SEC Form 4 · accession 0001140361-15-040938
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
Nov 10, 2015
Accepted (ET)
Nov 12, 2015 · 7:32 pm EST
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 StockF1 | Nov 10, 2015 | A | 10,000 | $0.00 | A | 21,000 | D | |
| Common StockF2 | holding | — | — | — | 10,345 | I | By ESOP |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents a restricted stock award of 10,000 shares.
- F2Reflects ESOP allocations to Mr. Ashbaugh.