SEC Form 4 · accession 0000017313-18-000039
CAPITAL SOUTHWEST CORP · CSWC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Bowen S Diehl
Officer — President and CEO · Director
Period of report
Aug 15, 2018
Accepted (ET)
Aug 17, 2018 · 4:13 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 | Aug 15, 2018 | M | 50,000 | $11.53 | A | 169,257 | D | |
| Common StockF1 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-qualified Stock OptionF2 | $11.53 | Aug 15, 2018 | M | 50,000 | D | — | Aug 28, 2024 | Common Stock | 50,000 | 0 | D |
Explanation of responses
- F1PHC Investments, LLC is fifty percent owned by the reporting person and fifty percent owned by his spouse.
- F2The options, representing a right to purchase a total of 85,982 shares, became exercisable in three annual installments beginning on December 29, 2015.