SEC Form 4 · accession 0001140361-15-022961
CAPITAL SOUTHWEST CORP · CSWC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William R Thomas III
Director
Period of report
May 29, 2015
Accepted (ET)
Jun 2, 2015 · 9:02 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 29, 2015 | G | 14,000 | $0.00 | D | 9,529 | D | |
| Common Stock | May 29, 2015 | G | 4,000 | $0.00 | D | 5,529 | D | |
| Common Stock | May 29, 2015 | G | 2,000 | $0.00 | D | 3,529 | D | |
| Common StockF1 | holding | — | — | — | 571,939 | I | See footnote | |
| Common StockF2 | holding | — | — | — | 12,000 | I | See footnote | |
| Common StockF3 | holding | — | — | — | 4,370 | I | By ESOP |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Mr. Thomas is President and sole manager of Thomas Heritage Company, L.L.C., the sole general partner (the "General Partner") of Thomas Heritage Partners, Ltd. (the "Partnership"). In such capacity, Mr. Thomas has sole voting and depositor power over 571,939 shares of Common Stock owned by the Partnership. Although Mr. Thomas' pecuniary interest in the shares of Common Stock held by the Partnership is limited to his limited partnership interest in the Partnership and his membership interest in the general partner of the Partnership, in accordance with Rule 13d-3(d)(1)(i) of the Securities Exchange Act of 1934, Mr. Thomas is deemed to be the beneficial owner of all of such shares.
- F2William R. Thomas III beneficially owns 12,000 shares of Common Stock held by his minor children.
- F3Reflects ESOP allocations to Mr. Thomas.