 0.03%
37 SeaBridge Investment Advisors LLC 1,300 22,000 0.01%
38 TCI Wealth Advisors, Inc. 815 14,000 0.01%
39 PRELUDE CAPITAL MANAGEMENT, LLC 500 8,000 0.00%
40 CUTLER GROUP LLC / CA 500 8,000 0.00%
41 OLD SECOND NATIONAL BANK OF AURORA 500 8,000 0.00%
42 PANAGORA ASSET MANAGEMENT INC 277 5,000 0.00%
43 MANUFACTURERS LIFE INSURANCE COMPANY, THE 94 2,000 0.00%

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.