SEC Form 4/A · accession 0000017313-18-000027
CAPITAL SOUTHWEST CORP · CSWC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Bowen S Diehl
Officer — President and CEO · Director
Period of report
Jun 20, 2018
Accepted (ET)
Jul 16, 2018 · 5:01 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000017313
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jun 20, 2018 | M | 5,705 | $11.00 | A | 110,349 | D | |
| Common Stock | Jun 20, 2018 | M | 6,247 | $11.00 | A | 116,596 | D | |
| Common Stock | Jun 20, 2018 | M | 2,661 | $11.53 | A | 119,257 | D | |
| Common StockF1,F2 | holding | — | — | — | 134,552 | I | By PHC Investments, LLC |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Incentive Stock OptionF3 | $11.00 | Jun 20, 2018 | M | 5,705 | A | — | Mar 17, 2024 | Common Stock | 5,705 | 2,852 | D |
| Non-qualified Stock OptionF4 | $11.00 | Jun 20, 2018 | M | 6,247 | A | — | Mar 17, 2024 | Common Stock | 6,247 | 3,123 | D |
| Non-qualified Stock OptionF5 | $11.53 | Jun 20, 2018 | M | 2,661 | A | — | Aug 28, 2024 | Common Stock | 2,661 | 50,000 | D |
Explanation of responses
- F1The Form 4 filed on June 21, 2018 contained a typographical error that incorrectly reported the shares held indirectly by the reporting person. As of June 20, 2018, 134,552 shares were held indirectly by the reporting person through PHC Investments, LLC.
- F2PHC Investments, LLC is fifty percent owned by the reporting person and fifty percent owned by his spouse.
- F3The options, representing a right to purchase a total of 14,261 shares, became exercisable in three equal annual installments beginning on March 17, 2015.
- F4The options, representing a right to purchase a total of 15,616 shares, became exercisable in three equal annual installments beginning on March 17, 2015.
- F5The options, representing a right to purchase a total of 85,982 shares, became exercisable in three annual installments beginning on December 29, 2015.