Filing Details

Accession Number:
0001010549-15-000046
Form Type:
4
Zero Holdings:
No
Publication Time:
2015-01-29 15:40:58
Reporting Period:
2015-01-27
Filing Date:
2015-01-29
Accepted Time:
2015-01-29 15:40:58
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
1369011 Iii R William Thomas C/O Capital Southwest Corporation
5400 Lbj Freeway, Suite 1300
Dallas TX 75240
Yes No 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 2015-01-27 120,000 $43.04 571,939 No 4 S Indirect See footnote
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Indirect See footnote
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 23,529 Direct
Common Stock 12,000 Indirect See footnote
Common Stock 4,309 Indirect By ESOP
Footnotes
  1. Mr. Thomas is President and sole manager of Thomas Heritage Company, L.L.C., the sole general partner (the "General Partner") of Thomas Heritage Partners, Ltd. (the "Partnership"). In such capacity, Mr. Thomas has sole voting and depositor power over 571,939 shares of Common Stock owned by the Partnership. Although Mr. Thomas' pecuniary interest in the shares of Common Stock held by the Partnership is limited to his limited partnership interest in the Partnership and his membership interest in the general partner of the Partnership, in accordance with Rule 13d-3(d)(1)(i) of the Securities Exchange Act of 1934, Mr. Thomas is deemed to be the beneficial owner of all of such shares.
  2. William R. Thomas III beneficially owns 12,000 shares of Common Stock held by his minor children.
  3. Reflects ESOP allocations to Mr. Thomas.