Filing Details

Accession Number:
0000899243-16-011678
Form Type:
4
Zero Holdings:
No
Publication Time:
2016-01-13 21:22:45
Reporting Period:
2016-01-07
Filing Date:
2016-01-13
Accepted Time:
2016-01-13 21:22:45
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
1377817 Moab Capital Partners Llc 15 East 62Nd Street
New York NY 10065
No No Yes No
1393832 Michael Rothenberg 15 East 62Nd Street
New York NY 10065
No No Yes No
1393833 Moab Gp Llc 15 East 62Nd Street
New York NY 10065
No No Yes No
1393834 Moab Partners Lp 15 East 62Nd Street
New York NY 10065
No No Yes 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 2016-01-07 1,100 $14.13 1,562,938 No 4 P Indirect Performance related fees
Common Stock Acquisiton 2016-01-07 3,000 $14.17 1,565,938 No 4 P Indirect Performance related fees
Common Stock Acquisiton 2016-01-08 700 $14.24 1,566,638 No 4 P Indirect Performance related fees
Common Stock Acquisiton 2016-01-08 1,000 $14.24 1,567,638 No 4 P Indirect Performance related fees
Common Stock Acquisiton 2016-01-11 500 $14.12 1,568,138 No 4 P Indirect Performance related fees
Common Stock Acquisiton 2016-01-12 2,573 $14.19 1,570,711 No 4 P Indirect Performance related fees
Common Stock Acquisiton 2016-01-12 22,416 $14.16 1,593,127 No 4 P Indirect Performance related fees
Common Stock Acquisiton 2016-01-13 43,733 $14.10 1,636,860 No 4 P Indirect Performance related fees
Common Stock Acquisiton 2016-01-13 14,453 $14.03 1,651,313 No 4 P Indirect Performance related fees
Common Stock Acquisiton 2016-01-13 1,000 $13.96 1,652,313 No 4 P Indirect Performance related fees
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect Performance related fees
No 4 P Indirect Performance related fees
No 4 P Indirect Performance related fees
No 4 P Indirect Performance related fees
No 4 P Indirect Performance related fees
No 4 P Indirect Performance related fees
No 4 P Indirect Performance related fees
No 4 P Indirect Performance related fees
No 4 P Indirect Performance related fees
No 4 P Indirect Performance related fees
Footnotes
  1. The securities are owned directly by Moab Partners, L.P. (the "Fund") and a certain separately managed account (the "Managed Account"). Moab GP, LLC ("Moab GP"), the general partner of the Fund, and Moab Capital Partners, LLC ("Moab LLC"), the investment adviser to the Fund and the Managed Account, each may be deemed to beneficially own a portion or all of the securities under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act"). Michael M. Rothenberg is the Managing Member of Moab GP and Moab LLC and may also be deemed to beneficially own the securities under Section 13(d) of the Exchange Act. Moab LLC, Moab GP and Mr. Rothenberg disclaim beneficial ownership of the securities for purposes of Section 16 of the Exchange Act.