Michael Rothenberg

Michael Rothenberg is 10% Owner at CAPITAL SOUTHWEST CORP (CSWC). They have made 17 open-market trades across 3 companies since 2007, most recently 2017-01-06.

CIK 0001393832

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Unrated. We grade insiders only on stock they chose to buy on the open market. Grants, option exercises and vesting say nothing about timing, so they don't count — which is why someone can file often and still have no grade. It isn't a bad sign: unrated buys beat every graded tier below A.

14 open-market purchases totalling $2.6M since 2007, against 3 sales. Too few scored purchases to measure a record yet.

Also files as

Michael Rothenberg Moab Capital Partners LLC (entity)

Current Position

Ticker	Shares	Value
CSWC	1,630,952	$37.7M
PRCP	53,136	$371K
KDUS	1,634,906	—
MRFD	318,376	—
TUC	1,048	—
Total		$38.0M

Shares reported on the most recent Form 4, priced at the 2017-01-10 close. 3 holdings could not be priced and are excluded from the total.

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Buy Track Record

Filings14

Only 3 discretionary filings — too few to score

Discretionary filings only. 10b5-1 plan trades, tax withholding and option exercises are excluded, and each column is one row per filing rather than per execution lot.

Sell Track Record

Filings3

Only 2 decision-sell filings — too few to score

Decision sells only — a first sale after buying the stock, or a sale by a fund or 10% owner. Ordinary sales by officers and directors show no relationship to what the stock does next, so they are counted but not scored.

Volume by Type

POpen-Market Purchase

$2.6M

14 filings

SOpen-Market Sale

$606K

3 filings

XRSU Exercise

$70K

1 filings

Companies

Trade History

17 total

CSWCSELL

$91K

2017-01-067d: +1.5%

Opportunistic SellTop Trade

•2nd largest sale, out of 2
•2 other insiders also sold in last 30 days
+1 more

CSWCSELL

$477K

2017-01-047d: +1.1%

Buy-to-Sell ReversalOpportunistic SellTop Trade

•Largest sale ever, out of 2
•Stock up +19% in previous 6 months
+1 more

CSWCBUY

$819K

2016-01-137d: +2.7%

First-Time Buyer10% Owner PurchaseOpportunistic BuyTop Trade

•Largest purchase ever, out of 3

CSWCBUY

$317K

2016-01-127d: +2.7%

10% Owner PurchaseOpportunistic BuyUnusually Large TradeTop Trade

•2nd largest purchase, out of 3

CSWCBUY

$1.3M

2016-01-077d: +2.7%

Minimal Holdings IncreaseActivist InvestorOpportunistic BuyTop Trade

KDUSBUY

$15K

2008-09-16N/A

Minimal Holdings Increase10% Owner PurchaseOpportunistic Buy

KDUSBUY

$7K

2008-07-29N/A

Minimal Holdings Increase10% Owner PurchaseOpportunistic Buy

KDUSBUY

$42K

2008-06-09N/A

Minimal Holdings Increase10% Owner PurchaseOpportunistic BuyTop Trade

KDUSBUY

$4K

2008-03-31N/A

Minimal Holdings Increase10% Owner PurchaseOpportunistic Buy

KDUSBUY

$2K

2008-01-09N/A

Minimal Holdings Increase10% Owner PurchaseOpportunistic Buy

KDUSBUY

$890

2007-12-24N/A

Minimal Holdings Increase10% Owner PurchaseOpportunistic BuyFirst-Time Buyer

KDUSBUY

$45K

2007-12-14N/A

10% Owner PurchaseOpportunistic Buy

MRFDBUY

$39K

2007-11-30N/A

10% Owner PurchaseOpportunistic Buy

MRFDSELL

$38K

2007-11-01N/A

Buy-to-Sell ReversalOpportunistic SellUnusually Large Trade

KDUSBUY

$19K

2007-10-15N/A

Minimal Holdings Increase10% Owner PurchaseOpportunistic Buy

MRFDBUY

$5K

2007-09-10N/A

Minimal Holdings Increase10% Owner PurchaseOpportunistic Buy

MRFDBUY

$29K

2007-03-16N/A

Minimal Holdings Increase10% Owner PurchaseOpportunistic BuyFirst-Time BuyerTop Trade

Ticker	Type	Traded	Filed	Price	Value	7d Stock	30d Stock	90d Stock
CSWC	SELL	2017-01-06	2017-01-10	$16.80	$91K	+1.5%	-0.7%	+1.7%
CSWC	SELL	2017-01-04	2017-01-06	$16.75	$477K	+1.1%	-1.3%	+0.6%
CSWC	BUY	2016-01-13	2016-01-13	$14.08	$819K	+2.7%	-3.4%	-0.6%
CSWC	BUY	2016-01-12	2016-01-13	$14.16	$317K	+2.7%	-3.4%	-0.6%
CSWC	BUY	2016-01-07	2016-01-13	$14.11	$1.3M	+2.7%	-3.4%	-0.6%
KDUS	BUY	2008-09-16	2008-09-18	$1.55	$15K	N/A	N/A	N/A
KDUS	BUY	2008-07-29	2008-07-31	$1.64	$7K	N/A	N/A	N/A
KDUS	BUY	2008-06-09	2008-06-12	$1.63	$42K	N/A	N/A	N/A
KDUS	BUY	2008-03-31	2008-04-01	$1.75	$4K	N/A	N/A	N/A
KDUS	BUY	2008-01-09	2008-01-10	$1.79	$2K	N/A	N/A	N/A
KDUS	BUY	2007-12-24	2007-12-26	$1.78	$890	N/A	N/A	N/A
KDUS	BUY	2007-12-14	2007-12-18	$1.79	$45K	N/A	N/A	N/A
MRFD	BUY	2007-11-30	2007-12-03	$8.61	$39K	N/A	N/A	N/A
MRFD	SELL	2007-11-01	2007-11-02	$1.95	$38K	N/A	N/A	N/A
KDUS	BUY	2007-10-15	2007-10-17	$1.86	$19K	N/A	N/A	N/A
MRFD	BUY	2007-09-10	2007-09-12	$9.36	$5K	N/A	N/A	N/A
MRFD	BUY	2007-03-16	2007-03-21	$12.58	$29K	N/A	N/A	N/A

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