Filing Details
- Accession Number:
- 0001140361-15-021593
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-05-22 16:54:51
- Reporting Period:
- 2015-05-20
- Filing Date:
- 2015-05-22
- Accepted Time:
- 2015-05-22 16:54:51
- 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 |
|---|---|---|---|---|---|---|---|
| 1182922 | M William Ashbaugh | C/O Capital Southwest Corporation 5400 Lyndon B. Johnson Fwy, Suite 1300 Dallas TX 75240 | Senior 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 | Acquisiton | 2015-05-20 | 4,000 | $23.37 | 15,000 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2015-05-20 | 108 | $23.37 | 15,108 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2015-05-20 | 4,108 | $51.53 | 11,000 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2015-05-21 | 7,892 | $23.37 | 18,892 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2015-05-21 | 1,917 | $19.18 | 20,809 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2015-05-21 | 9,809 | $51.11 | 11,000 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Non-qualified Stock Option | Disposition | 2015-05-20 | 4,000 | $0.00 | 4,000 | $23.37 |
| Common Stock | Incentive Stock Option | Disposition | 2015-05-20 | 108 | $0.00 | 108 | $23.37 |
| Common Stock | Incentive Stock Option | Disposition | 2015-05-21 | 7,892 | $0.00 | 7,892 | $23.37 |
| Common Stock | Incentive Stock Options | Disposition | 2015-05-21 | 1,917 | $0.00 | 1,917 | $19.18 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2016-05-15 | No | 4 | M | Direct | |
| 11,892 | 2016-05-15 | No | 4 | M | Direct | |
| 4,000 | 2016-05-15 | No | 4 | M | Direct | |
| 6,083 | 2019-10-19 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 10,345 | Indirect | By ESOP |
Footnotes
- Reflects ESOP allocations to Mr. Ashbaugh.
- The options, representing a right to purchase a total of 4,000 shares following the four-for-one split, became exercisable in five equal annual installments beginning on May 15, 2007.
- The options, representing a right to purchase a total of 12,000 shares following the four-for-one split, become exerciseable in three equal annual installments beginning on May 15, 2014.
- The options, representing a right to purchase a total of 8,000 shares following the four-for-one split, became exerciseable in two equal annual installments beginning on October 19, 2013.
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