SEC Form 4/A · accession 0001140361-15-021975
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
William M Ashbaugh
Officer — Senior Vice President
Period of report
May 20, 2015
Accepted (ET)
May 27, 2015 · 9:29 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 StockF1 | May 20, 2015 | M | 2,000 | $23.37 | A | 13,000 | D | |
| Common StockF1 | May 20, 2015 | M | 2,108 | $23.37 | A | 15,108 | D | |
| Common Stock | May 20, 2015 | S | 4,108 | $51.5288 | D | 11,000 | D | |
| Common StockF1 | May 21, 2015 | M | 5,892 | $23.37 | A | 18,892 | D | |
| Common StockF1 | May 21, 2015 | M | 3,917 | $19.18 | A | 20,809 | D | |
| Common Stock | May 21, 2015 | S | 9,809 | $51.1086 | D | 11,000 | D | |
| Common StockF2 | 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 OptionF1,F3 | $23.37 | May 20, 2015 | M | 2,000 | D | — | May 15, 2016 | Common Stock | 2,000 | 2,000 | D |
| Incentive Stock OptionF1,F4 | $23.37 | May 20, 2015 | M | 2,108 | D | — | May 15, 2016 | Common Stock | 2,108 | 9,892 | D |
| Incentive Stock OptionF1,F4 | $23.37 | May 21, 2015 | M | 5,892 | D | — | May 15, 2016 | Common Stock | 5,892 | 4,000 | D |
| Incentive Stock OptionsF1,F5 | $19.18 | May 21, 2015 | M | 3,917 | D | — | Oct 19, 2019 | Common Stock | 3,917 | 4,083 | D |
Explanation of responses
- F1The Form 4 filed on May 22, 2015 contained a typographical error that inadvertently overstated the number of Non-qualified Stock Options that were exercised by 2,000 and understated the number of Incentive Stock Options that were exercised by 2,000. This amendment corrects this error to reflect those exercises and both the Non-qualified Stock Options and Incentive Stock Options that remained beneficiallly owned.
- F2Reflects ESOP allocations to Mr. Ashbaugh.
- F3The 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.
- F4The 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.
- F5The 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.