SEC Form 4 · accession 0000017313-18-000064
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
Nov 15, 2018
Accepted (ET)
Nov 16, 2018 · 4:14 pm EST
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 StockF1 | Nov 15, 2018 | A | 51,000 | $0.00 | A | 154,655 | D | |
| Common StockF2 | holding | — | — | — | 200,165 | I | By PHC Investments, LLC |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents a restricted stock award of 51,000 shares.
- F2PHC Investments, LLC is fifty percent owned by the reporting person and fifty percent owned by his spouse.