CAPITAL SOUTHWEST CORP — fact timeline

CAPITAL SOUTHWEST CORP amended Sixth Amendments to Equity Distribution Agreements with Jefferies LLC, Raymond James & Associates, Inc., Citizens JMP Securities, LLC (f/k/a JMP Securities LLC), B. Riley Securities, Inc. valued at increased the maximum amount of Shares to be sold through the ATM Program to $2.0 billion from $1.0 (effective 2026-05-19).

“On May 19, 2026, the Company entered into the Sixth Amendments (as defined below) which, among other things, increased the maximum amount of Shares to be sold through the ATM Program to $2.0 billion from $1.0 billion.”

CAPITAL SOUTHWEST CORP reported financial results for fourth fiscal quarter and fiscal year ended March 31, 2026.

“Capital Southwest Announces Financial Results for Fourth Fiscal Quarter and Fiscal Year Ended March 31, 2026”

CAPITAL SOUTHWEST CORP reported preliminary financial results for the fourth quarter of its 2026 fiscal year (quarter ended March 31, 2026).

“Capital Southwest Announces Preliminary Estimate of Fourth Quarter 2026 Operating Results and Earnings Release and Conference Call Schedule”

CAPITAL SOUTHWEST CORP incurred senior notes of $350.0 million with U.S. Bank Trust Company, National Association at 5.950% maturing September 18, 2030.

“The Seventh Supplemental Indenture relates to the Company’s issuance and sale of $350.0 million in aggregate principal amount of the Company’s 5.950% Notes due 2030”

CAPITAL SOUTHWEST CORP incurred senior notes of $350.0 million with Deutsche Bank Securities Inc., ING Financial Markets LLC, Morgan Stanley & Co. LLC, SMBC Nikko Securities America, Inc., and Wells Fargo Securities, LLC at 5.950% maturing 2030.

“in connection with the issuance and sale of $350.0 million in aggregate principal amount of the Company's 5.950% Notes due 2030”

CAPITAL SOUTHWEST CORP incurred revolving credit of $25 million with Apple Bank, as the increasing lender; Mitsubishi HC Capital America, Inc., as the increasing lender.

“The Incremental Agreements increased the total commitments under the Credit Agreement by $25 million from $485 million to $510 million.”

Chris Rehberger was appointed as Chief Financial Officer, Treasurer and Secretary at CAPITAL SOUTHWEST CORP.

“the Board also promoted Chris Rehberger, Executive Vice President of Finance and Treasurer of the Company, to the positions of Chief Financial Officer, Treasurer and Secretary of the Company, effective immediately.”

Michael S. Sarner resigned as Chief Financial Officer, Chief Compliance Officer and Secretary at CAPITAL SOUTHWEST CORP.

“Mr. Sarner resigned from his positions of Chief Financial Officer, Chief Compliance Officer and Secretary of the Company, effective immediately.”

Michael S. Sarner was appointed as Director at CAPITAL SOUTHWEST CORP.

“The Board also appointed Mr. Sarner to the Board to fill the vacancy on the Board created by Mr. Diehl’s transition, effective immediately, for a term expiring at the Company’s 2025 annual meeting of shareholders.”

Michael S. Sarner was appointed as President and Chief Executive Officer at CAPITAL SOUTHWEST CORP.

“On February 17, 2025, the Board appointed Michael S. Sarner, the Chief Financial Officer, Chief Compliance Officer and Secretary of the Company, to succeed Mr. Diehl as the President and Chief Executive Officer of the Company, effective immediately.”

Bowen S. Diehl departed as President and Chief Executive Officer at CAPITAL SOUTHWEST CORP.

“Bowen S. Diehl notified the Board that he was stepping down as the President and Chief Executive Officer of the Company and as a director of the Board.”

CAPITAL SOUTHWEST CORP reported fourth fiscal quarter and fiscal year ended March 31, 2024 results: net income $0.68 per weighted average share outstanding, EPS $0.68 per weighted average share outstanding.

“Capital Southwest Announces Financial Results for Fourth Fiscal Quarter and Fiscal Year Ended March 31, 2024”

CAPITAL SOUTHWEST CORP incurred credit facility of $150 million with Deutsche Bank AG, New York Branch at three-month Term SOFR plus an applicable margin of 2.50% maturing March 20, 2029.

“Association as collateral agent, U.S. Bank National Association, as collateral custodian, and the lenders that are party thereto from time to time. The SPV Facility provides for $150 million of initial commitments with (i) an increase to $200 million of total commitments on the earlier of (a) June 20, 2024, the three month anniversary of the effective date of the”

CAPITAL SOUTHWEST CORP entered into Loan Financing and Servicing Agreement with Deutsche Bank AG, New York Branch valued at $150 million initial commitments, increase to $200 million, accordion up to $400 million (effective 2024-03-20).

“On March 20, 2024, Capital Southwest Corporation (the “Company”) entered into a Loan Financing and Servicing Agreement (the “Loan Agreement”) for a special purpose vehicle financing credit facility (the “SPV Facility”) by and among Capital Southwest SPV LLC (“Capital Southwest SPV”), as borrower, the Company, as equityholder and servicer, Deutsche Bank AG, New York Branch (“Deutsche Bank”), as facility agent, U.S. Bank Trust Company, National Association as collateral agent, U.S. Bank National Association, as collateral custodian, and the lenders that are party thereto from time to time. The SPV Facility provides for $150 million of initial commitments with (i) an increase to $200 million of total commitments on the earlier of (a) June 20, 2024, the three month anniversary of the effective date of the Loan Agreement, or (b) the date requested by the Company, in its sole discretion, and (ii) an accordion feature that allows increases up to $400 million of total commitments from new and”

CAPITAL SOUTHWEST CORP reported the third fiscal quarter ended December 31, 2023 results: revenue $48.6 million, net income $29.8 million, EPS $0.72 per weighted average share outstanding.

“million, generating an IRR of 10.3%. Third Fiscal Quarter 2024 Operating Results For the quarter ended December 31, 2023, Capital Southwest reported total investment income of $48.6 million, compared to $42.8 million in the prior quarter. The increase in investment income was primarily attributable to an increase in average debt investments outstanding and an”

CAPITAL SOUTHWEST CORP amended credit facility of $460 million with ING Capital LLC.

“The Incremental Agreement increases the total commitments under the Credit Agreement by $25 million from $435 million to $460 million.”

CAPITAL SOUTHWEST CORP amended Incremental Commitment and Assumption Agreement with ING Capital LLC, as administrative agent, and the assuming lender party thereto valued at $25 million (effective 2023-12-07).

“On December 7, 2023, Capital Southwest Corporation (the “Company”) entered into an Incremental Commitment and Assumption Agreement (the “Incremental Agreement”) among the Company, as borrower (the “Borrower”), Capital Southwest Equity Investments, Inc., as a subsidiary guarantor, the assuming lender party thereto, and ING Capital LLC, as administrative agent and issuing bank (the “Administrative Agent”), relating to the Third Amended and Restated Senior Secured Revolving Credit Agreement, dated August 2, 2023 (the “Credit Agreement”), among the Borrower, the several lenders party to the Credit Agreement, the Administrative Agent, and Texas Capital Bank, N.A., as documentation agent. The Incremental Agreement increases the total commitments under the Credit Agreement by $25 million from $435 million to $460 million.”

CAPITAL SOUTHWEST CORP updated its second fiscal quarter ended September 30, 2023 guidance (raised).

“Capital Southwest Announces Financial Results for Second Fiscal Quarter Ended September 30, 2023 and Announces Increase in Total Dividends to $0.63 per share for the Quarter Ended December 31, 2023”

CAPITAL SOUTHWEST CORP: Increased authorized shares of common stock from 40,000,000 to 75,000,000 (effective 2023-10-11).

“On October 11, 2023, Capital Southwest Corporation (the “Company”) filed a Certificate of Amendment to its Amended and Restated Articles of Incorporation (the “Amendment”)”

CAPITAL SOUTHWEST CORP shareholders approved Approval of the adjournment of the Special Meeting, if necessary or appropriate, to solicit additional proxies if there are not sufficient votes at the time of the Special Meeting to approve the Charter Amendment at the 2023-10-11 meeting.

“Proposal 2. The proposal to approve the adjournment of the Special Meeting, if necessary or appropriate, to solicit additional proxies if there are not sufficient votes at the time of the Special Meeting to approve the Charter Amendment was approved by the following vote: Votes For 29,022,416 Votes Against 1,554,292 Abstentions 465,591”

CAPITAL SOUTHWEST CORP shareholders approved Approval of an amendment to the Articles of Incorporation to increase the number of authorized shares of common stock at the 2023-10-11 meeting.

“Proposal 1. The proposal to amend the Charter to increase the number of authorized shares of common stock was approved by the following vote: Votes For 28,538,598 Votes Against 2,003,237 Abstentions 500,464”

CAPITAL SOUTHWEST CORP reported the first fiscal quarter ended June 30, 2023 results: net income Pre-Tax Net Investment Income: $25.0 million, or $0.67 per weighted average share outstanding, EPS $0.67 per weighted average share outstanding.

“Capital Southwest Announces Financial Results for First Fiscal Quarter Ended June 30, 2023 and Announces Increase in Total Dividends to $0.62 per share for the Quarter Ended September 30, 2023 CSWC Reports Pre-Tax Net Investment Income of $0.67 Per Share for Quarter Ended June 30, 2023”

CAPITAL SOUTHWEST CORP amended revolving credit of $435 million with ING Capital LLC maturing August 1, 2028.

“The Credit Agreement: (1) increased commitments under the Credit Facility from $400 million to $435 million; (2) added an uncommitted accordion feature that could increase the maximum commitments up to $750 million; (3) extended the end of the Credit Facility's revolving period from from August 9, 2025 to August 1, 2027 and extended the final maturity August 9, 2026 to August 1, 2028;”

CAPITAL SOUTHWEST CORP entered into Third Amended and Restated Senior Secured Revolving Credit Agreement with the several banks and other financial institutions or entities from time to time party to the Credit Agreement as lenders, ING Capital LLC, as administrative agent, arranger and bookrunner, and Texas Capital Bank, N.A., as documentation agent valued at $435 million (effective 2023-08-02).

“On August 2, 2023, Capital Southwest Corporation (the “Company”) entered into the Third Amended and Restated Senior Secured Revolving Credit Agreement (the “Credit Agreement” and the revolving credit facility thereunder, “Credit Facility”) by and among the Company, as borrower, the several banks and other financial institutions or entities from time to time party to the Credit Agreement as lenders, ING Capital LLC, as administrative agent, arranger and bookrunner, and Texas Capital Bank, N.A., as documentation agent.”

CAPITAL SOUTHWEST CORP shareholders approved Ratification of appointment of RSM US LLP as independent registered public accounting firm for fiscal year ending March 31, 2024 at the 2023-07-26 meeting.

“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, 2024 was approved by the following vote: Votes For 26,398,299 Votes Against 222,353 Abstentions 146,746”

CAPITAL SOUTHWEST CORP shareholders approved Advisory approval of named executive officer compensation at the 2023-07-26 meeting.

“Proposal 3. 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 13,018,933 Votes Against 1,205,875 Abstentions 650,045 Broker Non-Votes 11,892,545”

CAPITAL SOUTHWEST CORP shareholders rejected Approval of amendment to Articles of Incorporation to increase number of authorized shares of common stock at the 2023-07-26 meeting.

“Proposal 2. The proposal to amend the Charter to increase the number of authorized shares of common stock required the approval by two-thirds of the Company's outstanding shares. Although a majority of the Company's outstanding shares voted in favor of the proposal, the proposal was not approved: Votes For 24,281,180 Votes Against 2,060,129 Abstentions 426,089”

CAPITAL SOUTHWEST CORP shareholders approved Election of six directors to serve until the 2024 Annual Meeting of Shareholders or until their respective successors are duly elected and qualified at the 2023-07-26 meeting.

“Proposal 1. The following six (6) directors were elected to serve until the 2024 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 14,354,338 520,515 11,892,545 David R. Brooks 14,137,812 737,041 11,892,545 Bowen S. Diehl 14,476,172 398,681 11,892,545 Jack D. Furst 14,429,609 445,244 11,892,545 Ramona Rogers-Windsor 14,320,311 554,542 11,892,545 William R. Thomas 14,433,111 441,742 11,892,545”

CAPITAL SOUTHWEST CORP reported first quarter of fiscal 2024 (quarter ended June 30, 2023) results: net income range of $0.64 to $0.65 per share, EPS pre-tax net investment income in the range of $0.66 to $0.67 per share; net investment income in the range of $0.64 to $.

“Capital Southwest’s preliminary estimate of its first quarter 2024 pre-tax net investment income is in the range of $0.66 to $0.67 per share. The preliminary estimate of its net investment income for the same period is in the range of $0.64 to $0.65 per share.”

CAPITAL SOUTHWEST CORP incurred senior notes of $71,875,000 aggregate principal amount with U.S. Bank Trust Company, National Association (as successor in interest to U.S. Bank National Association) at 7.75% per year maturing August 1, 2028.

“(the “Base Indenture” and together with the Fifth Supplemental Indenture, the “Indenture”). The Fifth Supplemental Indenture relates to the Company’s issuance and sale of $71,875,000 aggregate principal amount of the Company’s 7.75% Notes due 2028 (the “Notes” and the issuance and sale of the Notes, the “Offering”) (which includes the full exercise of the”

CAPITAL SOUTHWEST CORP entered into Fifth Supplemental Indenture with U.S. Bank Trust Company, National Association valued at $71,875,000 aggregate principal amount (effective 2023-06-14).

“On June 14, 2023, Capital Southwest Corporation (the “Company”) and U.S. Bank Trust Company, National Association (as successor in interest to U.S. Bank National Association), as trustee (the “Trustee”), entered into a fifth supplemental indenture (the “Fifth Supplemental Indenture”) to the indenture, dated October 23, 2017, between the Company and the Trustee (the “Base Indenture” and together with the Fifth Supplemental Indenture, the “Indenture”).”

CAPITAL SOUTHWEST CORP incurred senior notes of $62,500,000 aggregate principal amount with Oppenheimer & Co., Inc., as representative of the several underwriters at 7.75% maturing due 2028.

“On June 7, 2023, Capital Southwest Corporation (the “ Company ”) entered into an underwriting agreement (the “ Underwriting Agreement ”) by and between the Company and Oppenheimer & Co., Inc., as representative of the several underwriters named in Schedule A thereto, in connection with the issuance and sale of $62,500,000 aggregate principal amount of the Company’s 7.75% Notes due 2028 (the “ Notes ” and the issuance and sale of the Notes, the “ Offering ”).”

CAPITAL SOUTHWEST CORP entered into Underwriting Agreement with Oppenheimer & Co., Inc., as representative of the several underwriters named in Schedule A thereto valued at $62,500,000 aggregate principal amount (effective 2023-06-07).

“On June 7, 2023, Capital Southwest Corporation (the “ Company ”) entered into an underwriting agreement (the “ Underwriting Agreement ”) by and between the Company and Oppenheimer & Co., Inc., as representative of the several underwriters named in Schedule A thereto, in connection with the issuance and sale of $62,500,000 aggregate principal amount of the Company’s 7.75% Notes due 2028 (the “ Notes ” and the issuance and sale of the Notes, the “ Offering ”).”

CAPITAL SOUTHWEST CORP reported fiscal year ended March 31, 2023 results: EPS $0.64 to $0.65 per share.

“On April 13, 2023, Capital Southwest Corporation (the "Company") issued a press release announcing certain preliminary estimates of its financial condition and results of operations for its fiscal year ended March 31, 2023, as well as other information.”

CAPITAL SOUTHWEST CORP reported third fiscal quarter ended December 31, 2022 results: EPS $0.60 per weighted average share outstanding.

“CSWC Reports Pre-Tax Net Investment Income of $0.60 Per Share for Quarter Ended December 31, 2022”

CAPITAL SOUTHWEST CORP entered into Underwriting Agreement with Raymond James & Associates, Inc. as representative of the several underwriters named in Exhibit A valued at approximately $44.0 million in net proceeds (effective 2022-11-14).

“On November 14, 2022, Capital Southwest Corporation (the “ Company ”) entered into an underwriting agreement (the “ Underwriting Agreement ”), by and between the Company and Raymond James & Associates, Inc. as representative of the several underwriters named in Exhibit A thereto (collectively, the “ Underwriters ”).”

CAPITAL SOUTHWEST CORP amended revolving credit of $400 million with ING Capital LLC (as administrative agent).

“The Incremental Agreement increases the total commitments under the Credit Agreement by $20 million from $380 million to $400 million.”

CAPITAL SOUTHWEST CORP reported the second fiscal quarter ended September 30, 2022 results: revenue Total investment income of $26.8 million, net income Pre-Tax Net Investment Income: $15.0 million, EPS $0.54 per weighted average share outstanding.

“commitments of approximately $86 million during the quarter. On the capitalization front, we continued to programmatically raise equity through our equity ATM program, raising $26.9 million in gross proceeds at 118% of the prevailing NAV per share during the quarter. Over the past nine months, we have raised over $97 million in equity capital and reduced our”

Duane Morgan retired as Director at CAPITAL SOUTHWEST CORP.

“Duane Morgan notified the Company that he will retire from the Company’s board of directors (the “ Board ”) effective as of the date of the Company’s 2022 Annual Meeting of Shareholders”