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Possible new Capital Southwest shares

CSWCDilution

Last raise Nov 2, 2026, 424B3: $1.0B of shares

Known so far: no new shares from the prospectus covers read · no effective shelf · not yet read: warrants, options.

Shelf room

  • Room today none, no effective shelf
How this is worked out

Shelf room: none. No shelf registration on EDGAR was declared effective in the last 3 years, so a sale needs a new registration or a private placement. Sources: public float, as of Sep 30, 2025.

What could become new Capital Southwest (CSWC) shares: convertible notes and an ATM program, each with the 10-Q, 10-K, S-1 or 424B filing it comes from.

Capital Southwest dilution ladder

Every source of new shares on record, from the filings that created it.

66.5M outstanding; up to 151.9M fully diluted, +128%

  1. Outstandingas of Oct 29, 2026 (10-Q filed Nov 2) · share count on the cover page
    66.5M
  2. At-the-market program$2.0B program424B3 Nov 2, 2026 · At-the-market prospectus supplementat $23.41, stated in the filing on Oct 29
    +85.4M
  3. Convertible notesconvert at $24.4710-Q Nov 2, 2026 · equity noteleft out of the share total: no filing states the shares on conversion
    not added

Not stated in the filings we read: warrants, options and RSUs.

Counts, sizes and prices as stated in each filing; the fully diluted count is arithmetic on them. Dollars become shares only at a price a filing states. Not advice.

Financing terms to know

None found in filings since Nov 2, 2026.

Each term is quoted from the exhibit it comes from; numbers are as stated in the filing. A flag describes a financing term. It is not investment advice.

Shares outstanding

66.5M

Jan 2025 to Oct 2026: from 50.6M to 66.5M.

From the share count on the cover of each 10-Q and 10-K, dated as each cover states.