SEC Form 4 · accession 0001140361-15-021593
CAPITAL SOUTHWEST CORP · CSWC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
William M Ashbaugh
Officer — Senior Vice President
Period of report
May 20, 2015
Accepted (ET)
May 22, 2015 · 4:54 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 | May 20, 2015 | M | 4,000 | $23.37 | A | 15,000 | D | |
| Common Stock | May 20, 2015 | M | 108 | $23.37 | A | 15,108 | D | |
| Common Stock | May 20, 2015 | S | 4,108 | $51.5288 | D | 11,000 | D | |
| Common Stock | May 21, 2015 | M | 7,892 | $23.37 | A | 18,892 | D | |
| Common Stock | May 21, 2015 | M | 1,917 | $19.18 | A | 20,809 | D | |
| Common Stock | May 21, 2015 | S | 9,809 | $51.1086 | D | 11,000 | D | |
| Common StockF1 | holding | — | — | — | 10,345 | I | By ESOP |
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 | $23.37 | May 20, 2015 | M | 4,000 | D | — | May 15, 2016 | Common Stock | 4,000 | 0 | D |
| Incentive Stock OptionF3 | $23.37 | May 20, 2015 | M | 108 | D | — | May 15, 2016 | Common Stock | 108 | 11,892 | D |
| Incentive Stock OptionF3 | $23.37 | May 21, 2015 | M | 7,892 | D | — | May 15, 2016 | Common Stock | 7,892 | 4,000 | D |
| Incentive Stock OptionsF4 | $19.18 | May 21, 2015 | M | 1,917 | D | — | Oct 19, 2019 | Common Stock | 1,917 | 6,083 | D |
Explanation of responses
- F1Reflects ESOP allocations to Mr. Ashbaugh.
- F2The options, representing a right to purchase a total of 4,000 shares following the four-for-one split, became exercisable in five equal annual installments beginning on May 15, 2007.
- F3The options, representing a right to purchase a total of 12,000 shares following the four-for-one split, become exerciseable in three equal annual installments beginning on May 15, 2014.
- F4The options, representing a right to purchase a total of 8,000 shares following the four-for-one split, became exerciseable in two equal annual installments beginning on October 19, 2013.