SEC Form 4/A · accession 0001140361-15-037899
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
Bowen S Diehl
Officer — President and CEO
Period of report
Oct 14, 2015
Accepted (ET)
Oct 16, 2015 · 8:08 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 | $11.53 | 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.
- F2This amendment corrects the vesting schedule of the stock options. One third of the stock options will vest on the 90th day following the spin-off (the "Trigger Event Date"), one third of the stock options with vest on the first anniversary of the Trigger Event Date and one third of the stock options will vest on the second anniversary of the Trigger Event Date.