SEC Form 4 · accession 0001140361-15-037889
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
Bowen S Diehl
Officer — President and CEO
Period of report
Oct 14, 2015
Accepted (ET)
Oct 16, 2015 · 6:42 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF2,F1 | $11.00 | Oct 14, 2015 | D | 123 | D | — | Mar 17, 2024 | Common Stock | 123 | 29,877 | D |
| Stock OptionsF3,F1 | $11.53 | Oct 14, 2015 | D | 352 | D | — | Aug 28, 2024 | Common Stock | 352 | 85,982 | 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 2009 Stock Incentive Plan, as amended, in connection with the Issuer's spin-off of CSW Industrials, Inc. on September 30, 2015.
- F2One fifth of stock options are vested. The remaining four fifths of the stock options will vest in four equal annual installments beginning March 17, 2016.
- F3One third of stock options are vested. The remaining two thirds of the stock options will vest in two equal annual installments beginning September 30, 2016.