# EDGAR Filing Document

**Accession Number:** 0000017313
**File Stem:** 0000017313-25-000067
**Filing Date:** 2025-7
**Character Count:** 6667
**Document Hash:** a9a3765f75ba69f0336b2cb52c29ad39
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000017313-25-000067.hdr.sgml**: 20250724

**ACCESSION NUMBER**: 0000017313-25-000067

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 13

**CONFORMED PERIOD OF REPORT**: 20250724

**ITEM INFORMATION**: Submission of Matters to a Vote of Security Holders

**FILED AS OF DATE**: 20250724

**DATE AS OF CHANGE**: 20250724

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** CAPITAL SOUTHWEST CORP
- **CENTRAL INDEX KEY:** 0000017313

**ORGANIZATION NAME:**
- **EIN:** 751072796
- **STATE OF INCORPORATION:** TX
- **FISCAL YEAR END:** 0331

**FILING VALUES:**
- **FORM TYPE:** 8-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 814-00061
- **FILM NUMBER:** 251146951

**BUSINESS ADDRESS:**
- **STREET 1:** 8333 DOUGLAS AVE
- **STREET 2:** SUITE 1100
- **CITY:** DALLAS
- **STATE:** TX
- **ZIP:** 75225
- **BUSINESS PHONE:** 2142385700

**MAIL ADDRESS:**
- **STREET 1:** 8333 DOUGLAS AVE
- **STREET 2:** SUITE 1100
- **CITY:** DALLAS
- **STATE:** TX
- **ZIP:** 75225

?xml version='1.0' encoding='ASCII'? cswc-20250724

**UNITED STATES**

**SECURITIES AND EXCHANGE COMMISSION**

**WASHINGTON, D.C. 20549**

**FORM 8-K**

**CURRENT REPORT**

**Pursuant to Section 13 or 15(d) of the**

**Securities Exchange Act of 1934**

Date of report (Date of earliest event reported): **July 24, 2025**

**CAPITAL SOUTHWEST CORPORATION**

(Exact Name Of Registrant As Specified In Charter)

---

| | | |
|:---|:---|:---|
| **Texas** | **814-00061** | **75-1072796** |
| (State or Other Jurisdiction of Incorporation) | (Commission File Number) | (IRS Employer Identification No.) |

---

**8333 Douglas Avenue, Suite 1100**

**Dallas, Texas 75225**

(Address of Principal Executive Offices) (Zip Code)

Registrant's telephone number, including area code: **(214) 238-5700**

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (*see* General Instruction A.2. below):

☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act:

---

| | | |
|:---|:---|:---|
| Title of Each Class | Trading Symbol(s) | Name of Each Exchange on Which Registered |
| **Common Stock, $0.25 par value per share** | **CSWC** | **The Nasdaq Global Select Market** |
| **7.75% Notes due 2028** | **CSWCZ** | **The Nasdaq Global Select Market** |

---

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

 <br> Emerging growth company ☐

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

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**Item 5.07 Submission of Matters to a Vote of Security Holders.**

Capital Southwest Corporation (the "Company") held its 2025 Annual Meeting of Shareholders (the "Annual Meeting") on July 24, 2025. Shareholders of record at the close of business on May 28, 2025 (the "Record Date") were entitled to vote at the Annual Meeting. As of the Record Date, there were 54,816,881 shares of common stock outstanding and entitled to vote. A quorum consisting of 37,598,330 shares of common stock of the Company were present or represented by proxy at the Annual Meeting.

The following four proposals were voted on at the Annual Meeting: (1) the election of six directors to serve until the 2026 Annual Meeting of Shareholders or until their respective successors are duly elected and qualified; (2) the approval of, on an advisory basis, the compensation of the Company's named executive officers; (3) the approval of an amendment to the Capital Southwest Corporation 2021 Employee Restricted Stock Award Plan; and (4) the ratification of the appointment of RSM US LLP as the Company's independent registered public accounting firm for the fiscal year ending March 31, 2026. The final voting results for each of the proposals submitted to a vote of shareholders at the Annual Meeting are set forth below.

**Proposal 1.** The following six (6) directors were elected to serve until the 2026 Annual Meeting of Shareholders or until their respective successors are duly elected and qualified by the following vote:

---

| | | | |
|:---|:---|:---|:---|
| **Director Nominee** | **Votes For** | **Votes Withheld** | **Broker Non-Votes** |
| Christine S. Battist | 18454785 | 681665 | 18461880 |
| David R. Brooks | 18359357 | 777093 | 18461880 |
| Jack D. Furst | 18030115 | 1106335 | 18461880 |
| Ramona Rogers-Windsor | 18429138 | 707312 | 18461880 |
| Michael S. Sarner | 18568307 | 568143 | 18461880 |
| William R. Thomas | 18393310 | 743140 | 18461880 |

---

**Proposal 2.** The compensation of the Company's named executive officers as disclosed and discussed in the Proxy Statement on Schedule 14A relating to the Annual Meeting was approved on an advisory basis by the following vote:

---

| | |
|:---|:---|
| Votes For | 14,140,392 |
| Votes Against | 4,148,413 |
| Abstentions | 847,645 |
| Broker Non-Votes | 18,461,880 |

---

**Proposal 3.** The approval of the amendment to the Capital Southwest Corporation 2021 Employee Restricted Stock Award Plan was approved by the following vote:

---

| | |
|:---|:---|
| Votes For | 17,109,860 |
| Votes Against | 1,235,703 |
| Abstentions | 790,887 |
| Broker Non-Votes | 18,461,880 |

---

------

**Proposal 4.** The ratification of the appointment of RSM US LLP as the Company's independent registered public accounting firm for the fiscal year ending March 31, 2026 was approved by the following vote:

---

| | |
|:---|:---|
| Votes For | 36,352,976 |
| Votes Against | 667,670 |
| Abstentions | 577,684 |

---

------

**SIGNATURES**

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

Dated: July 24, 2025

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| | |
|:---|:---|
| By: | /s/ Michael S. Sarner |
|  | Name: Michael S. Sarner |
|  | Title: President and Chief Executive Officer |

---