SEC Form 4 · accession 0001140361-16-058873
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
Mar 21, 2016
Accepted (ET)
Mar 23, 2016 · 8:00 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 | Mar 21, 2016 | M | 3,983 | $7.36 | A | 37,522 | D | |
| Common Stock | Mar 21, 2016 | M | 1,991 | $7.36 | A | 39,513 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Incentive Stock OptionF1 | $7.36 | Mar 21, 2016 | M | 3,983 | D | — | May 15, 2016 | Common Stock | 3,983 | 0 | D |
| Non-qualified Stock OptionF1 | $7.36 | Mar 21, 2016 | M | 1,991 | D | — | May 15, 2016 | Common Stock | 1,991 | 0 | D |
Explanation of responses
- F1100% of stock options are vested