Filing Details
- Accession Number:
- 0001140361-15-021975
- Form Type:
- 4/A
- Zero Holdings:
- No
- Publication Time:
- 2015-05-27 21:29:52
- Reporting Period:
- 2015-05-20
- Filing Date:
- 2015-05-27
- Accepted Time:
- 2015-05-27 21:29:52
- Original Submission Date:
- 2015-05-22
- 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 | 2,000 | $23.37 | 13,000 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2015-05-20 | 2,108 | $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 | 5,892 | $23.37 | 18,892 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2015-05-21 | 3,917 | $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 | 2,000 | $0.00 | 2,000 | $23.37 |
| Common Stock | Incentive Stock Option | Disposition | 2015-05-20 | 2,108 | $0.00 | 2,108 | $23.37 |
| Common Stock | Incentive Stock Option | Disposition | 2015-05-21 | 5,892 | $0.00 | 5,892 | $23.37 |
| Common Stock | Incentive Stock Options | Disposition | 2015-05-21 | 3,917 | $0.00 | 3,917 | $19.18 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 2,000 | 2016-05-15 | No | 4 | M | Direct | |
| 9,892 | 2016-05-15 | No | 4 | M | Direct | |
| 4,000 | 2016-05-15 | No | 4 | M | Direct | |
| 4,083 | 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
- The Form 4 filed on May 22, 2015 contained a typographical error that inadvertently overstated the number of Non-qualified Stock Options that were exercised by 2,000 and understated the number of Incentive Stock Options that were exercised by 2,000. This amendment corrects this error to reflect those exercises and both the Non-qualified Stock Options and Incentive Stock Options that remained beneficiallly owned.
- 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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