SEC Form 4 · accession 0001140361-15-037888
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
Oct 14, 2015
Accepted (ET)
Oct 16, 2015 · 6:31 pm EDT
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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Incentive Stock OptionF2,F3,F1 | $7.55 | Oct 14, 2015 | D | 82 | D | — | Mar 22, 2020 | Common Stock | 82 | 19,918 | D |
| Non-qualified Stock OptionF4,F1 | $7.36 | Oct 14, 2015 | D | 9 | D | — | May 15, 2016 | Common Stock | 9 | 1,991 | D |
| Incentive Stock OptionF4,F1 | $7.36 | Oct 14, 2015 | D | 17 | D | — | May 15, 2016 | Common Stock | 17 | 3,983 | D |
Explanation of responses
- F1Represents adjustments made pursuant to (1) the Amended and Restated Employee Matters Agreement, dated as of September 14, 2015, between the Issuer and CSW Industrials, Inc., and (2) the Issuer's 1999 Stock Option Plan and 2009 Stock Incentive Plan, as amended, in connection with the Issuer's spin-off of CSW Industrials, Inc. on September 30, 2015.
- F2100% of stock options are vested.
- F3On August 16, 2013, the common stock of the Issuer split four-for-one, resulting in the reporting person's ownership of stock options representing a right to purchase a total of 20,000 shares of common stock.
- F4Stock options will vest on February 15, 2016.