Filing Details

Accession Number:
0001010549-13-000752
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-12-19 17:51:07
Reporting Period:
2013-12-19
Filing Date:
2013-12-19
Accepted Time:
2013-12-19 17:51:07
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
17313 Capital Southwest Corp CSWC () 751072796
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1487817 D. Ray Schwertner 12900 Preston Road
Suite 700
Dallas TX 75230
Vice President No Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Disposition 2013-12-19 560 $34.75 4,100 No 4 S Direct
Common Stock Disposition 2013-12-19 500 $34.78 3,600 No 4 S Direct
Common Stock Disposition 2013-12-19 600 $34.80 3,000 No 4 S Direct
Common Stock Disposition 2013-12-19 400 $34.84 2,600 No 4 S Direct
Common Stock Acquisiton 2013-12-19 1,000 $95.79 3,600 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Direct
No 4 S Direct
No 4 S Direct
No 4 S Direct
No 4 P Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Incentive Stock Option Acquisiton 2013-12-19 1,000 $95.79 1,000 $95.79
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
3,600 2011-03-22 2020-03-22 No 4 M Direct
Footnotes
  1. Incentive Stock Option vests annually in five equal installments of 1,000 shares each beginning 3/22/2011.