Home › Companies › CAPITAL SOUTHWEST CORP. › 2023-2024
Compiled from SEC Form N-PX filings and CAPITAL SOUTHWEST CORP.’s Form 8-K, filed July 26, 2023 (Item 5.07 on EDGAR). Page generated October 18, 2026.
Meeting of July 26, 2023: 9 items on CAPITAL SOUTHWEST CORP.’s Form 8-K, filed July 26, 2023: 2 approved · 1 not approved · 6 without a stated outcome.
Meeting of October 11, 2023: 2 items on CAPITAL SOUTHWEST CORP.’s Form 8-K, filed October 11, 2023: 2 approved.
None beyond the items above.
Material dissent: a director nominee under 80% of the votes cast, say-on-pay under 70%, any other item the board put forward under 80%, or a shareholder proposal with more than 50%, on the company’s own Form 8-K tally. How this is decided
Explore CAPITAL SOUTHWEST CORP. in the interactive database Compare manager voting policies
These tallies are CAPITAL SOUTHWEST CORP.’s own, as disclosed to the U.S. Securities and Exchange Commission on Form 8-K, filed July 26, 2023 (Item 5.07, “Submission of Matters to a Vote of Security Holders”). They cover every share voted at the meeting, not just the funds that file Form N-PX. CAPITAL SOUTHWEST CORP. reported 2 meetings in this season; each is tabulated separately below, with its own filing.
| Ballot item | For | Against | Abstain | Withheld | Broker non-votes | Support (of votes cast) | Reported outcome | Voting standard |
|---|---|---|---|---|---|---|---|---|
| Elect Director: Christine S. Battist | 14,354,338 | -- | -- | 520,515 | 11,892,545 | 97% | Not verified | — |
| Elect Director: David R. Brooks | 14,137,812 | -- | -- | 737,041 | 11,892,545 | 95% | Not verified | — |
| Elect Director: Bowen S. Diehl | 14,476,172 | -- | -- | 398,681 | 11,892,545 | 97% | Not verified | — |
| Elect Director: Jack D. Furst | 14,429,609 | -- | -- | 445,244 | 11,892,545 | 97% | Not verified | — |
| Elect Director: Ramona Rogers-Windsor | 14,320,311 | -- | -- | 554,542 | 11,892,545 | 96% | Not verified | — |
| Elect Director: William R. Thomas | 14,433,111 | -- | -- | 441,742 | 11,892,545 | 97% | Not verified | — |
| 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 | 24,281,180 | 2,060,129 | 426,089 | -- | -- | 92% | Not approved Not approved: the filing states that this item needed more than a majority of the votes cast. | — |
| 3. Compensation of the Company's named executive officers as disclosed and discussed in the Proxy Statement on Schedule 14A relating to the Annual Meeting | 13,018,933 | 1,205,875 | 650,045 | -- | 11,892,545 | 92% | Approved | — |
| 4. 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 | 26,398,299 | 222,353 | 146,746 | -- | -- | 99.1% | Approved | — |
Source: CAPITAL SOUTHWEST CORP., Form 8-K, filed with the SEC on July 26, 2023 — read the filing on EDGAR.
| Ballot item | For | Against | Abstain | Withheld | Broker non-votes | Support (of votes cast) | Reported outcome | Voting standard |
|---|---|---|---|---|---|---|---|---|
| 1. Proposal to amend the Charter to increase the number of authorized shares of common stock | 28,538,598 | 2,003,237 | 500,464 | -- | -- | 93% | Approved | — |
| 2. 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 | 29,022,416 | 1,554,292 | 465,591 | -- | -- | 95% | Approved | — |
Source: CAPITAL SOUTHWEST CORP., Form 8-K, filed with the SEC on October 11, 2023 — read the filing on EDGAR.
Each item below shows how the 101 asset managers that disclosed a CAPITAL SOUTHWEST CORP. vote in their SEC Form N-PX filings actually voted. Share totals are the shares those managers' funds voted, summed across every fund they report.
Meeting held July 26, 2023.
Combines 3 wordings of this item as funds reported it.
97% Majority: yes · of votes cast
Description as filed by funds: To elect six directors to serve until the 2024 Annual Meeting of Shareholders or until their respective successors are duly elected and qualified: Bowen S. Diehl
CAPITAL SOUTHWEST CORP.’s own tally for this item (“Elect Director: Bowen S. Diehl”): 14,476,172 for, 398,681 withheld, per its Form 8-K filed July 26, 2023 (Item 5.07). FOR was more than half of the votes cast. Whether the item passed is for the filing to say; its statement has not been read for this item.
Reported outcome: not verified — the filing’s own statement of the outcome could not be identified for this item.
Support: 97% of votes cast — FOR ÷ (FOR + WITHHELD); abstentions and broker non-votes are excluded.
The 10 asset managers below reported 1,266,593 for, 13,297 withheld.
| Asset manager | For | Against | Abstain | Withheld | Vote |
|---|---|---|---|---|---|
| Invesco | 562,495 | 0 | 0 | 13,297 | For |
| VanEck ETF Trust | 503,352 | 0 | 0 | 0 | For |
| GraniteShares ETF Trust | 81,912 | 0 | 0 | 0 | For |
| FINANCIAL INVESTORS TRUST | 40,470 | 0 | 0 | 0 | For |
| ETFis Series Trust I | 24,031 | 0 | 0 | 0 | For |
| KINETICS MUTUAL FUNDS INC | 16,400 | 0 | 0 | 0 | For |
| KINETICS PORTFOLIOS TRUST | 16,400 | 0 | 0 | 0 | For |
| Fidelity | 11,251 | 0 | 0 | 0 | For |
| Keel Point, LLC | 9,837 | 0 | 0 | 0 | For |
| John Hancock | 445 | 0 | 0 | 0 | For |
Meeting held July 26, 2023.
Combines 3 wordings of this item as funds reported it.
97% Majority: yes · of votes cast
Description as filed by funds: To elect six directors to serve until the 2024 Annual Meeting of Shareholders or until their respective successors are duly elected and qualified: Christine S. Battist
CAPITAL SOUTHWEST CORP.’s own tally for this item (“Elect Director: Christine S. Battist”): 14,354,338 for, 520,515 withheld, per its Form 8-K filed July 26, 2023 (Item 5.07). FOR was more than half of the votes cast. Whether the item passed is for the filing to say; its statement has not been read for this item.
Reported outcome: not verified — the filing’s own statement of the outcome could not be identified for this item.
Support: 97% of votes cast — FOR ÷ (FOR + WITHHELD); abstentions and broker non-votes are excluded.
The 10 asset managers below reported 1,261,714 for, 18,176 withheld.
| Asset manager | For | Against | Abstain | Withheld | Vote |
|---|---|---|---|---|---|
| Invesco | 557,616 | 0 | 0 | 18,176 | For |
| VanEck ETF Trust | 503,352 | 0 | 0 | 0 | For |
| GraniteShares ETF Trust | 81,912 | 0 | 0 | 0 | For |
| FINANCIAL INVESTORS TRUST | 40,470 | 0 | 0 | 0 | For |
| ETFis Series Trust I | 24,031 | 0 | 0 | 0 | For |
| KINETICS MUTUAL FUNDS INC | 16,400 | 0 | 0 | 0 | For |
| KINETICS PORTFOLIOS TRUST | 16,400 | 0 | 0 | 0 | For |
| Fidelity | 11,251 | 0 | 0 | 0 | For |
| Keel Point, LLC | 9,837 | 0 | 0 | 0 | For |
| John Hancock | 445 | 0 | 0 | 0 | For |
Meeting held July 26, 2023.
Combines 3 wordings of this item as funds reported it.
95% Majority: yes · of votes cast
Description as filed by funds: To elect six directors to serve until the 2024 Annual Meeting of Shareholders or until their respective successors are duly elected and qualified: David R. Brooks
CAPITAL SOUTHWEST CORP.’s own tally for this item (“Elect Director: David R. Brooks”): 14,137,812 for, 737,041 withheld, per its Form 8-K filed July 26, 2023 (Item 5.07). FOR was more than half of the votes cast. Whether the item passed is for the filing to say; its statement has not been read for this item.
Reported outcome: not verified — the filing’s own statement of the outcome could not be identified for this item.
Support: 95% of votes cast — FOR ÷ (FOR + WITHHELD); abstentions and broker non-votes are excluded.
The 10 asset managers below reported 1,252,820 for, 27,070 withheld.
| Asset manager | For | Against | Abstain | Withheld | Vote |
|---|---|---|---|---|---|
| Invesco | 548,722 | 0 | 0 | 27,070 | For |
| VanEck ETF Trust | 503,352 | 0 | 0 | 0 | For |
| GraniteShares ETF Trust | 81,912 | 0 | 0 | 0 | For |
| FINANCIAL INVESTORS TRUST | 40,470 | 0 | 0 | 0 | For |
| ETFis Series Trust I | 24,031 | 0 | 0 | 0 | For |
| KINETICS MUTUAL FUNDS INC | 16,400 | 0 | 0 | 0 | For |
| KINETICS PORTFOLIOS TRUST | 16,400 | 0 | 0 | 0 | For |
| Fidelity | 11,251 | 0 | 0 | 0 | For |
| Keel Point, LLC | 9,837 | 0 | 0 | 0 | For |
| John Hancock | 445 | 0 | 0 | 0 | For |
Meeting held July 26, 2023.
Combines 3 wordings of this item as funds reported it.
97% Majority: yes · of votes cast
Description as filed by funds: To elect six directors to serve until the 2024 Annual Meeting of Shareholders or until their respective successors are duly elected and qualified: Jack D. Furst
CAPITAL SOUTHWEST CORP.’s own tally for this item (“Elect Director: Jack D. Furst”): 14,429,609 for, 445,244 withheld, per its Form 8-K filed July 26, 2023 (Item 5.07). FOR was more than half of the votes cast. Whether the item passed is for the filing to say; its statement has not been read for this item.
Reported outcome: not verified — the filing’s own statement of the outcome could not be identified for this item.
Support: 97% of votes cast — FOR ÷ (FOR + WITHHELD); abstentions and broker non-votes are excluded.
The 10 asset managers below reported 1,264,782 for, 15,108 withheld.
| Asset manager | For | Against | Abstain | Withheld | Vote |
|---|---|---|---|---|---|
| Invesco | 560,684 | 0 | 0 | 15,108 | For |
| VanEck ETF Trust | 503,352 | 0 | 0 | 0 | For |
| GraniteShares ETF Trust | 81,912 | 0 | 0 | 0 | For |
| FINANCIAL INVESTORS TRUST | 40,470 | 0 | 0 | 0 | For |
| ETFis Series Trust I | 24,031 | 0 | 0 | 0 | For |
| KINETICS MUTUAL FUNDS INC | 16,400 | 0 | 0 | 0 | For |
| KINETICS PORTFOLIOS TRUST | 16,400 | 0 | 0 | 0 | For |
| Fidelity | 11,251 | 0 | 0 | 0 | For |
| Keel Point, LLC | 9,837 | 0 | 0 | 0 | For |
| John Hancock | 445 | 0 | 0 | 0 | For |
Meeting held July 26, 2023.
Combines 3 wordings of this item as funds reported it.
96% Majority: yes · of votes cast
Description as filed by funds: To elect six directors to serve until the 2024 Annual Meeting of Shareholders or until their respective successors are duly elected and qualified: Ramona Rogers-Windsor
CAPITAL SOUTHWEST CORP.’s own tally for this item (“Elect Director: Ramona Rogers-Windsor”): 14,320,311 for, 554,542 withheld, per its Form 8-K filed July 26, 2023 (Item 5.07). FOR was more than half of the votes cast. Whether the item passed is for the filing to say; its statement has not been read for this item.
Reported outcome: not verified — the filing’s own statement of the outcome could not be identified for this item.
Support: 96% of votes cast — FOR ÷ (FOR + WITHHELD); abstentions and broker non-votes are excluded.
The 10 asset managers below reported 1,260,321 for, 19,569 withheld.
| Asset manager | For | Against | Abstain | Withheld | Vote |
|---|---|---|---|---|---|
| Invesco | 556,223 | 0 | 0 | 19,569 | For |
| VanEck ETF Trust | 503,352 | 0 | 0 | 0 | For |
| GraniteShares ETF Trust | 81,912 | 0 | 0 | 0 | For |
| FINANCIAL INVESTORS TRUST | 40,470 | 0 | 0 | 0 | For |
| ETFis Series Trust I | 24,031 | 0 | 0 | 0 | For |
| KINETICS MUTUAL FUNDS INC | 16,400 | 0 | 0 | 0 | For |
| KINETICS PORTFOLIOS TRUST | 16,400 | 0 | 0 | 0 | For |
| Fidelity | 11,251 | 0 | 0 | 0 | For |
| Keel Point, LLC | 9,837 | 0 | 0 | 0 | For |
| John Hancock | 445 | 0 | 0 | 0 | For |
Meeting held July 26, 2023.
Combines 3 wordings of this item as funds reported it.
97% Majority: yes · of votes cast
Description as filed by funds: To elect six directors to serve until the 2024 Annual Meeting of Shareholders or until their respective successors are duly elected and qualified: William R. Thomas
CAPITAL SOUTHWEST CORP.’s own tally for this item (“Elect Director: William R. Thomas”): 14,433,111 for, 441,742 withheld, per its Form 8-K filed July 26, 2023 (Item 5.07). FOR was more than half of the votes cast. Whether the item passed is for the filing to say; its statement has not been read for this item.
Reported outcome: not verified — the filing’s own statement of the outcome could not be identified for this item.
Support: 97% of votes cast — FOR ÷ (FOR + WITHHELD); abstentions and broker non-votes are excluded.
The 10 asset managers below reported 1,264,821 for, 15,069 withheld.
| Asset manager | For | Against | Abstain | Withheld | Vote |
|---|---|---|---|---|---|
| Invesco | 560,723 | 0 | 0 | 15,069 | For |
| VanEck ETF Trust | 503,352 | 0 | 0 | 0 | For |
| GraniteShares ETF Trust | 81,912 | 0 | 0 | 0 | For |
| FINANCIAL INVESTORS TRUST | 40,470 | 0 | 0 | 0 | For |
| ETFis Series Trust I | 24,031 | 0 | 0 | 0 | For |
| KINETICS MUTUAL FUNDS INC | 16,400 | 0 | 0 | 0 | For |
| KINETICS PORTFOLIOS TRUST | 16,400 | 0 | 0 | 0 | For |
| Fidelity | 11,251 | 0 | 0 | 0 | For |
| Keel Point, LLC | 9,837 | 0 | 0 | 0 | For |
| John Hancock | 445 | 0 | 0 | 0 | For |
Meeting held October 11, 2023.
Combines 4 wordings of this item as funds reported it.
93% Approved · of votes cast
Description as filed by funds: To approve an amendment to Capital Southwest Corporation's Articles of Incorporation to increase the number of authorized shares of common stock (the "Charter Amendment").
CAPITAL SOUTHWEST CORP.’s own tally for this item (“1. Proposal to amend the Charter to increase the number of authorized shares of common stock”): 28,538,598 for, 2,003,237 against — passed, per its Form 8-K filed October 11, 2023 (Item 5.07).
Reported outcome: Approved, in the filing’s own words: “Proposal 1: The proposal to amend the Charter to increase the number of authorized shares of common stock was approved by the following vote”
Support: 93% of votes cast — FOR ÷ (FOR + AGAINST); abstentions and broker non-votes are excluded.
The 11 asset managers below reported 1,186,742 for, 39,718 against, 9,949 abstained.
| Asset manager | For | Against | Abstain | Withheld | Vote |
|---|---|---|---|---|---|
| VanEck ETF Trust | 590,921 | 0 | 0 | 0 | For |
| Invesco | 445,564 | 39,718 | 9,949 | 0 | Mixed |
| GraniteShares ETF Trust | 81,912 | 0 | 0 | 0 | For |
| KINETICS MUTUAL FUNDS INC | 16,400 | 0 | 0 | 0 | For |
| KINETICS PORTFOLIOS TRUST | 16,400 | 0 | 0 | 0 | For |
| Fidelity | 11,251 | 0 | 0 | 0 | For |
| Keel Point, LLC | 10,133 | 0 | 0 | 0 | For |
| ETFis Series Trust I | 7,501 | 0 | 0 | 0 | For |
| ProShares | 5,415 | 0 | 0 | 0 | For |
| Blackstone Alternative Investment Funds | 800 | 0 | 0 | 0 | For |
| John Hancock | 445 | 0 | 0 | 0 | For |
Meeting held July 26, 2023.
Combines 4 wordings of this item as funds reported it.
92% Not approved · of votes cast
Description as filed by funds: To approve an amendment to Capital Southwest Corporation's Articles of Incorporation to increase the number of authorized shares of common stock.
CAPITAL SOUTHWEST CORP.’s own tally for this item (“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”): 24,281,180 for, 2,060,129 against — failed, per its Form 8-K filed July 26, 2023 (Item 5.07). This item required more than a simple majority of votes cast — see the filing.
Reported outcome: Not approved, in the filing’s own words: “Although a majority of the Company's outstanding shares voted in favor of the proposal, the proposal was not approved:”
Not approved: the filing states that this item needed more than a majority of the votes cast.
Support: 92% of votes cast — FOR ÷ (FOR + AGAINST); abstentions and broker non-votes are excluded.
The 10 asset managers below reported 1,212,580 for, 54,280 against, 13,030 abstained.
| Asset manager | For | Against | Abstain | Withheld | Vote |
|---|---|---|---|---|---|
| Invesco | 508,482 | 54,280 | 13,030 | 0 | Mixed |
| VanEck ETF Trust | 503,352 | 0 | 0 | 0 | For |
| GraniteShares ETF Trust | 81,912 | 0 | 0 | 0 | For |
| FINANCIAL INVESTORS TRUST | 40,470 | 0 | 0 | 0 | For |
| ETFis Series Trust I | 24,031 | 0 | 0 | 0 | For |
| KINETICS MUTUAL FUNDS INC | 16,400 | 0 | 0 | 0 | For |
| KINETICS PORTFOLIOS TRUST | 16,400 | 0 | 0 | 0 | For |
| Fidelity | 11,251 | 0 | 0 | 0 | For |
| Keel Point, LLC | 9,837 | 0 | 0 | 0 | For |
| John Hancock | 445 | 0 | 0 | 0 | For |
Meeting held October 11, 2023.
Combines 5 wordings of this item as funds reported it.
95% Approved · of votes cast
Description as filed by funds: 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.
CAPITAL SOUTHWEST CORP.’s own tally for this item (“2. 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 Amendm”): 29,022,416 for, 1,554,292 against — passed, per its Form 8-K filed October 11, 2023 (Item 5.07).
Reported outcome: Approved, in the filing’s own words: “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:”
Support: 95% of votes cast — FOR ÷ (FOR + AGAINST); abstentions and broker non-votes are excluded.
The 12 asset managers below reported 1,197,851 for, 29,605 against, 9,028 abstained.
| Asset manager | For | Against | Abstain | Withheld | Vote |
|---|---|---|---|---|---|
| VanEck ETF Trust | 590,921 | 0 | 0 | 0 | For |
| Invesco | 456,598 | 29,605 | 9,028 | 0 | Mixed |
| GraniteShares ETF Trust | 81,912 | 0 | 0 | 0 | For |
| KINETICS MUTUAL FUNDS INC | 16,400 | 0 | 0 | 0 | For |
| KINETICS PORTFOLIOS TRUST | 16,400 | 0 | 0 | 0 | For |
| Fidelity | 11,251 | 0 | 0 | 0 | For |
| Keel Point, LLC | 10,133 | 0 | 0 | 0 | For |
| ETFis Series Trust I | 7,501 | 0 | 0 | 0 | For |
| ProShares | 5,415 | 0 | 0 | 0 | For |
| Blackstone Alternative Investment Funds | 800 | 0 | 0 | 0 | For |
| John Hancock | 445 | 0 | 0 | 0 | For |
| Greenwich Investment Management, Inc. | 75 | 0 | 0 | 0 | For |
Meeting held July 26, 2023.
Combines 10 wordings of this item as funds reported it.
92% Approved · of votes cast
Description as filed by funds: To approve, on an advisory basis, the compensation of Capital Southwest Corporation's named executive officers.
CAPITAL SOUTHWEST CORP.’s own tally for this item (“3. Compensation of the Company's named executive officers as disclosed and discussed in the Proxy Statement on Schedule 14A relating to the Annual Meeting”): 13,018,933 for, 1,205,875 against — passed, per its Form 8-K filed July 26, 2023 (Item 5.07).
Reported outcome: Approved, in the filing’s own words: “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:”
Support: 92% of votes cast — FOR ÷ (FOR + AGAINST); abstentions and broker non-votes are excluded.
Fund voting reports and institutional-manager reports both cover this item. An institutional manager can report shares that a fund it advises also reports, so the two are shown separately below and never added together, and their sum is not shown (fund and manager reports combined may count the same shares twice).
| Asset manager | For | Against | Abstain | Withheld | Vote |
|---|---|---|---|---|---|
| Invesco | 504,014 | 45,678 | 26,101 | 0 | Mixed |
| VanEck ETF Trust | 503,352 | 0 | 0 | 0 | For |
| GraniteShares ETF Trust | 81,912 | 0 | 0 | 0 | For |
| FINANCIAL INVESTORS TRUST | 40,470 | 0 | 0 | 0 | For |
| ETFis Series Trust I | 24,031 | 0 | 0 | 0 | For |
| KINETICS MUTUAL FUNDS INC | 16,400 | 0 | 0 | 0 | For |
| KINETICS PORTFOLIOS TRUST | 16,400 | 0 | 0 | 0 | For |
| Fidelity | 11,251 | 0 | 0 | 0 | For |
| John Hancock | 445 | 0 | 0 | 0 | For |
Fund voting reports, all 9 managers: 1,198,275 for, 45,678 against, 26,101 abstained.
| Asset manager | For | Against | Abstain | Withheld | Vote |
|---|---|---|---|---|---|
| PUNCH & ASSOCIATES INVESTMENT MANAGEMENT, INC. | 680,892 | 0 | 0 | 0 | For |
| Zuckerman Investment Group, LLC | 631,955 | 0 | 0 | 0 | For |
| Invesco | 504,014 | 45,678 | 26,101 | 0 | Mixed |
| VAN ECK ASSOCIATES CORP | 503,352 | 0 | 0 | 0 | For |
| FIRST MANHATTAN CO. LLC. | 392,308 | 0 | 0 | 0 | For |
| Legal & General Investment Management Ltd | 246,975 | 0 | 0 | 0 | For |
| Two Sigma | 139,058 | 0 | 0 | 0 | For |
| Moerus Capital Management LLC | 96,845 | 0 | 0 | 0 | For |
| Point72 | 96,824 | 0 | 0 | 0 | For |
| CONFLUENCE INVESTMENT MANAGEMENT LLC | 86,448 | 5,632 | 3,218 | 0 | Mixed |
| MCKINLEY CAPITAL MANAGEMENT LLC | 92,114 | 0 | 0 | 0 | For |
| MARSHALL WACE, LLP | 91,614 | 0 | 0 | 0 | For |
| RBC Dominion Securities Inc. | 85,970 | 0 | 0 | 0 | For |
| ENVESTNET ASSET MANAGEMENT INC | 74,401 | 0 | 0 | 0 | For |
| STIFEL NICOLAUS & CO INC \MO\ | 65,247 | 0 | 0 | 0 | For |
| JPMorgan | 45,990 | 0 | 0 | 0 | For |
| Citadel | 41,244 | 0 | 0 | 0 | For |
| EMERALD MUTUAL FUND ADVISERS TRUST | 40,470 | 0 | 0 | 0 | For |
| ADVISORY RESEARCH INC | 40,444 | 0 | 0 | 0 | For |
| HARRIS ASSOCIATES L P | 28,928 | 0 | 0 | 0 | For |
| HORIZON KINETICS ASSET MANAGEMENT LLC | 16,400 | 0 | 0 | 0 | For |
| BlackRock | 14,955 | 0 | 0 | 0 | For |
| RAYMOND JAMES TRUST N.A. | 13,486 | 0 | 0 | 0 | For |
| GEODE CAPITAL MANAGEMENT, LLC | 11,251 | 0 | 0 | 0 | For |
| Hodges Capital Management Inc. | 10,700 | 0 | 0 | 0 | For |
Institutional-manager reports, all 86 managers: 4,193,298 for, 53,146 against, 29,319 abstained, 4,859 not voted. Showing the 25 largest; see all in the interactive database.
Meeting held July 26, 2023.
Combines 4 wordings of this item as funds reported it.
99.1% Approved · of votes cast
Description as filed by funds: To ratify the appointment of RSM US LLP as Capital Southwest Corporation's independent registered public accounting firm for the fiscal year ending March 31, 2024.
CAPITAL SOUTHWEST CORP.’s own tally for this item (“4. 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”): 26,398,299 for, 222,353 against — passed, per its Form 8-K filed July 26, 2023 (Item 5.07).
Reported outcome: Approved, in the filing’s own words: “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:”
Support: 99.1% of votes cast — FOR ÷ (FOR + AGAINST); abstentions and broker non-votes are excluded.
The 10 asset managers below reported 1,268,956 for, 6,368 against, 4,566 abstained.
| Asset manager | For | Against | Abstain | Withheld | Vote |
|---|---|---|---|---|---|
| Invesco | 564,858 | 6,368 | 4,566 | 0 | For |
| VanEck ETF Trust | 503,352 | 0 | 0 | 0 | For |
| GraniteShares ETF Trust | 81,912 | 0 | 0 | 0 | For |
| FINANCIAL INVESTORS TRUST | 40,470 | 0 | 0 | 0 | For |
| ETFis Series Trust I | 24,031 | 0 | 0 | 0 | For |
| KINETICS MUTUAL FUNDS INC | 16,400 | 0 | 0 | 0 | For |
| KINETICS PORTFOLIOS TRUST | 16,400 | 0 | 0 | 0 | For |
| Fidelity | 11,251 | 0 | 0 | 0 | For |
| Keel Point, LLC | 9,837 | 0 | 0 | 0 | For |
| John Hancock | 445 | 0 | 0 | 0 | For |
Ranked separately for each type of Form N-PX report. An institutional manager can report shares that a fund it advises also reports, so the two tables can list the same shares and are never added together. Each is ranked by the shares voted on the item that the most managers of that type reported, shown as a share of the 36,722,665 shares outstanding at the time of that meeting.
| # | Asset manager | % of shares outstanding |
|---|---|---|
| 1 | VanEck ETF Trust | 1.61% |
| 2 | Invesco | 1.35% |
| 3 | GraniteShares ETF Trust | 0.22% |
| 4 | KINETICS MUTUAL FUNDS INC | 0.04% |
| 5 | KINETICS PORTFOLIOS TRUST | 0.04% |
| 6 | Fidelity | 0.03% |
| 7 | ETFis Series Trust I | 0.02% |
| 8 | ProShares | 0.01% |
| 9 | Blackstone Alternative Investment Funds | <0.01% |
| 10 | John Hancock | <0.01% |
| # | Asset manager | % of shares outstanding |
|---|---|---|
| 1 | PUNCH & ASSOCIATES INVESTMENT MANAGEMENT, INC. | 1.85% |
| 2 | Zuckerman Investment Group, LLC | 1.72% |
| 3 | Invesco | 1.57% |
| 4 | VAN ECK ASSOCIATES CORP | 1.37% |
| 5 | FIRST MANHATTAN CO. LLC. | 1.07% |
| 6 | Legal & General Investment Management Ltd | 0.67% |
| 7 | Two Sigma | 0.38% |
| 8 | Moerus Capital Management LLC | 0.26% |
| 9 | Point72 | 0.26% |
| 10 | CONFLUENCE INVESTMENT MANAGEMENT LLC | 0.26% |
As disclosed to the SEC in Form 13F (quarter-end holdings of 30 large managers), Schedules 13D and 13G (beneficial ownership above 5%) and the company’s own proxy statement (DEF 14A). Each row names its form.
| Holder | % outstanding | Disclosure |
|---|---|---|
| Bowen S. Diehl | 1.66% | DEF14A |
| William R. Thomas | 1.63% | DEF14A |
| BlackRock | 1.16% | 13F |
| Two Sigma | 1.09% | 13F |
| Michael S. Sarner | 0.96% | DEF14A |
| Morgan Stanley | 0.64% | 13F |
| Goldman Sachs | 0.63% | 13F |
| Joshua S. Weinstein | 0.56% | DEF14A |
| Citadel Advisors | 0.56% | 13F |
| Franklin Templeton | 0.30% | 13F |
Percentages above are of 36,722,665 shares outstanding, as reported by CAPITAL SOUTHWEST CORP. on its Form 10-K dated May 19, 2023 (see the filing on EDGAR). This is the count contemporaneous with the 2023-2024 meeting, not today’s. Each holding is as of its own filing, which may be dated before or after the meeting.
Every figure above is derived from filings made with the US Securities and Exchange Commission: Form N-PX, in which registered funds disclose how they voted every proxy and institutional managers disclose their votes on executive pay (say-on-pay, say-on-frequency and golden parachutes), and Form 8-K Item 5.07, in which the company reports its own meeting results. Shares outstanding are taken from CAPITAL SOUTHWEST CORP.’s 10-K dated May 19, 2023. This page is a static snapshot rebuilt weekly on October 18, 2026; a live search always shows the current data.
At CAPITAL SOUTHWEST CORP.'s 2 shareholder meetings in the 2023-2024 proxy season (held July 26, 2023 and October 11, 2023), 101 asset managers reported how they voted on 11 ballot items in their SEC Form N-PX filings, covering 270 separate fund positions. On the most widely held item of the season, voted at the meeting held July 26, 2023 — To approve, on an advisory basis, the compensation of Capital Southwest Corporation's named… — CAPITAL SOUTHWEST CORP.'s filing reports the proposal as approved, with 92% support of the votes cast (FOR divided by FOR plus AGAINST, the conventional basis for proxy support; abstentions, broker non-votes and unvoted shares are excluded because none of them took a side). Source: CAPITAL SOUTHWEST CORP.'s Form 8-K, Item 5.07, filed with the U.S. Securities and Exchange Commission on July 26, 2023.
CAPITAL SOUTHWEST CORP. proxy season coverage: 2023-2024 (this page) · 2024-2025 · 2025-2026.
Download data (CSV): ballot items · votes by manager · column guide.