SEC Form 4 · accession 0001140361-15-021978
CAPITAL SOUTHWEST CORP · CSWC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William M Ashbaugh
Officer — Senior Vice President
Period of report
May 22, 2015
Accepted (ET)
May 27, 2015 · 9:35 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 22, 2015 | M | 650 | $19.18 | A | 11,650 | D | |
| Common Stock | May 22, 2015 | S | 650 | $51.0533 | D | 11,000 | D | |
| Common Stock | May 26, 2015 | M | 3,433 | $19.18 | A | 14,433 | D | |
| Common Stock | May 26, 2015 | S | 3,433 | $51.0262 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Incentive Stock OptionsF2 | $19.18 | May 22, 2015 | M | 650 | D | — | Oct 19, 2019 | Common Stock | 650 | 3,433 | D |
| Incentive Stock OptionsF2 | $19.18 | May 26, 2015 | M | 3,433 | D | — | Oct 19, 2019 | Common Stock | 3,433 | 0 | D |
Explanation of responses
- F1Reflects ESOP allocations to Mr. Ashbaugh.
- F2The 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.