SEC Form 4 · accession 0000899243-16-011993
CAPITAL SOUTHWEST CORP · CSWC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Moab Capital Partners LLC
10% Owner
Michael Rothenberg
10% Owner
Moab GP LLC
10% Owner
Moab Partners LP
10% Owner
Period of report
Jan 15, 2016
Accepted (ET)
Jan 20, 2016 · 8:08 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000017313
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Put Option (right to sell)F1 | $12.50 | Jan 15, 2016 | P | 939 | A | Jan 15, 2016 | Jun 17, 2016 | Common Stock | 1,558,332 | 939 | D |
Explanation of responses
- F1Moab Capital Partners, LLC ("Moab LLC") is the investment adviser to Moab Partners, L.P. (the "Fund") and may be deemed to beneficially own the securities under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act") . Moab GP, LLC ("Moab GP") is the general partner of the Fund and may be deemed to beneficially own the securities under Section 13(d) of 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.