SEC Form 4/A · accession 0001179110-16-031685
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
Thomas Duane Morgan
Director
Period of report
Nov 10, 2016
Accepted (ET)
Nov 16, 2016 · 4:14 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,F2 | Nov 10, 2016 | P | 7,100 | $14.35 | A | 8,350 | I | By Morgan Family Trust |
| Common Stock | holding | — | — | — | 4,395 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The Form 4 filed on November 14, 2016 mistakenly reported that the reporting person directly purchased 7,100 shares of common stock, which did not occur. On November 10, 2016, the Morgan Family Trust purchased 7,100 shares of common stock of Capital Southwest Corporation.
- F2The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $14.30 to $14.36, inclusive. The reporting person undertakes to provide to Capital Southwest Corporation, any security holder of Capital Southwest Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range.