Filing Details
- Accession Number:
- 0001179110-16-031685
- Form Type:
- 4/A
- Zero Holdings:
- No
- Publication Time:
- 2016-11-16 16:14:46
- Reporting Period:
- 2016-11-10
- Filing Date:
- 2016-11-16
- Accepted Time:
- 2016-11-16 16:14:46
- Original Submission Date:
- 2016-11-14
- 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 |
|---|---|---|---|---|---|---|---|
| 1391130 | Duane Thomas Morgan | C/O Capital Southwest Corporation 5400 Lyndon B. Johnson Fwy, 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 | Acquisiton | 2016-11-10 | 7,100 | $14.35 | 8,350 | No | 4 | P | Indirect | By Morgan Family Trust |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Indirect | By Morgan Family Trust |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 4,395 | Direct |
Footnotes
- The Form 4 filed on November 14, 2016 mistakenly reported that the reporting person directly purchased 7,100 shares of common stock, which did not occur. On November 10, 2016, the Morgan Family Trust purchased 7,100 shares of common stock of Capital Southwest Corporation.
- The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $14.30 to $14.36, inclusive. The reporting person undertakes to provide to Capital Southwest Corporation, any security holder of Capital Southwest Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range.
Billionaire Hedge Funds
